73880 Federal Register / Vol. 81, No. 206 / Tuesday, October 25, 2016 / Rules and Regulations 
841U.S. EPA. (2012). ‘‘Regulatory impact analysis 
supporting the 2012 U.S. Environmental Protection 
Agency final new source performance standards and amendments to the national emission standards for hazardous air pollutants for the oil and natural gas industry.’’ Retrieved from http://www3.epa.gov/ 
ttn/ecas/regdata/RIAs/oil _natural_ gas_final_
neshap_ nsps_ ria.pdf. U.S. EPA. (2013). ‘‘Regulatory impact analysis: Final rulemaking for 2017–2025 
light-duty vehicle greenhouse gas emission standards and corporate average fuel economy standards.’’ Retrieved from http://www3.epa.gov/ otaq/climate/documents/420r12016.pdf. 842Source: Table 2.14 (Errata). Lifetimes, 
radiative efficiencies and direct (except for CH 4) 
GWPs relative to CO 2. IPCC Fourth Assessment 
Report ‘‘Climate Change 2007: Working Group I: 
The Physical Science Basis.’’ TABLE IX–15—A NNUAL UPSTREAM AND DOWNSTREAM NON -CO 2GHG B ENEFITS FOR THE GIVEN SC- NON-CO 2VALUE  
USING METHOD B ANDRELATIVE TO THE FLATBASELINE , USING THE DIRECTLY MODELED APPROACHab 
[Millions of 2012$]c 
Calendar year CH 4 N2O 
5% 
Average 3% 
Average 2.5% 
Average 3% 
95th 
percentile 5% 
Average 3% 
Average 2.5% 
Average 3% 
95th 
percentile 
2018 ................................. $0 $1 $1 $2 $0 $0 $0 $0 
2019 ................................. 1 1 2 3 0 0 0 0 
2020 ................................. 1 2 3 5 0 0 0 0 
2021 ................................. 4 8 11 22 0 0 1 1 
2022 ................................. 7 16 21 43 0 1 1 2 
2023 ................................. 12 26 33 68 0 1 2 3 
2024 ................................. 19 40 52 110 1 2 3 5 
2025 ................................. 26 56 72 150 1 3 4 7 
2026 ................................. 34 72 92 190 1 3 5 9 
2027 ................................. 44 94 120 250 1 4 6 11 
2028 ................................. 54 120 150 300 2 5 7 13 
2029 ................................. 65 140 170 360 2 6 9 16 
2030 ................................. 76 160 200 420 2 7 10 19 
2035 ................................. 130 260 340 720 4 12 16 31 
2040 ................................. 180 360 460 980 6 16 22 41 
2050 ................................. 280 530 660 1,400 9 22 30 58 
NPV .................................. 1,200 3,800 5,400 10,000 37 160 250 430 
Notes: 
aThe SC-CH 4and SC-N 2O values are dollar-year and emissions-year specific. 
bNote that net present discounted values of reduced GHG emissions is are calculated differently than other benefits. The same discount rate 
used to discount the value of damages from future emissions (SC-CH 4and SC-N 2O at 5, 3, and 2.5 percent) is used to calculate net present 
value discounted values of SC-CH 4and SC-N 2O for internal consistency. Refer to the 2010 SC-CO 2TSD for more detail. 
cFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the flat baseline, 1a, and dynamic baseline, 
1b, please see Section X.A.1. 
(b) Sensitivity Analysis—HFC-134a 
Benefits Based on the GWP 
Approximation Approach 
While the rulemaking will result in 
reductions of HFC–134a, EPA is unaware of analogous estimates of the social cost of HFC–134a and has therefore used an alternative valuation approach and presented the results in this sensitivity analysis, separate from the main benefit cost analysis. Specifically, EPA has used the global warming potential (GWP) for HFC–134a to convert the emissions of this gas to CO
2equivalents, which are then valued 
using the SC-CO 2estimates. This 
approach, henceforth referred to as the ‘‘GWP approach,’’ has been used in sensitivity analyses to estimate the non- CO
2benefits in previous EPA 
rulemakings (see U.S. EPA 2012, 2013).
841EPA has not presented these estimates in a main benefit-cost analysis 
due to the limitations associated with using the GWP approach to value changes in non-CO
2GHG emissions, 
and considered the GWP approach as an interim method of analysis until social cost estimates for non-CO
2GHGs, 
consistent with the SC-CO 2estimates, 
were developed. 
The GWP is a simple, transparent, and 
well-established metric for assessing the relative impacts of non-CO
2emissions 
compared to CO 2on a purely physical 
basis. However, as discussed both in the 2010 SC-CO
2TSD and previous 
rulemakings (e.g., U.S. EPA 2012, 2013), 
the GWP approximation approach to measuring non-CO
2GHG benefits has 
several well-documented limitations. These metrics are not ideally suited for use in benefit-cost analyses to approximate the social cost of non-CO
2 
GHGs because the approach would assume all subsequent linkages leading to damages are linear in radiative forcing, which would be inconsistent 
with the most recent scientific literature. Detailed discussion of 
limitations of the GWP approach can be found in the RIA. 
EPA applies the GWP approach to 
estimate the benefits associated with reductions of HFCs in each calendar year. Under the GWP Approach, EPA converted HFC–134a to CO
2equivalents 
using the AR4 100-year GWP for HFC– 134a (1,430).
842These CO 2-equivalent 
emission reductions are multiplied by the SC-CO
2estimate corresponding to 
each year of emission reductions. As with the calculation of annual benefits of CO
2emission reductions, the annual 
benefits of non-CO 2emission reductions 
based on the GWP approach are discounted back to net present value terms using the same discount rate as each SC-CO
2estimate. The estimated 
HFC–134a benefits using the GWP approach are presented in Table IX–16. 
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Pages 73881–74278 Vol. 81 Tuesday, 
No. 206 October 25, 2016 
Part II—Continued 
Environmental Protection Agency 
40 CFR Parts 9, 22, 85, et al. 
Department of Transportation 
National Highway Traffic Safety Administration 
49 CFR Parts 523, 534, 535, et al. 
Greenhouse Gas Emissions and Fuel Efficiency Standards for Medium- and Heavy-Duty Engines and Vehicles—Phase 2; Final Rule 
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843West JJ, Fiore AM, Horowitz LW, Mauzerall 
DL (2006) Global health benefits of mitigating ozone 
pollution with methane emission controls. Proc Natl Acad Sci USA 103 (11):3988–3993. doi:10.1073/pnas.0600201103 
844Anenberg SC, Schwartz J, Shindell D, Amann 
M, Faluvegi G, Klimont Z, ...,  Vignati E (2012) 
Global air quality and health co-benefits of mitigating near-term climate change through methane and black carbon emission controls. Environ Health Perspect 120 (6):831. doi:10.1289/ ehp.1104301. 
845Shindell D, Kuylenstierna JCI, Vignati E, van 
Dingenen R, Amann M, Klimont Z, . . ., Fowler D (2012) Simultaneously Mitigating Near-Term Climate Change and Improving Human Health and Food Security. Science 335 (6065):183–189. doi:10.1126/science.1210026. TABLE IX–16—A NNUAL UPSTREAM AND DOWNSTREAM HFC-134a B ENEFITS FOR THE GIVEN SC-CO 2VALUE USING 
METHOD B ANDRELATIVE TO THE FLATBASELINE , USING THE GWP A PPROACHab 
[Millions of 2013$]b 
Calendar year HFC-134a 
5% 
Average 3% 
Average 2.5% 
Average 3%, 
95th Percentile 
2018 ................................................................................................................. $0 $0 $0 $0 
2019 ................................................................................................................. $0 $0 $0 $0 
2020 ................................................................................................................. $0 $0 $0 $0 
2021 ................................................................................................................. $0 $1 $1 $3 
2022 ................................................................................................................. $1 $2 $3 $5 
2023 ................................................................................................................. $1 $3 $4 $8 
2024 ................................................................................................................. $1 $4 $5 $ 11 
2025 ................................................................................................................. $1 $5 $7 $ 14 
2026 ................................................................................................................. $2 $6 $9 $ 18 
2027 ................................................................................................................. $2 $7 $10 $21 
2028 ................................................................................................................. $3 $8 $12 $25 
2029 ................................................................................................................. $3 $10 $14  $29 
2030 ................................................................................................................. $4 $11 $16  $33 
2035 ................................................................................................................. $5 $15 $22  $47 
2040 ................................................................................................................. $6 $18 $25  $54 
2050 ................................................................................................................. $9 $23 $31  $70 
NPV .................................................................................................................. $44 $200 $ 320 $620 
Notes: 
aThe SC-CO 2values are dollar-year and emissions-year specific. 
bFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the flat baseline, 1a, and dynamic baseline, 
1b, please see Section X.A.1. 
(c) Additional Non-CO 2GHGs Co- 
Benefits 
In determining the relative social 
costs of the different gases, the Marten 
et al. (2014) analysis accounts for differences in lifetime and radiative efficiency between the non-CO
2GHGs 
and CO 2. The analysis also accounts for 
radiative forcing resulting from methane’s effects on tropospheric ozone and stratospheric water vapor, and for at least some of the fertilization effects of elevated carbon dioxide concentrations. However, there exist several other differences between these gases that have not yet been captured in this analysis, for example the non-radiative effects of methane-driven elevated tropospheric ozone levels on human health, agriculture, and ecosystems, and the effects of carbon dioxide on ocean acidification. Inclusion of these additional non-radiative effects would potentially change both the absolute and relative value of the various gases. 
Of these effects, the human health 
effect of elevated tropospheric ozone levels resulting from methane emissions is the closest to being monetized in a way that would be comparable to the SCC. Premature ozone-related cardiopulmonary deaths resulting from global increases in tropospheric ozone concentrations produced by the methane oxidation process have been the focus of a number of studies over the past decade (e.g., West et al. 2006;
843 
Anenberg et al. 2012;844Shindell et al. 
2012845). Recently, a paper was 
published in the peer-reviewed 
scientific literature that presented a range of estimates of the monetized ozone-related mortality benefits of reducing methane emissions (Sarofim et al. 2015). For example, under their base case assumptions using a 3 percent discount rate, Sarofim et al. find global ozone-related mortality benefits of methane emissions reductions to be $790 per ton of methane in 2020, with 10.6 percent, or $80, of this amount resulting from mortality reductions in the United States. The methodology used in this study is consistent in some (but not all) aspects with the modeling underlying the SC-CO
2and SC-CH 4 
estimates discussed above, and required a number of additional assumptions such as baseline mortality rates and mortality response to ozone 
concentrations. While the EPA does consider the methane impacts on ozone to be important, there remain unresolved questions regarding several 
methodological choices involved in applying the Sarofim et al. (2015) approach in the context of an EPA benefits analysis, and therefore the EPA is not including a quantitative analysis of this effect in this rule at this time. 
H. Monetized Non-GHG Health Impacts 
This section discusses the economic 
benefits from reductions in health and 
environmental impacts resulting from non-GHG emission reductions that can be expected to occur as a result of the Phase 2 standards. CO
2emissions are 
predominantly the byproduct of fossil fuel combustion processes that also produce criteria and hazardous air pollutant emissions. The vehicles that are subject to the Phase 2 standards are also significant sources of mobile source air pollution such as direct PM, NO
X, 
VOCs and air toxics. The standards will affect exhaust emissions of these pollutants from vehicles and will also affect emissions from upstream sources that occur during the refining and distribution of fuel. Changes in ambient concentrations of ozone, PM
2.5, and air 
toxics that will result from the Phase 2 standards are expected to affect human health by reducing premature deaths and other serious human health effects, as well as other important improvements in public health and 
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846Fann, N., Baker, K.R., and Fulcher, C.M. 
(2012). Characterizing the PM 2.5-related health 
benefits of emission reductions for 17 industrial, 
area and mobile emission sectors across the U.S. , 
Environment International, 49, 241–151, published online September 28, 2012. 
847See also: http://www3.epa.gov/airquality/
benmap/sabpt.html. The current values available on the Web page have been updated since the publication of the Fann et al., 2012 paper. For more information regarding the updated values, see: http://www3.epa.gov/airquality/benmap/models/Source_ Apportionment_ BPT_ TSD_ 1_31_13.pdf 
(accessed September 9, 2014). 
848Chapter 5 of the RIA has more detail on the 
differences between the air quality and final inventories. 849U.S. Environmental Protection Agency. (2014). 
Control of Air Pollution from Motor Vehicles: Tier 
3 Motor Vehicle Emission and Fuel Standards Final Rule: Regulatory Impact Analysis, Assessment and Standards Division, Office of Transportation and Air Quality, EPA–420–R–14–005, March 2014. Available on the internet: http://www3.epa.gov/otaq/documents/tier3/420r14005.pdf . 
850U.S. Environmental Protection Agency. (2012). 
Regulatory Impact Analysis for the Final Revisions to the National Ambient Air Quality Standards for Particulate Matter, Health and Environmental Impacts Division, Office of Air Quality Planning and Standards, EPA–452–R–12–005, December 2012. Available on the internet: http://www3.epa.gov/ttnecas1/regdata/RIAs/finalria.pdf . 
851U.S. Environmental Protection Agency (U.S. 
EPA). (2012). Regulatory Impact Analysis: Final Rulemaking for 2017–2025 Light-Duty Vehicle Greenhouse Gas Emission Standards and Corporate Average Fuel Economy Standards, Assessment and 
Standards Division, Office of Transportation and Air Quality, EPA–420–R–12–016, August 2012. Available on the Internet at: http://www3.epa.gov/ 
otaq/climate/documents/420r12016.pdf . 
852The air quality modeling that underlies the 
PM-related benefit per ton values also produced estimates of ozone levels attributable to each sector. However, the complex non-linear chemistry governing ozone formation prevented EPA from developing a complementary array of ozone benefit 
Continued welfare. Children especially benefit 
from reduced exposures to criteria and toxic pollutants, because they tend to be more sensitive to the effects of these respiratory pollutants. Ozone and particulate matter have been associated with increased incidence of asthma and other respiratory effects in children, and particulate matter has been associated with a decrease in lung maturation. Some minority groups and children living under the poverty line are even more vulnerable with higher prevalence of asthma. 
It is important to quantify the health 
and environmental impacts associated with the standards because a failure to adequately consider ancillary impacts could lead to an incorrect assessment of their costs and benefits. Moreover, the health and other impacts of exposure to criteria air pollutants and airborne toxics tend to occur in the near term, while most effects from reduced climate change are likely to occur only over a time frame of several decades or longer. 
Impacts such as emissions reductions, 
costs and benefits are presented in this analysis from two perspectives: 
•A ‘‘model year lifetime analysis’’ 
(MY), which shows impacts of the program that occur over the lifetime of the vehicles produced during the model years subject to the Phase 2 standards (MYs 2018 through 2029)., 
•A ‘‘calendar year analysis’’ (CY), 
which shows annual costs and benefits of the Phase 2 standards for each year from 2018 through 2050. We assume the standard in the last model year subject to the standards applies to all subsequent MY fleets developed in the future. 
In previous light-duty and heavy-duty 
GHG rulemakings, EPA has quantified and monetized non-GHG health impacts using two different methods. For the MY analysis, EPA applies PM-related ‘‘benefits per-ton’’ values to the stream of lifetime estimated emission reductions as a reduced-form approach to estimating the PM
2.5-related benefits 
of the rule.846 847 For the CY analysis, 
EPA typically conducts full-scale photochemical air quality modeling to quantify and monetize the PM
2.5- and ozone-related health impacts of a single 
representative future year. EPA then assumes these benefits are repeated in subsequent future years when criteria pollutant emission reductions are equal to or greater than those modeled in the representative future year. 
This two-pronged approach to 
estimating non-GHG impacts is precipitated by the length of time needed to prepare the necessary emissions inventories and the processing time associated with full- 
scale photochemical air quality modeling for a single representative 
future year. The timing requirements (along with other resource limitations) preclude EPA from being able to do the more detailed photochemical modeling for every year that we include in our benefit and cost estimates, and require EPA to make air quality modeling input decisions early in the analytical process. As a result, it was necessary to use emissions from the proposed program to conduct the air quality modeling. 
The chief limitation when using air 
quality inventories based on emissions from the proposal in the CY modeling analysis is that they can diverge from the estimated emissions of the final rulemaking. How much the emissions might diverge and how that difference would impact the air quality modeling and health benefit results is difficult to anticipate. For the FRM, EPA concluded that when comparing the proposal and final rule inventories, the differences were enough to justify the move of the typical CY benefits analysis (based on air quality modeling) from the primary estimate of costs and benefits to a supplemental analysis in an appendix to the RIA (See RIA Appendix 8.A).
848 
While we believe this supplemental analysis is still illustrative of the standard’s potential benefits, EPA has instead chosen to characterize the CY benefits in a manner consistent with the MY lifetime analysis. That is, we apply the PM-related ‘‘benefits per-ton’’ values to the CY final rule emission reductions to estimate the PM-related benefits of the final rule. 
This section presents the benefits-per- 
ton values used to monetize the benefits from reducing population exposure to PM associated with the standards. EPA bases its analyses on peer-reviewed studies of air quality and health and welfare effects and peer-reviewed studies of the monetary values of public health and welfare improvements, and is generally consistent with benefits analyses performed for the analysis of the final Tier 3 Vehicle Rule,
849the final 
2012 p.m. NAAQS Revision,850and the 
final 2017–2025 Light Duty Vehicle 
GHG Rule.851 
EPA is also requiring that rebuilt 
engines installed in new incomplete vehicles (i.e., ‘‘glider kit’’ vehicles) meet 
the emission standards applicable in the year of assembly of the new vehicle, including all applicable standards for criteria pollutants (Section XIII.B). For the final rule, EPA has updated its analysis of the environmental impacts of these glider kit vehicles (see Section XIII.B.1). These standards will decrease PM and NO
Xemissions dramatically, 
leading to substantial public health- related benefits. Although we only present these benefits as a sensitivity analysis in Section XIII.B, it is clear that removing even a fraction of glider kit vehicles from the road will yield substantial health-related benefits that are not captured by the primary estimate of monetized non-GHG health impacts described in this section. 
(1) Economic Value of Reductions in 
Particulate Matter 
As described in Section VIII, the 
standards will reduce emissions of several criteria and toxic pollutants and their precursors. In this analysis, EPA only estimates the economic value of the human health benefits associated with the resulting reductions in PM
2.5 
exposure. Due to analytical limitations with the benefit per ton method, this analysis does not estimate benefits resulting from reductions in population exposure to other criteria pollutants such as ozone.
852Furthermore, the 
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per ton values. This limitation notwithstanding, we 
anticipate that the ozone-related benefits associated with reducing emissions of NO
Xand VOC are 
substantial. Refer to RIA Appendix 8.A for the ozone benefits results from the supplemental CY benefits analysis. 
853U.S. Environmental Protection Agency (U.S. 
EPA). (2012). Regulatory Impact Analysis: Final Rulemaking for 2017–2025 Light-Duty Vehicle Greenhouse Gas Emission Standards and Corporate Average Fuel Economy Standards, Assessment and Standards Division, Office of Transportation and Air Quality, EPA–420–R–12–016, August 2012. Available on the Internet at: http://www3.epa.gov/ 
otaq/climate/documents/420r12016.pdf . 
854U.S. Environmental Protection Agency (U.S. 
EPA). (2013). Regulatory Impact Analysis for the 
Reconsideration of the Existing Stationary Compression Ignition (CI) Engines NESHAP, Office of Air Quality Planning and Standards, Research 
Triangle Park, NC. January. EPA–452/R–13–001. Available at http://www3.epa.gov/ttnecas1/regdata/ 
RIAs/RICE_ NESHAPreconsideration_ Compression_
Ignition_ Engines_ RIA_ final2013_ EPA.pdf. 
855U.S. Environmental Protection Agency (U.S. 
EPA). (2013). Regulatory Impact Analysis for Reconsideration of Existing Stationary Spark Ignition (SI) RICE NESHAP, Office of Air Quality 
Planning and Standards, Research Triangle Park, NC. January. EPA–452/R–13–002. Available at http://www3.epa.gov/ttnecas1/regdata/RIAs/NESHAP_ RICE_ Spark_ Ignition_ RIA_
finalreconsideration2013_ EPA.pdf. 
856U.S. Environmental Protection Agency (U.S. 
EPA). (2015). Regulatory Impact Analysis for 
Residential Wood Heaters NSPS Revision. Office of 
Air Quality Planning and Standards, Research Triangle Park, NC. February. EPA–452/R–15–001. Available at http://www2.epa.gov/sites/production/ 
files/2015-02/documents/20150204-residential- 
wood-heaters-ria.pdf. benefits per-ton method, like all air 
quality impact analyses, does not monetize all of the potential health and welfare effects associated with reduced concentrations of PM
2.5. 
This analysis uses estimates of the 
benefits from reducing the incidence of the specific PM
2.5-related health impacts 
described below. These estimates, which are expressed per ton of PM
2.5- 
related emissions eliminated by the final program, represent the monetized value of human health benefits (including reductions in both premature 
mortality and premature morbidity) from reducing each ton of directly emitted PM
2.5or its precursors (SO 2and 
NO X), from a specified source. Ideally, 
the human health benefits would be estimated based on changes in ambient PM
2.5as determined by full-scale air 
quality modeling. However, the length 
of time needed to prepare the necessary emissions inventories, in addition to the processing time associated with the modeling itself, has precluded us from performing air quality modeling that reflects the emissions and air quality impacts associated with the final program. 
EPA received comment regarding the 
omission of ozone-related benefits from the non-GHG benefits analysis included in the proposal. EPA agrees that total 
benefits are underestimated when ozone-related benefits are not included in the primary analysis. However, for reasons described in the introduction to this section, PM- and ozone-related health benefits based on air quality modeling for the CY analysis are not 
included in the primary estimate of costs and benefits. Instead, they can be found as a supplemental analysis to the RIA in Appendix 8A. 
The PM-related dollar-per-ton benefit 
estimates used in this analysis are provided in Table IX–17. As the table indicates, these values differ among pollutants, and also depend on their original source, because emissions from different sources can result in different degrees of population exposure and resulting health impacts. In the summary of costs and benefits, Section IX.K of this Preamble, EPA presents the 
monetized value of PM-related improvements associated with the final program. 
TABLE IX–17—PM-R ELATED BENEFITS -PER-TONVALUES  
[Thousands, 2013$]a 
Yearc On-road mobile sources Upstream sourcesd 
Direct PM 2.5 SO2 NO X Direct PM 2.5 SO2 NO X 
Estimated Using a 3 Percent Discount Rateb 
2016 ......................................................... $380–$870 $20–$46 $7.8–$18 $330–$760 $71–$160 $6.9–$16 
2020 ......................................................... 410–920 22–50 8.2–18 350–800 76–170 7.5–17 
2025 ......................................................... 450–1,000 25–56 9.0–20 400–890 84–190 8.2–18 
2030 ......................................................... 490–1,100 28–62 9.7–22 430–960 92–200 8.9–20 
Estimated Using a 7 Percent Discount Rateb 
2016 ......................................................... $340–$780 $18–$42 $7.1–$16 $300–$680 $64–$140 $6.3–$14 
2020 ......................................................... 370–830 20–45 7.5–17 320–730 68–150 6.7–15 
2025 ......................................................... 410–920 22–50 8.1–18 350–800 76–170 7.4–17 
2030 ......................................................... 440–990 25–56 8.8–20 380–870 82–180 8.0–18 
Notes: 
aThe benefit-per-ton estimates presented in this table are based on a range of premature mortality estimates derived from the ACS study 
(Krewski et al., 2009) and the Six-Cities study (Lepeule et al., 2012). See Chapter VIII of the RIA for a description of these studies. 
bThe benefit-per-ton estimates presented in this table assume either a 3 percent or 7 percent discount rate in the valuation of premature mor-
tality to account for a twenty-year segmented premature mortality cessation lag. 
cBenefit-per-ton values were estimated for the years 2016, 2020, 2025 and 2030. We hold values constant for intervening years ( e.g., the 
2016 values are assumed to apply to years 2017–2019; 2020 values for years 2021–2024; 2030 values for years 2031 and beyond). 
dWe assume for the purpose of this analysis that total ‘‘upstream emissions’’ are most appropriately monetized using the refinery sector ben-
efit per-ton values. The majority of upstream emission reductions associated with the final rule are related to domestic onsite refinery emissions 
and domestic crude production. While total upstream emissions also include storage and transport sources, as well as sources upstream from the refinery, we have chosen to simply apply the refinery values. 
The benefit-per-ton technique has 
been used in previous analyses, 
including EPA’s 2017–2025 Light-Duty Vehicle Greenhouse Gas Rule,
853the Reciprocating Internal Combustion Engine rules,
854 855 and the Residential 
Wood Heaters NSPS.856Table IX–18 
shows the quantified PM 2.5-related co- benefits captured in those benefit per- ton estimates, as well as unquantified effects the benefit per-ton estimates are unable to capture. 
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857For more information regarding the updated 
values, see: http://www3.epa.gov/airquality/ 
benmap/models/Source_ Apportionment_ BPT_ TSD_
1_31_13.pdf (accessed September 9, 2014). 
858Fann, N., Baker, K.R., and Fulcher, C.M. 
(2012). Characterizing the PM 2.5-related health 
benefits of emission reductions for 17 industrial, 
area and mobile emission sectors across the U.S., Environment International, 49, 241–151, published online September 28, 2012. 
859As we discuss in the emissions chapter of the 
RIA (Chapter V), the rule will yield emission reductions from upstream refining and fuel distribution due to decreased petroleum consumption. 
860The issue is discussed in more detail in the 
2012 p.m. NAAQS RIA. See U.S. Environmental Protection Agency. (2012). Regulatory Impact Analysis for the Final Revisions to the National Ambient Air Quality Standards for Particulate Matter, Health and Environmental Impacts 
Division, Office of Air Quality Planning and Standards, EPA–452–R–12–005, December 2012. Available on the internet: http://www3.epa.gov/ttnecas1/regdata/RIAs/finalria.pdf . 
861For more information about EPA’s population 
projections, please refer to the following: http://
www3.epa.gov/air/benmap/models/
BenMAPManualAppendicesAugust2010.pdf (See 
Appendix K). 862Science Advisory Board. 2001. NATA— 
Evaluating the National-Scale Air Toxics Assessment for 1996—an SAB Advisory. http://www3.epa.gov/ttn/atw/sab/sabrev.html . 
863Examples include gaps in toxicological data, 
uncertainties in extrapolating results from high- dose animal experiments to estimate human effects at lower does, limited ambient and personal exposure monitoring data, and insufficient economic research to support valuation of the health impacts often associated with exposure to individual air toxics. See Gwinn et al., 2011. Meeting Report: Estimating the Benefits of Reducing Hazardous Air Pollutants—Summary of 2009 Workshop and Future Considerations. Environ 
Health Perspectives, Jan 2011; 119(1): 125–130. 
864In April, 2009, EPA hosted a workshop on 
estimating the benefits of reducing hazardous air pollutants. This workshop built upon the work accomplished in the June 2000 in an earlier (2000) Science Advisory Board/EPA Workshop on the Benefits of Reductions in Exposure to Hazardous Air Pollutants, which generated thoughtful discussion on approaches to estimating human health benefits from reductions in air toxics exposure, but no consensus was reached on methods that could be implemented in the near term for a broad selection of air toxics. Please visit http://epa.gov/air/toxicair/2009workshop.html for 
more information about the workshop and its associated materials. TABLE IX–18—H UMAN HEALTH AND WELFARE EFFECTS OF PM 2.5 
Pollutant/ 
effect Quantified and monetized in primary estimates Unquantified effects changes in: 
PM 2.5.............. Adult premature mortality ........................................................... Chronic and subchronic bronchitis cases. 
Acute bronchitis .......................................................................... Strokes and cerebrovascular disease. 
Hospital Admissions: Respiratory and cardiovascular ............... Low birth weight. 
Emergency room visits for asthma ............................................. Pulmonary function. 
Nonfatal heart attacks (myocardial infarction) ............................ Chronic respiratory diseases other than chronic bronc hitis. 
Lower and upper respiratory illness ........................................... Non-asthma respiratory emergency room visits. 
Minor restricted-activity days ...................................................... Visibility. 
Work loss days ........................................................................... Household soiling. 
Asthma exacerbations (asthmatic population).
Infant mortality.
A more detailed description of the 
benefit-per-ton estimates is provided in 
Chapter 8 of the RIA that accompanies this rulemaking. Readers interested in reviewing the complete methodology for creating the benefit-per-ton estimates used in this analysis can consult EPA’s ‘‘Technical Support Document: Estimating the Benefit per Ton of Reducing PM
2.5Precursors from 17 
Sectors.’’857Readers can also refer to 
Fann et al. (2012)858for a detailed 
description of the benefit-per-ton methodology. 
As Table IX–17 indicates, EPA 
projects that the per-ton values for reducing emissions of non-GHG pollutants from both vehicle use and upstream sources such as fuel refineries will increase over time.
859These 
projected increases reflect rising income levels, which increase affected individuals’ willingness to pay for reduced exposure to health threats from air pollution.
860They also reflect future 
population growth and increased life expectancy, which expands the size of the population exposed to air pollution in both urban and rural areas, especially among older age groups with the highest 
mortality risk.
861 
(2) Unquantified Health and Environmental Impacts 
One commenter supported the 
inclusion of all quantifiable impacts of reductions in non-GHG pollutants. Specifically, they suggested the inclusion of ecosystem benefits from reduced non-GHG pollutants including those to crops as well as consideration of the impacts on toxic air contaminants such as diesel PM. 
In addition to the PM-related co- 
pollutant health impacts EPA quantifies in this analysis, EPA acknowledges that there are a number of other health and human welfare endpoints that we are not able to quantify or monetize because of current limitations in the methods or available data. These impacts are associated with emissions of air toxics (including benzene, 1,3-butadiene, formaldehyde, acetaldehyde, acrolein, naphthalene and ethanol), ambient ozone, and ambient PM
2.5exposures. 
Chapter 8 of the RIA lists these unquantified health and environmental impacts. While there will be impacts associated with air toxic pollutant emission changes that result from the final standard, EPA will not attempt to monetize those impacts. This is primarily because currently available tools and methods to assess air toxics risk from mobile sources at the national scale are not adequate for extrapolation to incidence estimations or benefits assessment. The best suite of tools and methods currently available for assessment at the national scale are those used in the National-Scale Air Toxics Assessment (NATA). EPA’s Science Advisory Board specifically commented in their review of the 1996 NATA that these tools were not yet ready for use in a national-scale benefits analysis, because they did not consider the full distribution of exposure and risk, or address sub-chronic health effects.
862While EPA has since 
improved the tools, there remain critical limitations for estimating incidence and assessing benefits of reducing mobile source air toxics.
863EPA continues to 
work to address these limitations; however, EPA does not have the methods and tools available for national-scale application in time for the analysis of the final rules.
864 
I. Energy Security Impacts 
The Phase 2 standards are designed to 
require improvements in the fuel efficiency of medium- and heavy-duty vehicles and, thereby, reduce fuel consumption and GHG emissions. In turn, the Phase 2 standards help to reduce U.S. petroleum imports. A reduction of U.S. petroleum imports reduces both financial and strategic risks caused by potential sudden disruptions in the supply of imported petroleum to the U.S., thus increasing 
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865See EIA Annual Energy Review, various 
editions. For data 2011–2013, and projected data: 
EIA Annual Energy Outlook (AEO) 2014 (Reference Case). See Table 11, file ‘‘aeotab_ 11.xls.’’ 866Based on data from the CIA, combining 
various recent years, https://www.cia.gov/library/
publications/the-world-factbook/rankorder/2242rank.html. 
867The other three are Norway, Canada, and the 
EU, an exporter of product. 
868For example, the 2005 Hurricanes Katrina/Rita 
and the 2011 Libyan conflict both led to a 1.8 percent reduction in global crude supply. While the price impact of the latter is not easily distinguished given the rapidly rising post-recession prices, the former event was associated with a 10–15 percent world oil price increase. There are a range of smaller events with smaller but noticeable impacts. Somewhat larger events, such as the 2002/3 Venezuelan Strike and the War in Iraq, corresponded to about a 2.9 percent sustained loss of supply, and were associated with a 28 percent 
world oil price increase. 
Compiled from EIA oil price data, IEA2012 [IEA 
Response System for Oil Supply Emergencies (http://www.iea.org/publications/freepublications/publication/EPPD_ Brochure_ English_ 2012_ 02.pdf) 
See table on P. 11.and Hamilton 2011 ‘‘Historical 
Oil Shocks,’’(http://econweb.ucsd.edu/∼jhamilto/oil_history.pdf) in *Routledge Handbook of Major 
Events in Economic History*, pp. 239–265, edited by Randall E. Parker and Robert Whaples, New York: Routledge Taylor and Francis Group, 2013). Available in bookstores. 
869IEA 2011 ‘‘IEA Response System for Oil 
Supply Emergencies.’’ 
870For historical data: EIA Annual Energy 
Review, various editions. For data 2011–2013, and projected data: EIA Annual Energy Outlook (AEO) 2014 (Reference Case). See Table 11, file ‘‘aeotab_11.xls.’’ U.S. energy security. This section 
summarizes the agency’s estimates of U.S. oil import reductions and energy security benefits of the Phase 2 final standards. Additional discussion of this issue can be found in Chapter 8.8 of the RIA. 
(1) Implications of Reduced Petroleum 
Use on U.S. Imports 
U.S. energy security is generally 
considered as the continued availability of energy sources at an acceptable price. Most discussion of U.S. energy security revolves around the topic of the economic costs of U.S. dependence on oil imports. While the U.S. has reduced its consumption and increased its production of oil in recent years, it still relies on oil from potentially unstable sources. In addition, oil exporters with a large share of global production have the ability to raise the price of oil by exerting the monopoly power associated with a cartel, the Organization of Petroleum Exporting Countries (OPEC), to restrict oil supply relative to demand. These factors contribute to the vulnerability of the U.S. economy to episodic oil supply shocks and price spikes. 
In 2014, U.S. expenditures for imports 
of crude oil and petroleum products, net of revenues for exports, were $178 billion and expenditures on both imported oil and domestic petroleum and refined products totaled $469 billion (in 2013$) (see Figure IX–1).
865 
Recently, as a result of strong growth in domestic oil production mainly from tight shale formations, U.S. production of oil has increased while U.S. oil imports have decreased. For example, from 2012 to 2015, domestic oil production increased by 44 percent while net oil imports and products decreased by 38 percent. While U.S. oil import costs have declined since 2011, total oil expenditures (domestic and imported) remained near historical highs through 2014. Post-2015 oil expenditures are projected (AEO 2015) to remain between double and triple the inflation-adjusted levels experienced by the U.S. from 1986 to 2002.C 
Focusing on changes in oil import 
levels as a source of vulnerability has been standard practice in assessing energy security in the past, but given current market trends both from domestic and international levels, adding changes in consumption of petroleum to this assessment may provide better information about U.S. energy security. The major mechanism through which the economy sustains harm due to fluctuations in the (world) energy market is through price, which itself is leveraged through both imports and consumption. However, the United States, may be increasingly insulated from the physical effects of overseas oil disruptions, though the price impacts of an oil disruption anywhere will continue to be transmitted to U.S. markets. As of 2015, Canada accounted for 63 percent of U.S. net oil imports of crude oil and petroleum products. The implications of the U.S. becoming a significant petroleum producer have yet to be discerned in the literature, but it can be anticipated that this will have some impact on energy security. 
In 2010, just over 40 percent of world 
oil supply came from OPEC nations. The AEO 2015 projects that this share will stay high; dipping slightly from 37 percent by 2020 and then rising gradually to over 40 percent by 2035 and thereafter. Approximately 30 percent of global supply is from Middle East and North African countries alone, a share that is also expected to grow. Measured in terms of the share of world oil resources or the share of global oil export supply, rather than oil production, the concentration of global petroleum resources in OPEC nations is even larger. As another measure of 
concentration, of the 137 countries/ principalities that export either crude or refined products, the top 12 have recently accounted for over 55 percent of exports.
866Eight of these countries 
are members of OPEC, and a ninth is 
Russia.867In a market where even a 1– 
2 percent supply loss can raise prices 
noticeably, and where a 10 percent supply loss could lead to an unprecedented price shock, this regional concentration is of concern.
868 
Historically, the countries of the Middle East have been the source of eight of the ten major world oil disruptions,
869with 
the ninth originating in Venezuela, an 
OPEC country, and the tenth being Hurricanes Katrina and Rita. 
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871We looked at changes in U.S. crude oil 
imports and net petroleum products in the AEO 
2015 Reference Case in comparison the Low ( i.e., 
Economic Growth) Demand Case to undertake this 
analysis. See the spreadsheet ‘‘Impact of Fuel Demand on Imports AEO2015.xlsx.’’ We also 
considered a paper entitled ‘‘Effect of a U.S. Demand Reduction on Imports and Domestic Supply Levels’’ by Leiby, P., 4/16/2013. This paper 
suggests that ‘‘Given a particular reduction in oil demand stemming from a policy or significant 
technology change, the fraction of oil use savings that shows up as reduced U.S. imports, rather than reduced U.S. supply, is actually quite close to 90 
percent, and probably close to 95 percent.’’ 
The agencies used EPA’s MOVES 
model to estimate the reductions in U.S. 
fuel consumption due to these final rules for vocational vehicles and tractors. For HD pickups and vans, the agencies used both DOT’s CAFE model and EPA’s MOVES model to estimate the fuel consumption impacts. (Detailed explanations of the MOVES and CAFE models can be found in Chapter 5 of the RIA. See IX.C of the Preamble for estimates of reduced fuel consumption from these final rules). Based on a detailed analysis of differences in U.S. fuel consumption, petroleum imports, 
and imports of petroleum products, the agencies estimate that approximately 90 
percent of the reduction in fuel consumption resulting from adopting improved GHG emission and fuel efficiency standards is likely to be reflected in reduced U.S. imports of crude oil and net imported petroleum products.
871Thus, on balance, each 
gallon of fuel saved as a consequence of the HD GHG and fuel efficiency standards is anticipated to reduce total U.S. imports of petroleum by 0.90 gallons. Based upon the fuel savings estimated by the MOVES/CAFE models and the 90 percent oil import factor, the 
reduction in U.S. oil imports and exports from these final rules are 
estimated for the years 2020, 2025, 2030, 2040, and 2050 (in millions of barrels per day (MMBD)) in Table IX–19 below. For comparison purposes, Table IX–19 also shows U.S. imports of crude oil in 2020, 2025, 2030 and 2040 as projected by DOE in the Annual Energy Outlook 2015 Reference Case. U.S. Gross Domestic Product (GDP) is projected to grow by roughly 48 percent over the same time frame (e.g., from 
2020 to 2040) in the AEO 2015 projections. 
TABLE IX–19—P ROJECTED U.S. I MPORTS AND EXPORTS OF OIL AND U.S. O ILIMPORT REDUCTIONS RESULTING FROM 
THEFINAL PHASE 2 PROGRAM IN 2020, 2025, 2030, 2040 AND 2050 U SING METHOD B AND RELATIVE TO A FLAT 
BASELINE  
[Millions of barrels per day (MMBD)]a 
Year U.S. oil 
exports U.S. oil imports U.S. net 
product 
imports * U.S. net 
crude & 
product 
imports U.S. oil 
import 
reductions 
from final 
HD Rules 
2020 ..................................................................................... 0.63 6.14 ¥2.80 2.71 0.007 
2025 ..................................................................................... 0.63 6.72 ¥3.24 2.85 0.162 
2030 ..................................................................................... 0.63 7.07 ¥3.56 2.88 0.405 
2040 ..................................................................................... 0.63 8.21 ¥4.26 3.32 0.721 
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872Leiby, Paul N., Donald W. Jones, T. Randall 
Curlee, and Russell Lee, Oil Imports: An 
Assessment of Benefits and Costs, ORNL–6851, Oak Ridge National Laboratory, November, 1997. 873Leiby, P., Factors Influencing Estimate of 
Energy Security Premium for Heavy-Duty Phase 2 Final Rule, 11/1/2014, Oak Ridge National Laboratory. 874AEO 2015 forecasts energy market trends and 
values only to 2040. The post-2040 energy security premium values are assumed to be equal to the 2040 estimate. TABLE IX–19—P ROJECTED U.S. I MPORTS AND EXPORTS OF OIL AND U.S. O ILIMPORT REDUCTIONS RESULTING FROM 
THEFINAL PHASE 2 PROGRAM IN 2020, 2025, 2030, 2040 AND 2050 U SING METHOD B AND RELATIVE TO A FLAT 
BASELINE —Continued 
[Millions of barrels per day (MMBD)]a 
Year U.S. oil 
exports U.S. oil imports U.S. net 
product 
imports * U.S. net 
crude & 
product 
imports U.S. oil 
import 
reductions 
from final 
HD Rules 
2050 ..................................................................................... (**) (**) (**) (**) 0.861 
Notes: * Negative U.S. Net Product Imports imply positive exports. ** The AEO 2015 only projects energy market and economic trends through 2040. 
(2) Energy Security Implications 
In order to understand the energy 
security implications of reducing U.S. 
oil imports, EPA has worked with Oak Ridge National Laboratory (ORNL), which has developed approaches for evaluating the social costs and energy security implications of oil use. The energy security estimates provided below are based upon a methodology developed in a peer-reviewed study entitled, ‘‘The Energy Security Benefits of Reduced Oil Use, 2006–2015’’, 
completed in March 2008. This ORNL study is an updated version of the approach used for estimating the energy security benefits of U.S. oil import reductions developed in a 1997 ORNL Report.
872For EPA and NHTSA 
rulemakings, the ORNL methodology is updated periodically to account for forecasts of future energy market and economic trends reported in the U.S. Energy Information Administration’s Annual Energy Outlook. 
When conducting this analysis, ORNL 
considered the full cost of importing petroleum into the U.S. The full economic cost is defined to include two components in addition to the purchase price of petroleum itself. These are: (1) The higher costs for oil imports resulting from the effect of U.S. demand on the world oil price (i.e., the ‘‘demand’’ or ‘‘monopsony’’ costs); and (2) the risk of reductions in U.S. economic output and disruption to the U.S. economy caused by sudden disruptions in the supply of imported oil to the U.S. (i.e., macroeconomic 
disruption/adjustment costs). 
The literature on energy security for 
the last two decades has routinely combined the monopsony and the macroeconomic disruption components when calculating the total value of the energy security premium. However, in the context of using a global value for the Social Cost of Carbon (SCC) the question arises: how should the energy security premium be used when some benefits from these rules, such as the benefits of reducing greenhouse gas emissions, are calculated from a global perspective? Monopsony benefits represent avoided payments by U.S. consumers to oil producers that result from a decrease in the world oil price as the U.S. decreases its demand for oil. Although there is clearly an overall benefit to the U.S. when considered from a domestic perspective, the decrease in price due to decreased demand in the U.S. also represents a loss to oil producing countries, one of which is the U.S. Given the redistributive nature of this monopsony effect from a global perspective, it is excluded in the energy security benefits calculations for these final rules. 
In contrast, the other portion of the 
energy security premium, the avoided U.S. macroeconomic disruption and adjustment cost that arises from reductions in U.S. petroleum imports, does not have offsetting impacts outside of the U.S., and, thus, is included in the energy security benefits estimated for these final rules. To summarize, the agencies have included only the avoided macroeconomic disruption portion of the energy security benefits to estimate the monetary value of the total energy security benefits of these final rules. 
For this rulemaking, ORNL updated 
the energy security premiums by incorporating the most recent oil price forecast and energy market trends, particularly regional oil supplies and demands, from the AEO 2015 into its model.
873ORNL developed energy 
security premium estimates for a number of different years. Table IX–20 provides estimates for energy security premiums for the years 2020, 2025, 2030 and 2040,
874as well as a breakdown of 
the components of the energy security premiums for each year. The components of the energy security premiums and their values are discussed below. 
TABLE IX–20—E NERGY SECURITY PREMIUMS IN 2020, 2025, 2030 AND2040 
[2013$/Barrel] * 
Year 
(range) Monopsony 
(range) Avoided 
macroeconomic 
disruption/adjustment 
costs 
(range) Total mid-point 
(range) 
2020 ....................... $2.21 ($0.65–$3.59) ............................. $5.48 ($2.51–$8.92) ............................. $7.69 ($4.54–$11.14) 
2025 ....................... $2.59 ($0.76–$4.14) ............................. $6.30 ($2.92–$10.22) ........................... $8.89 ($5.22–$12.83) 
2030 ....................... $2.83 (0.83–$4.56) ............................... $7.26 ($3.40–$11.73) ........................... $10.09 ($5.90–$14.59) 
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875Brown, Stephen P.A. and Hillard G. 
Huntington. 2013. Assessing the U.S. Oil Security 
Premium. Energy Economics, vol. 38, pp 118–127. 
876Reassessing the Oil Security Premium. RFF 
Discussion Paper Series, (RFF DP 10–05). doi: RFF DP 10–05 
877Greene, D. L. 2010. Measuring energy security: 
Can the United States achieve oil independence?, Energy Policy, 38(4), 1614–1621. doi:10.1016/ j.enpol.2009.01.041. 
878Toman, M., 1993, The economics of energy 
security: theory, evidence and policy, Chapter 25, Handbook of Natural Resources and Energy Economics, Volume 3, pp. 1167–1218. 879Ledyard, John O. ‘‘Market Failure.’’ The New 
Palgrave Dictionary of Economics. Second Edition. Eds. Steven N. Durlauf and Lawrence E. Blume. Palgrave Macmillan, 2008. 
880Council on Foreign Relations, ‘‘Automobile 
Fuel Economy Standards in a Lower-Oil-Price World,’’ Sivarm & Levi, November 2015. 
881Transitions to Alternative Vehicles and 
Fuels,’’ Committee on Transitions to Alternative Vehicles and Fuels, National Research Council, 2013. 882Gately, Dermot, 2004. ‘‘OPEC’s Incentives for 
Faster Output Growth,’’ The Energy Journal, 25 
Continued TABLE IX–20—E NERGY SECURITY PREMIUMS IN 2020, 2025, 2030 AND2040—Continued 
[2013$/Barrel] * 
Year 
(range) Monopsony 
(range) Avoided 
macroeconomic 
disruption/adjustment 
costs 
(range) Total mid-point 
(range) 
2040 ....................... $4.09 ($1.19–$6.67) ............................. $9.61 ($4.54–$15.39) ........................... $13.69 ($8.12–$19.64) 
Note: 
* Top values in each cell are the midpoints, the values in parentheses are the 90 percent confidence intervals. 
(a) Effect of Oil Use on the Long-Run Oil 
Price 
The first component of the full 
economic costs of importing petroleum into the U.S. follows from the effect of U.S. import demand on the world oil price over the long-run. Because the U.S. is a sufficiently large purchaser of global oil supplies, its purchases can affect the world oil price. This monopsony power means that increases in U.S. petroleum demand can cause the world price of crude oil to rise, and conversely, that reduced U.S. petroleum demand can reduce the world price of crude oil. Thus, one benefit of decreasing U.S. oil purchases, due to improvements in the fuel efficiency of medium- and heavy-duty vehicles, is the potential decrease in the crude oil price paid for all crude oil purchased. 
There is disagreement in the literature 
about the magnitude of the monopsony component, and its relevance for policy analysis. Brown and Huntington (2013)
875for example, argue that the 
United States’ refusal to exercise its market power to reduce the world oil price does not represent a proper externality, and that the monopsony component should not be considered in calculations of the energy security externality. However, they also note in their earlier discussion paper (Brown and Huntington 2010)
876that this is a 
departure from the traditional energy security literature, which includes sustained wealth transfers associated with stable but higher-price oil markets. On the other hand, Greene (2010)
877 
and others in prior literature (e.g., Toman 1993)
878have emphasized that the monopsony cost component is policy-relevant because the world oil market is non-competitive and strongly influenced by cartelized and government-controlled supply decisions. Thus, while sometimes couched as an externality, Greene notes that the monopsony component is best viewed as stemming from a completely different market failure than an externality (Ledyard 2008),
879yet still 
implying marginal social costs to importers. 
Recently, the Council on Foreign 
Relations (i.e., ‘‘the Council’’) (2015) 
released a discussion paper that assesses NHTSA’s analysis of the benefits and costs of CAFE in a lower-oil-price world.
880In this paper, the Council 
notes that while NHTSA cites the monopsony effect of the CAFE standards for 2017–2025, NHTSA does not include it when calculating the cost- benefit calculation for the rule. The Council argues that the monopsony benefit should be included in the CAFE cost-benefit analysis and that including the monopsony benefit is more consistent with the legislators’ intent in mandating CAFE standards in the first place. 
The recent National Academy of 
Science (NAS 2015) Report, ‘‘Cost, Effectiveness and the Deployment of Fuel Economy Technologies for Light- Duty Vehicles,’’
881suggests that the 
agencies’ logic about not accounting for monopsony benefits is inaccurate. According to the NAS, the fallacy lies in treating the two problems, oil dependence and climate change, similarly. According to the NAS, ‘‘Like national defense, it [oil dependence] is inherently adversarial (i.e., oil 
consumers against producers using monopoly power to raise prices). The 
problem of climate change is inherently global and requires global action. If each nation considered only the benefits to itself in determining what actions to take to mitigate climate change, an adequate solution could not be achieved. Likewise, if the U.S. considers the economic harm its reduced petroleum use will do to monopolistic oil producers it will not adequately address its oil dependence problem. Thus, if the United States is to solve both of these problems it must take full account of the costs and benefits of each, using the appropriate scope for each problem.’’ At this point in time, we are continuing to exclude monopsony premiums for the cost benefit analysis of these final rules, but we will be taking comment on this issue in a near term future rulemaking. 
There is also a question about the 
ability of gradual, long-term reductions, such as those resulting from these final rules, to reduce the world oil price in the presence of OPEC’s monopoly power. OPEC is currently the world’s marginal petroleum supplier, and could conceivably respond to gradual reductions in U.S. demand with gradual reductions in supply over the course of several years as the fuel savings resulting from these rules grow. However, if OPEC opts for a long-term strategy to preserve its market share, rather than maintain a particular price level (as they have done recently in 
response to increasing U.S. petroleum production), reduced demand will create downward pressure on the global price. The Oak Ridge analysis assumes that OPEC does respond to demand reductions over the long run, but there is still a price effect in the model. Under the mid-case behavioral assumption used in the premium calculations, OPEC responds by gradually reducing supply to maintain market share (consistent 
with the long-term self-interested strategy suggested by Gately (2004, 2007)).
882 
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(2):75–96; Gately, Dermot, 2007. ‘‘What Oil Export 
Levels Should We Expect From OPEC?’’, The Energy Journal, 28(2):151–173. 883Fatih Birol, Executive Director of the 
International Energy Agency, warns that prolonged 
lower oil prices would trigger energy security concerns by increasing reliance on a small number of low-cost producers ‘‘or risk a sharp rebound in price if investment falls short.’’ ‘‘It would be a grave mistake to index our attention to energy security to changes in the oil price,’’ Birol said. ‘‘Now is not the time to relax. Quite the opposite: a period of low oil prices is the moment to reinforce our capacity to deal with future energy security threats.’’ Hussain, Y. (2015). ‘‘Grave mistake’’ to be complacent on energy security, International Energy Agency warns. Financial Post, (November 10). Retrieved from http://business.financialpost.com/ news/energy/grave-mistake-to-be-complacent-on- energy-security-international-energy-agency-warns. 
884Batovic, A. (2015). Low oil prices fuel political 
and economic instability. Global Risk Insights, 18– 19. Retrieved from http://globalriskinsights.com/ 2015/09/low-oil-prices-fuel-political-and-economic- instability/. 
885Monaldi, F. (2015). The Impact of the Decline 
in Oil Prices on the Economics, Politics and Oil Industry of Venezuela. Columbia Center on Global Energy Policy Discussion Papers, (September). Retrieved from http://energypolicy.columbia.edu/ sites/default/files/energy/Impact of the Decline in 
Oil Prices on Venezuela, September 2015.pdf. 
886Even, S., & Guzansky, Y. (2015). Falling oil 
prices and Saudi stability—Opinion. Jerusalem 
Post, (September 30). Retrieved from http://
www.jpost.com/Opinion/Falling-oil-prices-and- Saudi-stability-419534. 
887International Monetary Fund (IMF). (2015). 
IMF Regional Economic Outlook—Middle East and Central Asia. Regional Economic Outlook (Vol. 33). Tomkiw, L. (2015). Oil Rich Saudi Arabia Running Out Of Assets? IMF Report Says It’s Possible In Next 5 Years. International Business Times, October 21, 19–22. Retrieved from http://www.ibtimes.com/oil- rich-saudi-arabia-running-out-assets-imf-report-says-its-possible-next-5-years-215017. 888National Research Council, 2009. Hidden 
Costs of Energy: Unpriced Consequences of Energy Production and Use. National Academy of Science, Washington, DC. 
889See, William Nordhaus, ‘‘Who’s Afraid of a 
Big Bad Oil Shock?’’, available at http://aida.econ.
yale.edu/∼ nordhaus/homepage/Big_ Bad_ Oil_
Shock_ Meeting.pdf, and Olivier Blanchard and 
Jordi Gali, ‘‘The macroeconomic Effects of Oil price Shocks: Why are the 2000s so different from the (b) Macroeconomic Disruption 
Adjustment Costs 
The second component of the oil 
import premium, ‘‘avoided macroeconomic disruption/adjustment costs,’’ arises from the effect of oil imports on the expected cost of supply disruptions and accompanying price increases. A sudden increase in oil prices triggered by a disruption in world oil supplies has two main effects: (1) It increases the costs of oil imports in the short-run and (2) it can lead to macroeconomic contraction, dislocation and Gross Domestic Product (GDP) losses. For example, ORNL estimates the combined value of these two factors to be $6.30/barrel (2013$) when U.S. oil imports are reduced in 2025, with a range from $2.92/barrel to $10.22/barrel of imported oil reduced. 
Since future disruptions in foreign oil 
supplies are an uncertain prospect, each of the disruption cost components must be weighted by the probability that the supply of petroleum to the U.S. will actually be disrupted. Thus, the ‘‘expected value’’ of these costs—the product of the probability that a supply disruption will occur and the sum of costs from reduced economic output and the economy’s abrupt adjustment to sharply higher petroleum prices—is the relevant measure of their magnitude. Further, when assessing the energy security value of a policy to reduce oil use, it is only the change in the expected costs of disruption that results from the policy that is relevant. The expected costs of disruption may change from lowering the normal (i.e., pre- 
disruption) level of domestic petroleum use and imports, from any induced alteration in the likelihood or size of disruption, or from altering the short- run flexibility (e.g., elasticity) of 
petroleum use. 
By late 2015/early 2016, world oil 
prices were sharply lower than in 2014. Future prices remain uncertain, but sustained markedly lower oil prices can have mixed implications for U.S. energy security. Under lower prices U.S. expenditures on oil consumption are lower, and they are a less prominent 
component of the U.S. economy. This would lessen the issue of imported oil as an energy security problem for the U.S. On the other hand, sustained lower oil prices encourage greater oil consumption, and reduce the competitiveness of new U.S. oil supplies and alternative fuels. The AEO 2015 low oil price outlook, for example, projects that by 2030 total U.S. petroleum supply would be 10 percent 
lower and imports would be 78 percent higher than the AEO Reference Case. Under the low-price case, 2030 prices are 35 percent lower, so that import expenditures are 16 percent higher. 
A second potential proposed energy 
security effect of lower oil prices is increased instability of supply, due to greater global reliance on fewer suppling nations,
883and because lower 
prices may increase economic and geopolitical instability in some supplier nations.
884 885 886 The International 
Monetary Fund reported that low oil prices are creating substantial economic tension in the Middle East oil producers on top of the economic costs of ongoing conflicts, and noted the risk that Middle East countries including Saudi Arabia could run out of financial assets without substantial change in policy.
887The 
concern raised is that oil revenues are essential for some exporting nations to fund domestic programs and avoid domestic unrest. 
The Competitive Enterprise Institute 
(CEI) and others argue that there are little, if any, energy security benefits associated with these rules. In large part CEI argues that oil supplies are plentiful and that current oil prices are low so that reduced consumption of petroleum products due to these rules would have 
no effect on energy security. However, the discussion of current low oil prices (‘‘lowest Labor Day gasoline prices in a decade’’) does not assure the absence of future oil supply shocks or price shocks, or even speak to their reduced likelihood. CEI points out that the current low oil prices have been observed before as recently as a decade ago, as they have in more than one instance before that. For example, oil prices were even lower in 1999. But in the intervening periods, oil supply and price shocks have continued to recur, and the recent price record only amplifies oil’s high historical price volatility. 
Also, sharply lower world oil prices 
do not clearly imply greater energy security for the U.S. Current low world oil prices may reduce the U.S.’s fracking industry’s tight oil production (as CEI points out), or other sources of oil supplies around the world. Some have hypothesized that reduction in oil production outside of OPEC may be the objective of some OPEC producers. With low oil prices, U.S.’ oil import share over time might be larger, increasing the U.S.’ dependence on imported oil. 
Securing America’s Future Energy 
(SAFE), Operation Free and the Investor Network on Climate Risk agree that these rules do improve America’s energy security. SAFE goes on to state that several policy options should be included in these rules to further enhance energy security. The agencies agree that these rules enhances America’s energy security, but do not have information to evaluate the policy options that SAFE proposes. 
The recent economics literature on 
whether oil shocks are the threat to economic stability that they once were is mixed. Some of the current literature asserts that the macroeconomic component of the energy security externality is small. For example, the National Research Council (2009) argued that the non-environmental externalities associated with dependence on foreign oil are small, and potentially trivial.
888Analyses by 
Nordhaus (2007) and Blanchard and Gali (2010) question the impact of more recent oil price shocks on the economy.
889They were motivated by 
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1970s?’’, pp. 373–421, in The International 
Dimensions of Monetary Policy, Jordi Gali and Mark 
Gertler, editors, University of Chicago Press, February 2010, available at http://www.nber.org/ chapters/c0517.pdf. 
890In fact, ‘‘. . . energy-price changes have no 
effect on multifactor productivity and very little effect on labor productivity.’’ Page 19. He calculates the productivity effect of a doubling of oil prices as a decrease of 0.11 percent for one year and 0.04 percent a year for ten years. Page 5. (The doubling reflects the historical experience of the post-war shocks, as described in Table 7.1 in Blanchard and Gali, p. 380). 
891Blanchard and Gali, p. 414. 892See, Oil price Drops on Oversupply, http://
www.oil-price.net/en/articles/oil-price-drops-on- oversupply.php, 10/6/2014. 
893Hamilton, J. D. (2012). Oil Prices, Exhaustible 
Resources, and Economic Growth. In Handbook of Energy and Climate Change. Retrieved from http:// 
econweb.ucsd.edu/∼jhamilto/handbook_
climate.pdf. 894Ramey, V. and Vine, D., 2010, ‘‘Oil, 
Automobiles, and the U.S. Economy: How Much have Things Really Changed?’’ National Bureau of Economic Research Working Papers, WP 16067. Retrieved from http://www.nber.org/papers/ w16067.pdf [EPA–HQ–OAR–2014–0827–0601]. 
895Baumeister, C., Peersman, G., Van Robays, I., 
2010, ‘‘The Economic Consequences of Oil Shocks: Differences across Countries and Time’’, Workshop and Conference on Inflation Challenges in the Era of Relative Price Shocks. 
896Kilian, L., Vigfusson, R.J., 2014, ‘‘The Role of 
Oil Price Shocks in Causing U.S. Recessions’’, Board of Governors of the Federal Reserve System. International Finance Discussion Papers. 
897Cashin, P., Mohaddes, K., Raissi, Maziar, and 
Raissi, M., 2014, ‘‘The differential effects of oil demand and supply shocks on the global economy’’. Energy Economics. attempts to explain why the economy 
actually expanded immediately after the last shocks, and why there was no evidence of higher energy prices being passed on through higher wage inflation. Using different methodologies, they conclude that the economy has largely gotten over its concern with dramatic swings in oil prices. 
One reason, according to Nordhaus, is 
that monetary policy has become more accommodating to the price impacts of oil shocks. Another is that consumers have simply decided that such movements are temporary, and have noted that price impacts are not passed on as inflation in other parts of the economy. He also notes that real changes to productivity due to oil price increases are incredibly modest,
890and 
that the general direction of the economy matters a great deal regarding how the economy responds to a shock. Estimates of the impact of a price shock on aggregate demand are insignificantly different from zero. 
Blanchard and Gali (2010) contend 
that improvements in monetary policy (as noted above), more flexible labor markets, and lessening of energy intensity in the economy, combined with an absence of concurrent shocks, all contributed to lessen the impact of oil shocks after 1980. They find ‘‘. . . the effects of oil price shocks have changed over time, with steadily smaller effects on prices and wages, as well as on output and employment.’’
891In a 
comment at the chapter’s end, this work is summarized as follows: ‘‘The message of this chapter is thus optimistic in that it suggests a transformation in U.S. institutions has inoculated the economy against the responses that we saw in the past.’’ 
At the same time, the implications of 
the ‘‘Shale Oil Revolution’’ are now being felt in the international markets, with current prices at four year lows. Analysts generally attribute this result in part to the significant increase in supply resulting from U.S. production, which has put liquid petroleum production roughly on par with Saudi Arabia. The price decline is also attributed to the sustained reductions in 
U.S. consumption and global demand growth from fuel efficiency policies and previously high oil prices. The resulting decrease in foreign imports, down to about one-third of domestic consumption (from 60 percent in 2005, for example
892), effectively permits U.S. 
supply to act as a buffer against artificial or other supply restrictions (the latter due to conflict or a natural disaster, for example). 
However, other papers suggest that oil 
shocks, particularly sudden supply shocks, remain a concern. Both Blanchard and Gali’s and Nordhaus work were based on data and analysis through 2006, ending with a period of strong global economic growth and growing global oil demand. The Nordhaus work particularly stressed the effects of the price increase from 2002– 
2006 that were comparatively gradual (about half the growth rate of the 1973 event and one-third that of the 1990 event). The Nordhaus study emphasizes the robustness of the U.S. economy during a time period through 2006. This time period was just before rapid further increases in the price of oil and other commodities with oil prices more-than- doubling to over $130/barrel by mid- 2008, only to drop after the onset of the largest recession since the Great Depression. 
Hamilton (2012) reviewed the 
empirical literature on oil shocks and suggested that the results are mixed, noting that some work (e.g. Rasmussen 
and Roitman (2011) finds less evidence for economic effects of oil shocks, or declining effects of shocks (Blanchard and Gali 2010), while other work continues to find evidence regarding the economic importance of oil shocks. For example, Baumeister and Peersman (2011) found that an oil price increase had a decreasing effect over time. But they note that with a declining price- elasticity of demand that a given physical oil disruption would have a bigger effect on price and a similar effect on output as in the earlier data.
893 
Hamilton observes that ‘‘a negative effect of oil prices on real output has also been reported for a number of other countries, particularly when nonlinear functional forms have been employed’’. Alternatively, rather than a declining effect, Ramey and Vine (2010)
894found 
‘‘remarkable stability in the response of 
aggregate real variables to oil shocks once we account for the extra costs imposed on the economy in the 1970s by price controls and a complex system of entitlements that led to some rationing and shortages.’’ 
Some of the recent literature on oil 
price shocks has emphasized that economic impacts depend on the nature of the oil shock, with differences between price increases caused by sudden supply loss and those caused by rapidly growing demand. Most recent analyses of oil price shocks have confirmed that ‘‘demand-driven’’ oil price shocks have greater effects on oil prices and tend to have positive effects on the economy while ‘‘supply-driven’’ oil shocks still have negative economic impacts (Baumeister, Peersman and Van Robays (2010)).
895A recent paper by 
Kilian and Vigfusson (2014),896for 
example, assigned a more prominent role to the effects of price increases that are unusual, in the sense of being beyond range of recent experience. Kilian and Vigfusson also conclude that the difference in response to oil shocks may well stem from the different effects 
of demand- and supply-based price increases: ‘‘One explanation is that oil price shocks are associated with a range of oil demand and oil supply shocks, some of which stimulate the U.S. economy in the short run and some of which slow down U.S. growth (see Kilian (2009)). How recessionary the response to an oil price shock is thus depends on the average composition of oil demand and oil supply shocks over the sample period.’’ 
The general conclusion that oil 
supply-driven shocks reduce economic output is also reached in a recently published paper by Cashin et al. (2014)
897for 38 countries from 1979– 
2011. ‘‘The results indicate that the economic consequences of a supply- driven oil-price shock are very different from those of an oil-demand shock 
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898National Research Council, ‘‘Transitions to 
alternative vehicles and fuels,’’ 2013. 
899In order to determine the energy security 
benefits beyond 2040, we use the 2040 energy 
security premium multiplied by the estimate fuel savings from the final rule. Since the AEO 2015 only goes to 2040, we only calculate energy security premiums to 2040. driven by global economic activity, and 
vary for oil-importing countries compared to energy exporters,’’ and ‘‘oil importers [including the U.S.] typically face a long-lived fall in economic activity in response to a supply-driven surge in oil prices’’ but almost all countries see an increase in real output for an oil-demand disturbance. Note that the energy security premium calculation in this analysis is based on price shocks from potential future supply events only. 
Finally, despite continuing 
uncertainty about oil market behavior and outcomes and the sensitivity of the U.S. economy to oil shocks, it is generally agreed that it is beneficial to reduce petroleum fuel consumption from an energy security standpoint. It is not just imports alone, but both imports and consumption of petroleum from all sources and their role in economic activity, that may expose the U.S. to risk from price shocks in the world oil price. Reducing fuel consumption reduces the amount of domestic economic activity associated with a commodity whose price depends on volatile international markets. 
(c) Cost of Existing U.S. Energy Security 
Policies 
The last often-identified component 
of the full economic costs of U.S. oil imports are the costs to the U.S. taxpayers of existing U.S. energy security policies. The two primary examples are maintaining the Strategic Petroleum Reserve (SPR) and maintaining a military presence to help secure a stable oil supply from potentially vulnerable regions of the world. The SPR is the largest stockpile of government-owned emergency crude oil in the world. Established in the aftermath of the 1973/1974 oil embargo, the SPR provides the U.S. with a response option should a disruption in 
commercial oil supplies threaten the U.S. economy. It also allows the U.S. to meet part of its International Energy Agency obligation to maintain emergency oil stocks, and it provides a national defense fuel reserve. While the costs for building and maintaining the SPR are more clearly related to U.S. oil use and imports, historically these costs have not varied in response to changes in U.S. oil import levels. Thus, while the effect of the SPR in moderating price shocks is factored into the ORNL analysis, the cost of maintaining the SPR is excluded. 
U.S. military costs are excluded from 
the analysis performed by ORNL because their attribution to particular missions or activities is difficult, and because it is not clear that these outlays would decline in response to 
incremental reductions in U.S. oil imports. Most military forces serve a broad range of security and foreign policy objectives. The agencies also recognize that attempts to attribute some share of U.S. military costs to oil imports are further challenged by the need to estimate how those costs might vary with incremental variations in U.S. oil imports. 
In the proposal to these rules, the 
agencies solicited comments on quantifying the military benefits from reduced U.S. imports of oil. The California Air Resources Board (CARB) notes that the National Research Council (NRC)
898attempted to estimate 
the military costs associated with U.S. 
imports and consumption of petroleum. The NRC cited estimates of the national defense costs of oil dependence from the literature that range from less than $5 to $50 billion per year or more. Assuming a range of approximate range of $10 to $50 billion per year, the NRC divided national defense costs by a projected U.S. consumption rate of approximately 6.4 billion barrels per year (EIA, 2012). This procedure yielded a range of average national defense cost of $1.50–$8.00 per barrel (rounded to the nearest $0.50), with a mid-point of $5/barrel (in 2009$). The agencies acknowledge this NRC study, but have not included the estimates as part of the cost-benefit analysis for these rules. 
(3) Energy Security Benefits of This 
Program 
Using the ORNL ‘‘oil premium’’ 
methodology, updating world oil price values and energy trends using AEO 2015 and using the estimated fuel savings from these final rules estimated from the MOVES/CAFE models, the agencies have calculated the annual energy security benefits of these final rules through 2050.
899Since the 
agencies are taking a global perspective with respect to valuing greenhouse gas benefits from the rules, only the avoided macroeconomic adjustment/disruption portion of the energy security premium is used in the energy security benefits estimates present below. These results are shown below in Table IX–21. The agencies have also calculated the net present value at 3 percent and 7 percent discount rates of model year lifetime benefits associated with energy security; these values are presented in Table IX– 22. 
TABLE IX–21—A NNUAL U.S. E NERGY  
SECURITY BENEFITS OF THE FINAL 
PROGRAM AND NETPRESENT VAL-
UES AT 3% AND 7% D ISCOUNT  
RATES USING METHOD B AND REL-
ATIVE TO A FLAT BASELINE FOR  
FINAL HDV R ULES  
[In Millions of 2013$]a 
Year Benefits 
(2013$) 
2018 .............................................. $4 
2019 .............................................. 9 
2020 .............................................. 14 
2021 .............................................. 55 
2022 .............................................. 109 
2023 .............................................. 171 
2024 .............................................. 268 
2025 .............................................. 372 
2026 .............................................. 482 
2027 .............................................. 627 
2028 .............................................. 775 
2029 .............................................. 923 
2030 .............................................. 1,074 
2035 .............................................. 1,847 
2040 .............................................. 2,533 
2050 .............................................. 3,025 
NPV, 3% ....................................... 24,716 
NPV, 7% ....................................... 10,050 
TABLE IX–22—D ISCOUNTED MODEL  
YEAR LIFETIME ENERGY SECURITY  
BENEFITS DUE TO THE FINAL PRO-
GRAM AT 3% AND 7% D ISCOUNT  
RATES USING METHOD B AND REL-
ATIVE TO A FLAT BASELINE FOR  
FINAL HDV R ULES  
[Millions of 2013$]a 
Calendar 
year 3% 
Discount 
rate 7% 
Discount 
rate 
2018 .......................... $30 $21 
2019 .......................... 29 20 
2020 .......................... 28 18 
2021 .......................... 485 294 
2022 .......................... 520 304 
2023 .......................... 552 311 
2024 .......................... 849 461 
2025 .......................... 886 464 
2026 .......................... 917 463 
2027 .......................... 1,183 577 
2028 .......................... 1,182 555 
2029 .......................... 1,184 536 
Sum ................... 7,844 4,026 
J. Other Impacts 
(1) Costs of Noise, Congestion and 
Crashes Associated With Additional (Rebound) Driving 
Although it provides benefits to 
drivers as described above, increased vehicle use associated with the rebound effect also contributes to increased 
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900These estimates were developed by FHWA for 
use in its 1997 Federal Highway Cost Allocation 
Study; http://www.fhwa.dot.gov/policy/hcas/final/
index.htm (last accessed July 8, 2012). 901U.S. Department of Transportation, Valuation 
of Travel Guidance, July 9, 2014, at page 14. traffic congestion, motor vehicle 
crashes, and highway noise. Depending on how the additional travel is distributed over the day and where it takes place, additional vehicle use can contribute to traffic congestion and delays by increasing the number of vehicles using facilities that are already heavily traveled. These added delays impose higher costs on drivers and other vehicle occupants in the form of increased travel time and operating expenses. At the same time, this additional travel also increases costs associated with traffic crashes and vehicle noise. 
The agencies estimate these costs 
using the same methodology as used in the two light-duty and the HD Phase 1 rule analyses, which relies on estimates of congestion, crash, and noise costs imposed by automobiles and light trucks developed by the Federal Highway Administration to estimate these increased external costs caused by added driving.
900We provide the details 
behind the estimates in Chapter 8.7 of the RIA. Table IX–23 presents the estimated annual impacts associated with crash, congestion and noise along with net present values at both 3 percent and 7 percent discount rates. Table IX–24 presents the estimated discounted model year lifetime impacts associated with crashes, congestion and 
noise. The methodology used in this final rule is the same as that used in the proposal, except that costs were updated to 2013 dollars. 
TABLE IX–23—A NNUAL COSTS ASSO-
CIATED WITH CRASHES , C ONGES -
TION AND NOISE AND NETPRESENT  
VALUES AT 3% AND 7% D ISCOUNT  
RATES USING METHOD B AND REL-
ATIVE TO THE FLATBASELINE  
[Millions of 2013$]a 
Calendar 
year Costs of 
crashes, 
congestion, 
and noise 
2018 ........................................ $0 
2019 ........................................ 0 
2020 ........................................ 0 
2021 ........................................ 99 
2022 ........................................ 139 
2023 ........................................ 178 
2024 ........................................ 216 
2025 ........................................ 252 
2026 ........................................ 285 
2027 ........................................ 317 
2028 ........................................ 345 
2029 ........................................ 372 
2030 ........................................ 396 TABLE IX–23—A NNUAL COSTS ASSO-
CIATED WITH CRASHES , C ONGES -
TION AND NOISE AND NETPRESENT  
VALUES AT 3% AND 7% D ISCOUNT  
RATES USING METHOD B AND REL-
ATIVE TO THE FLATBASELINE —Con-
tinued 
[Millions of 2013$]a 
Calendar 
year Costs of 
crashes, 
congestion, 
and noise 
2035 ........................................ 487 
2040 ........................................ 541 
2050 ........................................ 604 
NPV, 3% ................................. 6,755 
NPV, 7% ................................. 3,070 
Note: 
aFor an explanation of analytical Methods A 
and B, please see Section I.D; for an expla-
nation of the flat baseline, 1a, and dynamic baseline, 1b, please see Section X.A.1. 
TABLE IX–24—D ISCOUNTED MODEL  
YEARLIFETIME COSTS OF CRASHES , 
CONGESTION AND NOISE AT 3% AND 
7% D ISCOUNT RATES USING METH-
ODB AND RELATIVE TO THE FLAT 
BASELINE  
[Millions of 2013$]a 
Calendar 
year 3% 
discount 
rate 7% 
Discount 
rate 
2018 .......................... $124 $80 
2019 .......................... 140 89 
2020 .......................... 158 100 
2021 .......................... 343 215 
2022 .......................... 333 201 
2023 .......................... 323 187 
2024 .......................... 319 178 
2025 .......................... 313 168 
2026 .......................... 305 158 
2027 .......................... 297 148 
2028 .......................... 289 139 
2029 .......................... 283 131 
Sum ................... 3,227 1,793 
Note: 
aFor an explanation of analytical Methods A 
and B, please see Section I.D; for an expla-nation of the flat baseline, 1a, and dynamic baseline, 1b, please see Section X.A.1. 
(2) Benefits Associated With Reduced 
Refueling Time 
By reducing the frequency with which 
drivers typically refuel their vehicles and by extending the upper limit of the range that can be traveled before requiring refueling (i.e., future fuel tank 
sizes remain constant), savings will be realized associated with less time spent refueling vehicles. Alternatively, refill intervals may remain the same (i.e., future fuel tank sizes get smaller), resulting in the same number of refills as today but less time spent per refill because there will be less fuel to refill. The agencies have estimated this impact using the former approach—by assuming that future tank sizes remain constant. 
The savings in refueling time are 
calculated as the total amount of time the driver of a typical truck in each class will save each year as a consequence of pumping less fuel into the vehicle’s tank. The calculation does not include any reduction in time spent searching for a fueling station or other time spent at the station; it is assumed that time savings occur only when truck operators are actually refueling their vehicles. 
The calculation uses the reduced 
number of gallons consumed by truck type and divides that value by the tank volume and refill amount to get the number of refills, then multiplies that by the time per refill to determine the number of hours saved in a given year. The calculation then applies DOT- recommended values of travel time savings to convert the resulting time savings to their economic value, including a 1.2 percent growth rate in those time savings going forward.
901 
The input metrics used in the analysis are presented in greater detail in RIA Chapter 9.7. The annual benefits associated with reduced refueling time are shown in Table IX–25 along with net present values at both 3 percent and 7 percent discount rates. The discounted model year lifetime benefits are shown in Table IX–26. The methodology used in this final rule is the same as that used in the proposal, except that costs have been updated to 2013 dollars. 
TABLE IX–25—A NNUAL REFUELING  
BENEFITS AND NETPRESENT VAL-
UES AT 3% AND 7% D ISCOUNT  
RATES USING METHOD B AND REL-
ATIVE TO THE FLATBASELINE  
[Millions of 2013$]a 
Calendar 
year Refueling 
benefits 
2018 .......................................... $1 
2019 .......................................... 3 
2020 .......................................... 5 
2021 .......................................... 27 
2022 .......................................... 56 
2023 .......................................... 91 
2024 .......................................... 144 
2025 .......................................... 202 
2026 .......................................... 264 
2027 .......................................... 342 
2028 .......................................... 420 
2029 .......................................... 495 
2030 .......................................... 570 
2035 .......................................... 895 
2040 .......................................... 1,141 
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TABLE IX–25—A NNUAL REFUELING  
BENEFITS AND NETPRESENT VAL-
UES AT 3% AND 7% D ISCOUNT  
RATES USING METHOD B AND REL-
ATIVE TO THE FLATBASELINE —Con-
tinued 
[Millions of 2013$]a 
Calendar 
year Refueling 
benefits 
2050 .......................................... 1,497 
NPV, 3% ................................... 11,985 
NPV, 7% ................................... 4,925 
Note: 
aFor an explanation of analytical Methods A 
and B, please see Section I.D; for an expla-
nation of the flat baseline, 1a, and dynamic baseline, 1b, please see Section X.A.1. 
TABLE IX–26—D ISCOUNTED MODEL  
YEARLIFETIME REFUELING BENEFITS  
USING METHOD B AND RELATIVE TO  
THEFLATBASELINE  
[Millions of 2013$]a 
Model 
year 3% 
discount 
rate 7% 
discount 
rate 
2018 .......................... $9 $7 
2019 .......................... 9 6 
2020 .......................... 8 6 
2021 .......................... 218 135 
2022 .......................... 255 152 
2023 .......................... 290 166 
2024 .......................... 428 236 
2025 .......................... 461 245 
2026 .......................... 491 251 
2027 .......................... 609 300 
2028 .......................... 601 285 
2029 .......................... 594 272 
Sum .......................... 3,976 2,061 
Note: 
aFor an explanation of analytical Methods A 
and B, please see Section I.D; for an expla-nation of the flat baseline, 1a, and dynamic baseline, 1b, please see Section X.A.1. 
(3) Benefits of Increased Travel 
Associated With Rebound Driving 
The increase in travel associated with 
the rebound effect produces additional benefits to vehicle owners and operators, which reflect the value of the added (or more desirable) social and economic opportunities that become accessible with additional travel. The analysis estimates the economic benefits from increased rebound-effect driving as the sum of fuel expenditures incurred plus the consumer surplus from the additional accessibility it provides. As evidenced by the fact that vehicles make more frequent or longer trips when the cost of driving declines, the benefits from this added travel exceed added expenditures for the fuel consumed. The amount by which the benefits from this increased driving exceed its increased fuel costs measures the net benefits from 
the additional travel, usually referred to as increased consumer surplus. 
The agencies’ analysis estimates the 
economic value of the increased consumer surplus provided by added driving using the conventional approximation, which is one half of the product of the decline in vehicle operating costs per vehicle-mile and the resulting increase in the annual number 
of miles driven. Because it depends on the extent of improvement in fuel economy, the value of benefits from increased vehicle use changes by model year and varies among alternative standards. Under even those alternatives that will impose the highest standards, however, the magnitude of the consumer surplus from additional vehicle use represents a small fraction of this benefit. 
The annual benefits associated with 
increased travel are shown in Table IX– 27 along with net present values at both 3 percent and 7 percent discount rates. The discounted model year lifetime benefits are shown in Table IX–28. The methodology used in this final rule is the same as that used in the proposal, except that costs have been updated to 2013 dollars. 
TABLE IX–27—A NNUAL VALUE OF IN-
CREASED TRAVEL AND NETPRESENT  
VALUES AT 3% AND 7% D ISCOUNT  
RATES USING METHOD B AND REL-
ATIVE TO THE FLATBASELINE  
[Millions of 2013$]a 
Calendar year Benefits of 
increased 
travel 
2018 ........................................ $0 
2019 ........................................ 0 
2020 ........................................ 0 
2021 ........................................ 298 
2022 ........................................ 417 
2023 ........................................ 534 
2024 ........................................ 648 
2025 ........................................ 759 
2026 ........................................ 866 
2027 ........................................ 967 
2028 ........................................ 1,064 
2029 ........................................ 1,157 
2030 ........................................ 1,247 
2035 ........................................ 1,660 
2040 ........................................ 2,043 
2050 ........................................ 2,284 
NPV, 3% ................................. 23,357 
NPV, 7% ................................. 10,343 
Note: 
aFor an explanation of analytical Methods A 
and B, please see Section I.D; for an expla-
nation of the flat baseline, 1a, and dynamic baseline, 1b, please see Section X.A.1. TABLE IX–28—D ISCOUNTED MODEL  
YEAR LIFETIME VALUE OF IN-
CREASED TRAVEL AT 3% AND 7% 
DISCOUNT RATES USING METHOD B 
AND RELATIVE TO THE FLATBASE-
LINE 
[Millions of 2013$]a 
Calendar year 3% 
discount 
rate 7% 
discount 
rate 
2018 .......................... $452 $285 
2019 .......................... 511 319 
2020 .......................... 580 358 
2021 .......................... 1,054 647 
2022 .......................... 1,038 613 
2023 .......................... 1,020 580 
2024 .......................... 1,001 549 
2025 .......................... 994 525 
2026 .......................... 982 500 
2027 .......................... 951 466 
2028 .......................... 942 445 
2029 .......................... 937 427 
Sum ................... 10,462 5,715 
Note: 
aFor an explanation of analytical Methods A 
and B, please see Section I.D; for an expla-nation of the flat baseline, 1a, and dynamic baseline, 1b, please see Section X.A.1. 
K. Summary of Benefits and Costs 
This section presents the costs, 
benefits, and other economic impacts of 
the Phase 2 standards. It is important to note that NHTSA’s fuel consumption standards and EPA’s GHG standards will both be in effect, and will jointly lead to increased fuel efficiency and reductions in GHG and non-GHG emissions. The individual categories of benefits and costs presented in the tables below are defined more fully and presented in more detail in Chapter 8 of the RIA. These include: 
•The vehicle program costs (costs of 
complying with the vehicle CO
a; and 
fuel consumption standards), 
•changes in fuel expenditures 
associated with reduced fuel use by more efficient vehicles and increased fuel use associated with the ‘‘rebound’’ effect, both of which result from the program, 
•the global economic value of 
reductions in GHGs, 
•the economic value of reductions in 
non-GHG pollutants, 
•costs associated with increases in 
noise, congestion, and crashes resulting from increased vehicle use, 
•savings in drivers’ time from less 
frequent refueling, 
•benefits of increased vehicle use 
associated with the ‘‘rebound’’ effect, and 
•the economic value of 
improvements in U.S. energy security impacts. 
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For a discussion of the cost of 
ownership and the agencies’ payback 
analysis of vehicles covered by this rule, 
please see Section IX.M. 
The agencies conducted two analyses 
using two analytical methods referred to as Method A and Method B. For an explanation of these methods, please see Section I.D. And as discussed in Section X.A.1, the agencies present estimates of benefits and costs that are measured against two different assumptions about improvements in fuel efficiency that might occur in the absence of the Phase 
2 standards. The first case (Alternative 1a) uses a baseline that projects very 
little improvement in new vehicles in the absence of new Phase 2 standards, and the second (Alternative 1b) uses a more dynamic baseline that projects more significant improvements in vehicle fuel efficiency. 
Table IX–29 shows benefits and costs 
for these standards from the perspective of a program designed to improve the nation’s energy security and conserve energy by improving fuel efficiency. 
From this viewpoint, technology costs occur when the vehicle is purchased. Fuel savings are counted as benefits that occur over the lifetimes of the vehicles produced during the model years subject to the Phase 2 standards as they consume less fuel. The table shows that benefits far outweigh the costs, and the final program is anticipated to result in large net benefits to the U.S economy. 
TABLE IX–29—L IFETIME BENEFITS & C OSTS OF THE FINAL PROGRAM FOR MODEL YEARS 2018–2029 V EHICLES USING 
ANALYSIS METHOD A 
[Billions of 2013$ discounted at 3% and 7%] 
Category Baseline 1a Baseline 1b 
3% 7% 3% 7% 
Vehicle Program: Technology and Indirect Costs, Normal Profit on Addi-
tional Investments ........................................................................................ 24.4 16.6 23.7 16.1 
Additional Routine Maintenance ...................................................................... 1.7 0.9 1.7 0.9 
Congestion, Crashes, Fatalities and Noise from Increased Vehicle Usea..... 3.2 1.9 3.1 1.8 
Total Costs ............................................................................................... 29.3 19.4 28.5 18.8 
Fuel Savings (valued at pre-tax prices) ........................................................... 163.0 87.0 149.1 79.7 
Savings from Less Frequent Refueling ........................................................... 3.2 1.7 3.0 1.6 
Economic Benefits from Additional Vehicle Use ............................................. 5.5 3.5 5.4 3.4 
Reduced Climate Damages from GHG Emissionsb....................................... 36.0 33.0 
Reduced Health Damages from Non-GHG Emissions ................................... 30.0 16.1 27.1 14.6 
Increased U.S. Energy Security ...................................................................... 7.9 4.2 7.3 3.9 
Total Benefits ............................................................................................ 246 149 225 136 
Net Benefits .............................................................................................. 216 129 197 117 
Notes: 
a‘‘Congestion, Crashes, Fatalities and Noise from Increased Vehicle Use’’ includes NHTSA’s monetized value of estimated reductions in the 
incidence of highway fatalities associated with mass reduction in HD pickup and vans, but this does not include these reductions from tractor- 
trailers or vocational vehicles. This likely results in a conservative overestimate of these costs. 
bBenefits and net benefits use the 3 percent average global SC-CO 2, SC-CH 4, and SC-N 2O value applied to CO 2, CH 4, and N 2O emissions, 
respectively; GHG reductions also include HFC reductions, and include benefits to other nations as well as the U.S. See RIA Chapter 8.5 and Preamble Section IX.G for further discussion. 
Table IX–30 through Table IX–32 
report benefits and cost from the 
perspective of reducing GHG. Table IX– 30 shows the annual impacts and net benefits of the final program for selected future years, together with the net present values of cumulative annual impacts from 2018 through 2050, discounted at 3 percent and 7 percent rates. Table IX–31 and Table IX–32 show 
the discounted lifetime costs and benefits for each model year affected by the Phase 2 standards at 3 percent and 7 percent discount rates, respectively. 
TABLE IX–30—A NNUAL BENEFITS & C OSTS OF THE FINAL PROGRAM AND NETPRESENT VALUES AT 3% AND7% 
DISCOUNT RATES USING METHOD B ANDRELATIVE TO THE FLATBASELINE  
[Billions of 2013$]a 
2018 2021 2024 2030 2035 2040 2050 NPV, 3% NPV, 7% 
Vehicle program ................................................................................ ¥$0.2 ¥$2.5 ¥$4.2 ¥$5.2 ¥$5.7 ¥$6.3 ¥$7.3 ¥$87.8 ¥$41.9 
Maintenance ...................................................................................... 0.0 0.0 ¥0.1 ¥0.2 ¥0.2 ¥0.2 ¥0.2 ¥3.2 ¥1.5 
Pre-tax fuel ........................................................................................ 0.1 1.3 6.1 23.4 38.9 53.1 63.4 523.3 213.8 
Energy security ................................................................................. 0.0 0.1 0.3 1.1 1.8 2.5 3.0 24. 7 10.1 
Crashes/Congestion/Noise ................................................................ 0.0 ¥0.1 ¥0.2 ¥0.4 ¥0.5 ¥0.5 ¥0.6 ¥6.8 ¥3.1 
Refueling impacts .............................................................................. 0.0 0.0 0.1 0.6 0.9 1.1 1.5 12.0  4.9 
Travel value ....................................................................................... 0.0 0.3 0.6 1.2 1.7 2.0 2.3 23.4 10.3 
Non-GHG impacts ............................................................................. 0.0 to 
0.0 0.2 to 
0.5 0.7 to 
1.8 2.7 to 
6.8 4.1 to 
10.1 5.0 to 
12.5 6.0 to 
15.0 58.8 to 
132.0 22.1 to 49.7 
GHG:bc 
SC-GHG; 5% Avg ...................................................................... 0.0 0.1 0.4 1.7 2.8 3.9 5.8 25.1 25.1 
SC-GHG; 3% Avg ...................................................................... 0.0 0.3 1.4 5.2 8.4 11.1 15.2 115.4 115.4 
SC-GHG; 2.5% Avg ................................................................... 0.0 0.4 2.0 7.5 11.9 15.5 20.9 183.1 183.1 
SC-GHG; 3% 95th ..................................................................... 0.1 0.9 4.1 15.6 25.5 33.6 46.6 351.0 351.0  
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TABLE IX–30—A NNUAL BENEFITS & C OSTS OF THE FINAL PROGRAM AND NETPRESENT VALUES AT 3% AND7% 
DISCOUNT RATES USING METHOD B ANDRELATIVE TO THE FLATBASELINE —Continued 
[Billions of 2013$]a 
2018 2021 2024 2030 2035 2040 2050 NPV, 3% NPV, 7% 
Net benefits: 
SC-GHG; 5% Avg ...................................................................... ¥0.1 ¥0.6 4.3 26.7 46.6 64.3 78.2 606.2 253.8 
SC-GHG; 3% Avg ...................................................................... ¥0.1 ¥0.4 5.2 30.2 52.2 71.4 87.6 696.4 344.0 
SC-GHG; 2.5% Avg ................................................................... ¥0.1 ¥0.3 5.9 32.6 55.7 75.8 93.3 764.2 411.8 
SC-GHG; 3% 95th ..................................................................... 0.0 0.2 8.0 40.7 69.4 94.0 119.0 932.1 579. 7 
Notes: 
aPositive values denote decreased social costs (benefits); negative values denote increased social costs. For an explanation of analytical Methods A and B, please 
see Section I.D; for an explanation of the flat baseline, 1a, and dynamic baseline, 1b, please see Section X.A.1. 
bGHG benefit estimates include reductions in CO 2, CH 4, and N 2O but do not include the HFC reductions, as discussed in Section IX.G. Net present value of re-
duced GHG emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SC-CO 2, 
SC-CH 4, and SC-N 2O, each discounted at rates of 5, 3, 2.5 percent) is used to calculate net present value of SC-CO 2, SC-CH 4, and SC-N 2O, respectively, for inter-
nal consistency. Refer to the SC-CO 2TSD for more detail. 
cSection IX.G notes that SC-GHGs increases over time. For the years 2012–2050, the SC-CO 2estimates range as follows: For Average SC-CO 2at 5%: $12–$28; 
for Average SC-CO 2at 3%: $37–$77; for Average SC-CO 2at 2.5%: $58–$105; and for 95th percentile SC-CO 2at 3%: $105–$237. For the years 2012–2050, the SC- 
CH 4estimates range as follows: For Average SC-CH 4at 5%: $440–$1,400; for Average SC-CH 4at 3%: $1,000–$2,700; for Average SC-CH 4at 2.5%: $1,400– 
$3,400; and for 95th percentile SC-CH 4at 3%: $2,800–$7,400. For the years 2012–2050, the SC-N 2O estimates range as follows: For Average SC-N 2O at 5%: 
$4,000–$12,000; for Average SC-N 2O at 3%: $14,000–$30,000; for Average SC-N 2O at 2.5%: $21,000–$41,000; and for 95th percentile SC-N 2O at 3%: $36,000– 
$79,000. Section IX.G also presents these SC-GHG estimates. 
TABLE IX–31—D ISCOUNTED MODEL YEARLIFETIME BENEFITS & C OSTS OF THE FINAL PROGRAM USING METHOD B AND 
RELATIVE TO THE FLATBASELINE  
[Billions of 2013$ discounted at 3%]a 
2018 2019 2020 2021 2022 2023 2024 2025 2026 2027 2028 2029 Sum 
Vehicle program ........................................................................ ¥$0.2 ¥$0.2 ¥$0.2 ¥$2.1 ¥$2.0 ¥$2.1 ¥$3.1 ¥$3.0 ¥$3.0 ¥$3.6 ¥$3.5 ¥$3.4 ¥$26.5 
Maintenance .............................................................................. ¥0.01 ¥0.01 ¥0.01 ¥0.15 ¥0.16 ¥0.16 ¥0.18 ¥0.18 ¥0.17 ¥0.30 ¥0.29 ¥0.29 ¥1.9 
Pre-tax fuel ................................................................................ 0.7 0.7 0.6 10.7 11.4 12.0 18.5 19. 1 19.7 25.3 25.2 25.1 169.1 
Energy security ......................................................................... 0.0 0.0 0.0 0.5 0.5 0.6 0.8 0.9 0.9 1.2 1.2 1.2 7.8 
Crashes/Congestion/Noise ....................................................... ¥0.1 ¥0.1 ¥0.2 ¥0.3 ¥0.3 ¥0.3 ¥0.3 ¥0.3 ¥0.3 ¥0.3 ¥0.3 ¥0.3 ¥3.2 
Refueling ................................................................................... 0.0 0.0 0.0 0.2 0.3 0.3 0.4 0.5 0.5 0.6 0.6 0.6 4.0 
Travel value .............................................................................. 0.5 0.5 0.6 1.1 1.0 1.0 1.0 1.0 1.0 1.0 0.9 0.9 10.5 
Non-GHG .................................................................................. 0.1 to 
0.3 0.1 to 
0.2 0.1 to 
0.2 1.4 to 
3.2 1.4 to 
3.2 1.5 to 
3.3 2.3 to 
5.2 2.3 to 
5.3 2.2 to 
4.8 2.8 to 
6.2 2.7 to 
6.1 2.7 to 
6.0 19.6 to 
44.1 
GHG:bc 
SC-GHG; 5% Avg .............................................................. 0.0 0.0 0.0 0.6 0.6 0.6 1.0 1.0 1.0 1.3 1.2 1.2 8.6  
SC-GHG; 3% Avg .............................................................. 0.2 0.1 0.1 2.4 2.6 2.7 4.1 4.2 4.3 5.5 5.5 5.5 37. 2 
SC-GHG; 2.5% Avg ........................................................... 0.2 0.2 0.2 3.7 4.0 4.2 6.4 6.6 6.8 8.7 8.6 8.6 58.3  
SC-GHG; 3% 95th ............................................................. 0.5 0.4 0.4 7.2 7.7 8.0 12.3 12.7 13.1 16.8 16.7 16 .6 112.5 
Net benefits: 
SC-GHG; 5% Avg .............................................................. 1.1 1.1 1.1 12.8 13.7 14.3 21.8 22.7 23.1 29.6 29.5  29.5 200.2 
SC-GHG; 3% Avg .............................................................. 1.2 1.2 1.2 14.6 15.6 16.3 24.9 26.0 26.4 33.9 33.8  33.7 228.8 
SC-GHG; 2.5% Avg ........................................................... 1.3 1.3 1.3 16.0 17.1 17.8 27.2 28.4 28.9 37.0 36.9 36.9 249.9 
SC-GHG; 3% 95th ............................................................. 1.5 1.5 1.5 19.5 20.8 21.7 33.2 34.5 35.2 45.1 44.9  44.9 304.1 
Notes: 
aPositive values denote decreased social costs (benefits); negative values denote increased social costs. For an explanation of analytical Methods A and B, please see Section I.D; for an ex-
planation of the flat baseline, 1a, and dynamic baseline, 1b, please see Section X.A.1.c 
bGHG benefit estimates include reductions in CO 2, CH 4, and N 2O but do not include the HFC reductions, as discussed in Section IX.G. Net present value of reduced GHG emissions is cal-
culated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SC-CO 2, SC-CH 4, and SC-N 2O, each discounted at rates of 5, 3, 
2.5 percent) is used to calculate net present value of SC-CO 2, SC-CH 4, and SC-N 2O, respectively, for internal consistency. Refer to the SC-CO 2TSD for more detail. 
cSection IX.G notes that SC-GHG increases over time. For the years 2012–2050, the SC-CO 2estimates range as follows: For Average SC-CO 2at 5%: $12–$28; for Average SC-CO 2at 3%: 
$37–$77; for Average SC-CO 2at 2.5%: $58–$105; and for 95th percentile SC-CO 2at 3%: $105–$237. For the years 2012–2050, the SC-CH 4estimates range as follows: For Average SC-CH 4 
at 5%: $440–$1,400; for Average SC-CH 4at 3%: $1,000–$2,700; for Average SC-CH 4at 2.5%: $1,400–$3,400; and for 95th percentile SC-CH 4at 3%: $2,800–$7,400. For the years 2012–2050, 
the SC-N 2O estimates range as follows: For Average SC-N 2O at 5%: $4,000–$12,000; for Average SC-N 2O at 3%: $14,000–$30,000; for Average SC-N 2O at 2.5%: $21,000–$41,000; and for 
95th percentile SC-N 2O at 3%: $36,000–$79,000. Section IX.G also presents these SC-GHG estimates. 
TABLE IX–32—D ISCOUNTED MODEL YEARLIFETIME BENEFITS & C OSTS OF THE FINAL PROGRAM USING METHOD B AND 
RELATIVE TO THE FLATBASELINE  
[Billions of 2013$ discounted at 7%]ab 
2018 2019 2020 2021 2022 2023 2024 2025 2026 2027 2028 2029 Sum 
Vehicle program ........................ ¥$0.2 ¥$0.2 ¥$0.2 ¥$1.6 ¥$1.5 ¥$1.5 ¥$2.2 ¥$2.0 ¥$1.9 ¥$2.2 ¥$2.1 ¥$2.0 ¥$17.6 
Maintenance .............................. 0.00 0.00 0.00 ¥0.10 ¥0.09 ¥0.09 ¥0.10 ¥0.10 ¥0.09 ¥0.15 ¥0.14 ¥0.13 ¥1.0 
Pre-tax fuel ................................ 0.5 0.4 0.4 6.6 6.7 6.8 10.1 10.1 10.0 12.4 11.9 11.4 87.2 
Energy security ......................... 0.0 0.0 0.0 0.3 0.3 0.3 0.5 0.5 0.5 0.6 0.6 0.5 4.0 
Crashes/Congestion/Noise ........ ¥0.1 ¥0.1 ¥0.1 ¥0.2 ¥0.2 ¥0.2 ¥0.2 ¥0.2 ¥0.2 ¥0.1 ¥0.1 ¥0.1 ¥1.8 
Refueling ................................... 0.0 0.0 0.0 0.1 0.2 0.2 0.2 0.2 0.3 0.3 0.3 0.3 2.1 
Travel value ............................... 0.3 0.3 0.4 0.6 0.6 0.6 0.5 0.5 0.5 0.5 0.4 0.4 5.7 
Non-GHG .................................. 0.1 to 
0.2 0.1 to 
0.1 0.1 to 
0.1 0.8 to 
1.8 0.8 to 
1.7 0.8 to 
1.7 1.1 to 
2.6 1.1 to 
2.5 1.0 to 
2.2 1.2 to 
2.7 1.2 to 
2.6 1.1 to 
2.5 9.2 to 
20.8 
GHG:bc 
SC-GHG; 5% Avg .............. 0.0 0.0 0.0 0.6 0.6 0.6 1.0 1.0 1.0 1.3 1.2 1.2 8.6 
SC-GHG; 3% Avg .............. 0.2 0.1 0.1 2.4 2.6 2.7 4.1 4.2 4.3 5.5 5.5 5.5 37.2 
SC-GHG; 2.5% Avg ........... 0.2 0.2 0.2 3.7 4.0 4.2 6.4 6.6 6.8 8.7 8.6 8.6 58.3 
SC-GHG; 3% 95th ............. 0.5 0.4 0.4 7.2 7.7 8.0 12.3 12.7 13.1 16.8 16.7 16.6 112.5 
Net benefits: 
SC-GHG; 5% Avg .............. 0.7 0.7 0.6 7.6 7.9 7.9 11.7 11.8 11.6 14.4 13.9 13.5 102.3 
SC-GHG; 3% Avg .............. 0.8 0.8 0.8 9.4 9.8 10.0 14.8 15.1 15.0 18.7 18.2 17.7 130.9 
SC-GHG; 2.5% Avg ........... 0.9 0.9 0.8 10.7 11.2 11.4 17.1 17.4 17.4 21.9 21.3 20.9 151.9 
SC-GHG; 3% 95th ............. 1.1 1.1 1.0 14.2 14.9 15.3 23.0 23.6 23.7 29.9 29.3 28.9 206.1 
Notes: 
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902Available at http://www.whitehouse.gov/sites/ 
default/files/omb/inforeg/eo12866/eo13563 _
01182011.pdf. 
903The employment analysis in this RIA is part 
of EPA’s ongoing effort to ‘‘conduct continuing 
evaluations of potential loss or shifts of employment which may result from the administration or enforcement of [the Act]’’ pursuant to CAA section 321(a). 
904U.S. Department of Labor, Bureau of Labor 
Statistics. ‘‘Automotive Industry; Employment, Earnings, and Hours.’’ http://www.bls.gov/iag/tgs/ iagauto.htm, accessed 4/20/16. 905See Layard, P.R.G., and A. A. Walters (1978), 
Microeconomic Theory (McGraw-Hill, Inc.), Chapter 9 (Docket ID EPA–HQ–OAR–2014–0827– 0070), a standard microeconomic theory textbook treatment, for a discussion. 906Berman, E. and L. T. M. Bui (2001). 
‘‘Environmental Regulation and Labor Demand: Evidence from the South Coast Air Basin.’’ Journal of Public Economics 79(2): 265–295 (Docket EPA– HQ–OAR–2014–0827–0074). The authors also discuss a third component, the impact of regulation on factor prices, but conclude that this effect is unlikely to be important for large competitive factor markets, such as labor and capital. Morgenstern, Pizer and Shih (Morgenstern, Richard D., William A. Pizer, and Jhih-Shyang Shih (2002). ‘‘Jobs versus the Environment: An Industry-Level Perspective.’’ Journal of Environmental Economics and Management 43: 412–436, Docket EPA–HQ–OAR– 2014–0827–0088) use a similar model, but they break the employment effect into three parts: (1) A demand effect; (2) a cost effect; and (3) a factor-shift effect. aPositive values denote decreased social costs (benefits); negative values denote increased social costs. For an explanation of analytical Methods A and B, please 
see Section I.D; for an explanation of the flat baseline, 1a, and dynamic baseline, 1b, please see Section X.A.1. 
bGHG benefit estimates include reductions in CO 2, CH 4, and N 2O but do not include the HFC reductions, as discussed in Section IX.G. Net present value of re-
duced GHG emissions is calculated differently than other benefits. The same discount rate used to discount the value of damages from future emissions (SC-CO 2, 
SC-CH 4, and SC-N 2O, each discounted at rates of 5, 3, 2.5 percent) is used to calculate net present value of SC-CO 2, SC-CH 4, and SC-N 2O, respectively, for inter-
nal consistency. Refer to the SC-CO 2TSD for more detail. 
cSection IX.G notes that SC-GHG increases over time. For the years 2012–2050, the SC-CO 2estimates range as follows: For Average SC-CO 2at 5%: $12–$28; 
for Average SC-CO 2at 3%: $37–$77; for Average SC-CO 2at 2.5%: $58–$105; and for 95th percentile SCCO 2at 3%: $105–$237. For the years 2012–2050, the SC- 
CH 4estimates range as follows: For Average SC-CH 4at 5%: $440–$1,400; for Average SC-CH 4at 3%: $1,000–$2,700; for Average SC-CH 4at 2.5%: $1,400–$3,400; 
and for 95th percentile SC-CH 4at 3%: $2,800–$7,400. For the years 2012–2050, the SC-N 2O estimates range as follows: For Average SC-N 2O at 5%: $4,000– 
$12,000; for Average SC-N 2O at 3%: $14,000–$30,000; for Average SC-N 2O at 2.5%: $21,000–$41,000; and for 95th percentile SC-N 2O at 3%: $36,000–$79,000. 
Section IX.G also presents these SC-GHG estimates. 
L. Employment Impacts 
Executive Order 13563 (January 18, 
2011) directs federal agencies to 
consider regulatory impacts on, among other criteria, job creation.
902According 
to the Executive Order ‘‘Our regulatory system must protect public health, welfare, safety, and our environment while promoting economic growth, innovation, competitiveness, and job creation. It must be based on the best available science.’’ Analysis of employment impacts of a regulation is not part of a standard benefit-cost analysis (except to the extent that labor costs contribute to costs). Employment impacts of federal rules are of general interest, however, and have been particularly so, historically, in the auto sector during periods of challenging labor market conditions. For this reason, we are describing the connections of these standards to employment in the regulated sector, the motor vehicle manufacturing sector, as well as the motor vehicle body and trailer and motor vehicle parts manufacturing sectors.
903 
The overall effect of the final rules on 
motor vehicle sector employment depends on the relative magnitude of output and substitution effects, described below. Because we do not have quantitative estimates of the output effect, and only a partial estimate of the substitution effect, we cannot reach a quantitative estimate of the overall employment effects of the final rules on motor vehicle sector employment or even whether the total effect will be positive or negative. 
According to the U.S. Bureau of Labor 
Statistics, in 2015, about 910,000 people in the U.S. were employed in the Motor Vehicle and Parts Manufacturing Sector (NAICS 3361, 3362, and 3363),
904the directly regulated sector. The 
employment effects of these final rules are expected to expand beyond the regulated sector. Though some of the parts used to achieve these standards are likely to be built by motor vehicle manufacturers (including trailer manufacturers) themselves, the motor vehicle parts manufacturing sector also plays a significant role in providing those parts, and will also be affected by changes in vehicle sales. Changes in truck sales, discussed in Section IX.F.(2), could also affect employment for truck and trailer vendors. As discussed in Section IX.C., this final rule is expected to reduce the amount of fuel these vehicles use, and thus affect the petroleum refinery and supply industries as well. Finally, since the net reduction in cost associated with these final rules is expected to lead to lower transportation and shipping costs, in a competitive market a substantial portion of those cost savings will be passed along to consumers, who then will have additional discretionary income (how much of the cost is passed along to consumers depends on market structure and the relative price elasticities). The final rules are not expected to have any notable inflationary or recessionary effect. 
The employment effects of 
environmental regulation are difficult to disentangle from other economic changes and business decisions that affect employment, over time and across regions and industries. In light of these difficulties, we lean on economic theory 
to provide a constructive framework for approaching these assessments and for better understanding the inherent complexities in such assessments. Neoclassical microeconomic theory describes how profit-maximizing firms adjust their use of productive inputs in response to changes in their economic conditions.
905Berman and Bui (2001, 
pp. 274–75) model two components that drive changes in firm-level labor demand: Output effects and substitution effects.
906Regulation can affect the 
profit-maximizing quantity of output by changing the marginal cost of production. If regulation causes marginal cost to increase, it will place upward pressure on output prices, leading to a decrease in the quantity demanded, and resulting in a decrease in production. The output effect describes how, holding labor intensity constant, a decrease in production causes a decrease in labor demand. As noted by Berman and Bui, although many assume that regulation increases marginal cost, it need not be the case. A regulation could induce a firm to upgrade to less polluting and more efficient equipment that lowers marginal production costs, or it may induce use of technologies that may prove popular with buyers or provide positive network externalities (see Section IX.A. for discussion of this effect). In such a case, output could increase. 
The substitution effect describes how, 
holding output constant, regulation affects labor intensity of production. Although increased environmental regulation may increase use of pollution control equipment and energy to operate that equipment, the impact on labor demand is ambiguous. For example, equipment inspection requirements, specialized waste handling, or pollution technologies that alter the production process may affect the number of workers necessary to produce a unit of output. Berman and Bui (2001) model the substitution effect as the effect of regulation on pollution control equipment and expenditures required 
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907See Ehrenberg, Ronald G., and Robert S. Smith 
(2000), Modern Labor Economics: Theory and 
Public Policy (Addison Wesley Longman, Inc.), p. 108, Docket EPA–HQ–OAR–2014–0827–0077. 
908This discussion draws from Berman, E. and L. 
T. M. Bui (2001). ‘‘Environmental Regulation and Labor Demand: Evidence from the South Coast Air Basin.’’ Journal of Public Economics 79(2): 265–295 (Docket EPA–HQ–OAR–2014–0827), p. 293, Docket EPA–HQ–OAR–2014–0827–0074. 909Full employment is a conceptual target for the 
economy where everyone who wants to work and is available to do so at prevailing wages is actively employed. The unemployment rate at full employment is not zero. 
910Arrow et al. (1996). ‘‘Benefit-Cost Analysis in 
Environmental, Health, and Safety Regulation: A Statement of Principles.’’ American Enterprise Institute, the Annapolis Center, and Resources for the Future, Docket EPA–HQ–OAR–2014–0827– 0073. See discussion on bottom of p. 6. In practice, distributional impacts on individual workers can be important, as discussed later in this section. 911Schmalensee, Richard, and Robert N. Stavins. 
‘‘A Guide to Economic and Policy Analysis of EPA’s Transport Rule.’’ White paper commissioned by Excelon Corporation, March 2011, Docket EPA– HQ–OAR–2014–0827–0071. 
912Klaiber, H. Allen, and V. Kerry Smith (2012). 
‘‘Developing General Equilibrium Benefit Analyses for Social Programs: An Introduction and Example.’’ Journal of Benefit-Cost Analysis 3(2), 
Docket EPA–HQ–OAR–2014–0827–0086. 
913E.g. Graff Zivin, J., and M. Neidell (2012). 
‘‘The Impact of Pollution on Worker Productivity.’’ American Economic Review 102: 3652–3673, Docket EPA–HQ–OAR–2014–0827–0092. by the regulation and the corresponding 
change in labor intensity of production. 
In summary, as output and 
substitution effects may be positive or negative, theory alone cannot predict the direction of the net effect of regulation on labor demand at the level of the regulated firm. Operating within the bounds of standard economic theory, empirical estimation of net employment effects on regulated firms is possible when data and methods of sufficient detail and quality are available. The literature, however, illustrates difficulties with empirical estimation. For example, studies sometimes rely on confidential plant- level employment data from the U.S. Census Bureau, possibly combined with pollution abatement expenditure data that are too dated to be reliably informative. In addition, the most commonly used empirical methods do not permit estimation of net effects. 
The conceptual framework described 
thus far focused on regulatory effects on plant-level decisions within a regulated industry. Employment impacts at an individual plant do not necessarily represent impacts for the sector as a whole. The approach must be modified when applied at the industry level. At the industry level, labor demand is more responsive if: (1) The price elasticity of demand for the product is high, (2) other factors of production can be easily substituted for labor, (3) the supply of other factors is highly elastic, or (4) labor costs are a large share of total production costs.
907For example, if all 
firms in an industry are faced with the same regulatory compliance costs and product demand is inelastic, then industry output may not change much, and output of individual firms may change slightly.
908In this case, the 
output effect may be small, while the substitution effect depends on input substitutability. Suppose, for example, that new equipment for fuel efficiency improvements requires labor to install and operate. In this case, the substitution effect may be positive, and with a small output effect, the total effect may be positive. As with potential effects for an individual firm, theory cannot determine the sign or magnitude of industry-level regulatory effects on labor demand. Determining these signs and magnitudes requires additional sector-specific empirical study. For environmental rules, much of the data needed for these empirical studies is not publicly available, would require significant time and resources in order to access confidential U.S. Census data for research, and also would not be necessary for other components of a typical RIA. 
In addition to changes to labor 
demand in the regulated industry, net employment impacts encompass changes in other related sectors. For example, these standards are expected to increase demand for fuel-saving technologies. This increased demand may increase revenue and employment in the firms providing these technologies. At the same time, the regulated industry is purchasing the equipment, and these costs may impact labor demand at regulated firms. Therefore, it is important to consider the net effect of compliance actions on employment across multiple sectors or industries. 
If the U.S. economy is at full 
employment, even a large-scale environmental regulation is unlikely to have a noticeable impact on aggregate net employment.
909Instead, labor 
would primarily be reallocated from one productive use to another, and net national employment effects from environmental regulation would be small and transitory (e.g., as workers 
move from one job to another).
910The 
International Union, United Automobile, Aerospace and Agricultural Implement Workers of America (UAW) commented that, when the 900,000 workers in the auto sector are combined with ‘‘jobs from other sectors that are dependent on the industry,’’ the industry ‘‘is responsible for 7.25 million jobs nationwide, or about 3.8 percent of private-sector employment.’’ The agencies consider the 900,000 motor- vehicle-sector jobs to be in the industry directly affected by these standards; for the reasons discussed here, the overall state of the U.S. economy is likely to have a much more significant effect on the people employed in other sectors than these standards. Affected sectors may experience 
transitory effects as workers change 
jobs. Some workers may retrain or relocate in anticipation of new requirements or require time to search for new jobs, while shortages in some sectors or regions could bid up wages to attract workers. These adjustment costs can lead to local labor disruptions. Although the net change in the national workforce is expected to be small, localized reductions in employment 
may adversely impact individuals and communities just as localized increases may have positive impacts. 
If the economy is operating at less 
than full employment, economic theory does not clearly indicate the direction or magnitude of the net impact of environmental regulation on employment; it could cause either a short-run net increase or short-run net decrease.
911An important research 
question is how to accommodate unemployment as a structural feature in economic models. This feature may be important in assessing large-scale regulatory impacts on employment.
912 
Environmental regulation may also 
affect labor supply. In particular, pollution and other environmental risks may impact labor productivity or employees’ ability to work.
913While the 
theoretical framework for analyzing labor supply effects is analogous to that for labor demand, it is more difficult to study empirically. There is a small emerging literature described in the next section that uses detailed labor and environmental data to assess these impacts. 
To summarize, economic theory 
provides a framework for analyzing the impacts of environmental regulation on employment. The net employment effect incorporates expected employment changes (both positive and negative) in the regulated sector and elsewhere. Labor demand impacts for regulated firms, and also for the regulated industry, can be decomposed into output and substitution effects which may be either negative or positive. Estimation of net employment effects for regulated sectors is possible when data of sufficient detail and quality are 
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914Quiggle, Ben. ‘‘RV sales projected to be 
stronger in 2016 thanks to low gas prices, steady 
economy,’’ The Elkhart Truth, March 6, 2016. 
http://www.elkharttruth.com/news/business/2016/ 03/03/RV-sales-projected-to-be-stronger-in-2016- thanks-to-low-gas-prices-steady-economy.html, accessed 3/28/2016, Docket EPA–HQ–OAR–2014- 0827. 
915Morris, Frank. ‘‘Ready For A Road Trip? RVs 
Are Rolling Back Into Fashion,’’ Morning Edition on NPR, March 28, 2016. http://www.npr.org/2016/03/ 
28/468172578/ready-for-a-road-trip-rvs-are-rolling- back-into-fashion, accessed 3/28/2016, Docket EPA–HQ–OAR–2014–0827. 
916Quiggle, Ben. ‘‘RV sales projected to be 
stronger in 2016 thanks to low gas prices, steady economy,’’ The Elkhart Truth, March 6, 2016. 
http://www.elkharttruth.com/news/business/2016/ 03/03/RV-sales-projected-to-be-stronger-in-2016- thanks-to-low-gas-prices-steady-economy.html, accessed 3/28/2016, Docket EPA–HQ–OAR–2014– 0827. 
917See Hamermesh (1993), Labor Demand 
(Princeton, NJ: Princeton University Press), Chapter 2 (Docket EPA–HQ–OAR–2014–0827–0082) for a detailed treatment. 
918See Ehrenberg, Ronald G., and Robert S. Smith 
(2000), Modern Labor Economics: Theory and Public Policy (Addison Wesley Longman, Inc.), Chapter 4 (Docket EPA–HQ–OAR–2014–0827– 0077), for a concise overview. 
919Berman, E. and L. T. M. Bui (2001). 
‘‘Environmental Regulation and Labor Demand: Evidence from the South Coast Air Basin.’’ Journal of Public Economics 79(2): 265–295 (Docket EPA– HQ–OAR2014–0827–0074). Morgenstern, Richard D., William A. Pizer, and Jhih-Shyang Shih. ‘‘Jobs Versus the Environment: An Industry-Level Perspective.’’ Journal of Environmental Economics and Management 43 (2002): 412–436, Docket EPA– HQ–OAR–2014–0827–0088; Gray et al. (2014), ‘‘Do 
EPA Regulations Affect Labor Demand? Evidence from the Pulp and Paper Industry,’’ Journal of Environmental Economics and Management 68: 188–202, Docket EPA–HQ–OAR–2014–0827–0080; and Ferris, Shadbegian and Wolverton (2014), ‘‘The Effect of Environmental Regulation on Power Sector Employment: Phase I of the Title IV SO
2Trading Program,’’ Journal of the Association of 
Environmental and Resource Economists 1: 521– 553, Docket EPA–HQ–OAR–2014–0827–0078. 
920Greenstone, M. (2002). ‘‘The Impacts of 
Environmental Regulations on Industrial Activity: Evidence from the 1970 and 1977 Clean Air Act Amendments and the Census of Manufactures,’’ Journal of Political Economy 110(6): 1175–1219 (Docket EPA–HQ–OAR–2014–0827–0081); Walker, Reed. (2011). ‘‘Environmental Regulation and Labor Reallocation.’’ American Economic Review: Papers and Proceedings 101(3): 442–447 (Docket EPA–HQ– OAR–2014–0827–0091). 
921List, J. A., D. L. Millimet, P. G. Fredriksson, 
and W. W. McHone (2003). ‘‘Effects of Environmental Regulations on Manufacturing Plant Births: Evidence from a Propensity Score Matching Estimator.’’ The Review of Economics and Statistics 85(4): 944–952 (Docket EPA–HQ–OAR2014–0827– 0087). available. Finally, economic theory 
suggests that labor supply effects are also possible. In the next section, we discuss the empirical literature. 
Achates Power, the American Council 
for an Energy-Efficient Economy, BlueGreen Alliance, Ceres, Environmental Defense Fund (EDF), Natural Resources Defense Council, and JD Gilroy expressed support for the standards’ potential to increase employment in the vehicle manufacturing industry. They argued that the standards will drive new jobs, reward organizations that innovate with respect to fuel efficiency, and help maintain the U.S. position as a leader in industries related to truck manufacturing and fuel efficiency technology. Brian Mannix points out the difficulty associated with generating complete employment forecasts that include all direct and indirect effects. He concludes that the agencies are correct to be careful about estimating a definitive forecast. 
Comments from the International 
Union, United Automobile, Aerospace and Agricultural Implement Workers of America (UAW) urge EPA and NHTSA to ensure that the standards avoid market disruptions or ‘‘pre-buy/no-buy’’ boom and bust cycles. UAW suggests that in the past, market disruptions caused by pre-buy in anticipation of the 2007 and 2010 NO
Xand PM standards 
contributed to the layoff of 10,000 UAW workers in 2009, though these layoffs were also partly driven by the Great Recession. As pointed out in the comments from EDF, fuel economy standards are fundamentally different from the past standards, because increases in costs for new technology are offset by fuel savings that accrue to the buyer. As a result these standards are less likely to cause disruptions to vehicle purchasing trends. Moreover, as discussed in Section IX.F.(2) above, there is no evidence to date that the HD GHG/fuel consumption rules have resulted in pre-buy/no-buys. 
NAFA Fleet Management Association 
expressed concern that the standards would make it more difficult to hire qualified drivers and technicians, and would require additional employee training. As discussed in Section IX.A., the effects of the standards on hiring and retention of drivers and technicians 
are not well understood. The agencies expect that normal market forces should help to alleviate any labor shortages, whether or not they are associated with the standards. The Recreational Vehicle (RV) Industry Association expresses concern that buyers RVs do not consider fuel expenditures when purchasing vehicles; as a result, increased up-front costs of the vehicle might reduce their 
sales. The RV industry was disproportionately hurt during the Great Recession and has only recently experienced a recovery.
914 915 However, 
one of the main drivers of the turn- around appears to be low gas prices,
916 
which suggests that RV buyers may put some weight on fuel savings in their buying decisions; if so, the reduction in expected fuel costs may mitigate at least some of the effect of higher up-front prices. 
(1) Current State of Knowledge Based on 
the Peer-Reviewed Literature 
In the labor economics literature there 
is an extensive body of peer-reviewed empirical work analyzing various aspects of labor demand, relying on the above theoretical framework.
917This 
work focuses primarily on the effects of employment policies, e.g. labor taxes, 
minimum wage, etc.
918In contrast, the 
peer-reviewed empirical literature specifically estimating employment effects of environmental regulations is very limited. Several empirical studies
919suggest that net employment impacts may be zero or slightly positive 
but small even in the regulated sector. Other research suggests that more highly regulated counties may generate fewer jobs than less regulated ones.
920 
However, since these latter studies compare more regulated to less regulated counties, they overstate the net national impact of regulation to the extent that regulation causes plants to locate in one area of the country rather than another. List et al. (2003)
921find 
some evidence that this type of geographic relocation may be occurring. Overall, the peer-reviewed literature does not contain evidence that environmental regulation has a large impact on net employment (either negative or positive) in the long run across the whole economy. 
Analytic challenges make it very 
difficult to accurately produce net employment estimates for the whole economy that would appropriately capture the way in which costs, compliance spending, and environmental benefits propagate through the macro-economy. Quantitative estimates are further complicated by the fact that macroeconomic models often have very little sectoral detail and usually assume that the economy is at full employment. EPA is currently in the process of seeking input from an independent expert panel on modeling economy- wide impacts, including employment effects. For more information, see: https://federalregister.gov/a/2014– 02471. 
(2) Employment Impacts in the Motor 
Vehicle and Parts Manufacturing Sector 
This section describes changes in 
employment in the motor vehicle, trailer, and parts (hence, motor vehicle) manufacturing sectors due to these final rules. We focus on the motor vehicle manufacturing sector because it is directly regulated, and because it is likely to bear a substantial share of 
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922Berman, E. and L. T. M. Bui (2001). 
‘‘Environmental Regulation and Labor Demand: 
Evidence from the South Coast Air Basin.’’ Journal 
of Public Economics 79(2): 265–295 (Docket EPA– HQ–OAR2014–0827–0074). 
923The authors also discuss a third component, 
the impact of regulation on factor prices, but conclude that this effect is unlikely to be important for large competitive factor markets, such as labor and capital. Morgenstern, Pizer and Shih (2002) use a similar model, but they break the employment effect into three parts: (1) The demand effect; (2) the cost effect; and (3) the factor-shift effect. See Morgenstern, Richard D., William A. Pizer, and Jhih-Shyang Shih. ‘‘Jobs Versus the Environment: An Industry-Level Perspective.’’ Journal of Environmental Economics and Management 43 (2002): 412–436 (Docket EPA–HQ–OAR–2014– 0827–0088). 924As noted above, Morgenstern et al. (2002) 
separate the effect of holding output constant into two effects: The cost effect, which holds labor intensity constant, and the factor shift effect, which estimates those changes in labor intensity. 
925http://www.bls.gov/emp/ep_ data_ emp_
requirements.htm; see ‘‘HD Substitution Effect Employment Impacts,’’ Docket EPA–HQ–OAR– 2014–0827. 
926http://www.census.gov/manufacturing/asm/ 
index.html; see ‘‘HD Substitution Effect Employment Impacts,’’ Docket EPA–HQ–OAR– 2014–0827. changes in employment due to these 
final rules. We include discussion of effects on the parts manufacturing sector, because the motor vehicle manufacturing sector can either produce parts internally or buy them from an external supplier, and we do not have estimates of the likely breakdown of effort between the two sectors. 
We follow the theoretical structure of 
Berman and Bui
922of the impacts of 
regulation in employment in the regulated sectors. In Berman and Bui’s (2001, p. 274–75) theoretical model, as described above, the change in a firm’s labor demand arising from a change in regulation is decomposed into two main components: Output and substitution effects.
923As the output and 
substitution effects may be both positive, both negative, or some combination, standard neoclassical theory alone does not point to a definitive net effect of regulation on labor demand at regulated firms. 
Following the Berman and Bui 
framework for the impacts of regulation on employment in the regulated sector, we consider two effects for the motor vehicle sector: The output effect and the substitution effect. 
(a) The Output Effect 
If truck or trailer sales increase, then 
more people will be required to 
assemble trucks, trailers, and their components. If truck or trailer sales decrease, employment associated with these activities will decrease. The effects of this final rulemaking on HD vehicle sales thus depend on the perceived desirability of the new vehicles. On one hand, this final rulemaking will increase truck and trailer costs; by itself, this effect would reduce truck and trailer sales. In addition, while decreases in truck performance would also decrease sales, this program is not expected to have any negative effect on truck performance. On the other hand, this final rulemaking will reduce the fuel costs of operating the trucks; by itself, this effect would 
increase truck sales, especially if potential buyers have an expectation of higher fuel prices. The agencies have not made an estimate of the potential change in truck or trailer sales. However, as discussed in IX.E., the agencies have estimated an increase in vehicle miles traveled (i.e., VMT 
rebound) due to the reduced operating costs of trucks meeting these standards. Since increased VMT is most likely to be met with more drivers and more trucks, our projection of VMT rebound is suggestive of an increase in vehicle sales and truck driver employment (recognizing that these increases may be partially offset by a decrease in manufacturing and sales for equipment of other modes of transportation such as rail cars or barges). 
(b) The Substitution Effect 
The output effect, above, measures the 
effect due to new truck and trailer sales 
only. The substitution effect includes the impacts due to the changes in technologies needed for vehicles to meet these standards, separate from the effect on output (that is, as though holding output constant). This effect includes both changes in employment due to incorporation of abatement technologies and overall changes in the labor intensity of manufacturing. We present estimates for this effect to provide a sense of the order of magnitude of expected impacts on employment, which we expect to be small in the automotive sector, and to repeat that regulations may have positive as well as negative effects on employment. 
One way to estimate this effect, given 
the cost estimates for complying with the final rule, is to use the ratio of workers to each $1 million of expenditures in that sector. The use of these ratios has both advantages and limitations. It is often possible to estimate these ratios for quite specific sectors of the economy: For instance, it is possible to estimate the average number of workers in the motor vehicle body and trailer manufacturing sector per $1 million spent in the sector, rather than use the ratio from another, more aggregated sector, such as motor vehicle 
manufacturing. As a result, it is not necessary to extrapolate employment ratios from possibly unrelated sectors. On the other hand, these estimates are averages for the sectors, covering all the activities in those sectors; they may not be representative of the labor required when expenditures are required on specific activities, or when manufacturing processes change sufficiently that labor intensity changes. For instance, the ratio for the motor vehicle manufacturing sector represents 
the ratio for all vehicle manufacturing, not just for emissions reductions associated with compliance activities. In addition, these estimates do not include changes in sectors that supply these sectors, such as steel or electronics producers. They thus may best be viewed as the effects on employment in the motor vehicle sector due to the changes in expenditures in that sector, rather than as an assessment of all employment changes due to these changes in expenditures. In addition, this approach estimates the effects of increased expenditures while holding constant the labor intensity of manufacturing; it does not take into account changes in labor intensity due to changes in the nature of production. This latter effect could either increase or decrease the employment impacts estimated here.
924 
Some of the costs of these final rules 
will be spent directly in the motor vehicle manufacturing sector, but it is also likely that some of the costs will be spent in the motor vehicle body and trailer and motor vehicle parts manufacturing sectors. The analysis here draws on estimates of workers per $1 million of expenditures for each of these sectors. 
There are several public sources for 
estimates of employment per $1 million 
expenditures. The U.S. Bureau of Labor Statistics (BLS) provides its Employment Requirements Matrix (ERM),
925which provides direct 
estimates of the employment per $1 million in sales of goods in 202 sectors. The values considered here are for Motor Vehicle Manufacturing (NAICS 3361), Motor Vehicle Body and Trailer Manufacturing (NAICS 3362), and Motor Vehicle Parts Manufacturing (NAICS 3363) for 2014. 
The Census Bureau provides the 
Annual Survey of Manufacturers
926 
(ASM), a subset of the Economic Census (EC), based on a sample of establishments; though the EC itself is more complete, it is conducted only every 5 years, while the ASM is annual. Both include more sectoral detail than the BLS ERM: For instance, while the ERM includes the Motor Vehicle 
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927To estimate the proportion of domestic 
production affected by the change in sales, we use 
data from Ward’s Automotive Group for total truck production in the U.S. compared to total truck sales in the U.S. For the period 2006–2015, the proportion is 78 percent (HD Substitution Effect Employment Impacts, Docket EPA–HQ–OAR–2014– 
0827), ranging from 68 percent (2009) to 83 percent (2012) over that time. 
928http://www.bls.gov/emp/ep_ data_ emp_
requirements.htm; see ‘‘HD Substitution Effect Employment Impacts,’’ Docket EPA–HQ–OAR– 2014–0827. This analysis used data for sectors 80 
(Motor Vehicle Manufacturing), 81 (Motor Vehicle Body and Trailer Manufacturing), and 82 (Motor Vehicle Parts Manufacturing) from ‘‘Chain-weighted (2009 dollars) real domestic employment requirements tables.’’ Manufacturing sector, the ASM and EC 
have detail at the 6-digit NAICS code level (e.g., light truck and utility vehicle 
manufacturing). While the ERM provides direct estimates of employees/ $1 million in expenditures, the ASM and EC separately provide number of employees and value of shipments; the direct employment estimates here are the ratio of those values. The values reported are for Motor Vehicle Manufacturing (NAICS 3361), Light Truck and Utility Vehicle Manufacturing (NAICS 336112), Heavy Duty Truck Manufacturing (NAICS 33612), Motor Vehicle Body and Trailer manufacturing (NAICS 3362), and Motor Vehicle Parts Manufacturing (NAICS 3363). 
RIA Chapter 8.11.2.2 provides the 
details on the values of workers per $1 million in expenditures in 2014 (2012 for EC) for the sectors mentioned above. In 2013$, these range from 0.4 workers per $1 million for Motor Vehicle Manufacturing in the ERM as well as for 
Light Truck & Utility Vehicle Manufacturing in the ASM, to 3.5 workers per $1 million in expenditures for Motor Vehicle Body and Trailer Manufacturing in the EC. These values are then adjusted to remove the employment effects of imports through use of a ratio of domestic production to 
domestic sales of 0.78.
927 
Over time, the amount of labor 
needed in the motor vehicle industry has changed: Automation and improved methods have led to significant productivity increases. The BLS ERM, for instance, provided estimates that, in 1997, 1.09 workers in the Motor Vehicle Manufacturing sector were needed per $1 million, but only 0.39 workers by 2014 (in 2013$).
928Because the ERM is 
available annually for 1997–2014, we used these data to estimate productivity improvements over time. We then used these productivity estimates to project the ERM through 2027, and to adjust the ASM values for 2014 and the EC values for 2012. RIA Chapter 8.11.2 provides detail on these calculations. 
Finally, to simplify the presentation 
and give a range of estimates, we compared the projected employment among the 3 sectors for the ERM, EC, and ASM, and we provide only the maximum and minimum employment effects estimated across the ERM, EC, and ASM. We provide the range rather than a point estimate because of the inherent difficulties in estimating employment impacts; the range gives an 
estimate of the expected magnitude. The ERM estimates in the Motor Vehicle Manufacturing Sector are consistently the minimum values. The ASM estimates in the Motor Vehicle Body and Trailer Manufacturing Sector are the maximum values for all years but 2027, when the ASM values for Motor Vehicle Parts Manufacturing provide the maximum values. 
Section IX.B. of the Preamble 
discusses the vehicle cost estimates developed for these final rules. The final step in estimating employment impacts is to multiply costs (in $ millions) by workers per $1 million in costs, to estimate employment impacts in the regulated and parts manufacturing sectors. Increased costs of vehicles and parts will, by itself, and holding labor intensity constant, be expected to increase employment between 2018 and 2027 between zero and 4.5 thousand jobs each year. 
While we estimate employment 
impacts, measured in job-years, beginning with program implementation, some of these employment gains may occur earlier as motor vehicle manufacturers and parts suppliers hire staff in anticipation of compliance with the standards. A job- year is a way to calculate the amount of work needed to complete a specific task. For example, a job-year is one year of work for one person. 
TABLE IX–33—E MPLOYMENT EFFECTS DUE TO INCREASED COSTS OF VEHICLES AND PARTS (SUBSTITUTION EFFECT ), IN 
JOB-YEARS  
Year Costs 
(millions of 2013$) Minimum employment due 
to substitution effect 
(ERM estimates, 
expenditures in the Motor 
Vehicles Mfg sector) Maximum employment due 
to substitution effect 
(ASM estimates, 
expenditures in the Body 
and Trailer Mfg sectora) 
2018 ....................................................................................... 227 0 400 
2019 ....................................................................................... 215 0 400 
2020 ....................................................................................... 220 0 300 
2021 ....................................................................................... 2,270 300 3,100 
2022 ....................................................................................... 2,243 300 2,900 
2023 ....................................................................................... 2,485 300 2,900 
2024 ....................................................................................... 3,890 400 4,200 
2025 ....................................................................................... 4,146 400 4,100 
2026 ....................................................................................... 4,203 400 3,800 
2027 ....................................................................................... 5,219 500 4,500 
Note: 
aFor 2027, the maximum employment effects are associated with the ASM’s Motor Vehicle Parts Manufacturing sector. 
(c) Summary of Employment Effects in 
the Motor Vehicle Sector 
The overall effect of these final rules 
on motor vehicle sector employment depends on the relative magnitude of the output effect and the substitution effect. Because we do not have 
quantitative estimates of the output effect, and only a partial estimate of the substitution effect, we cannot reach a quantitative estimate of the overall employment effects of these final rules on motor vehicle sector employment or even whether the total effect will be positive or negative. 
These standards are not expected to 
provide incentives for manufacturers to shift employment between domestic and 
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929American Transportation Research Institute, 
‘‘An Analysis of the Operational Costs of Trucking: 
2011 Update.’’ See http://www.atri-online.org/ research/results/Op_ Costs_ 2011_ Update_ one_ page_
summary.pdf, Docket EPA–HQ–OAR–2014–0827– 512. 
930Association of American Railroads, ‘‘All 
Inclusive Index and Rail Adjustment Factor.’’ June 3, 2011. See http://www.aar.org/ ∼/media/aar/Rail
CostIndexes/AAR-RCAF-2011-Q3.ashx, Docket EPA–HQ–OAR–2014–0827–0065. 931In the 2014 BLS ERM cited above, the 
Petroleum and Coal Products Manufacturing sector has a ratio of workers per $1 million of 0.215, lower than all but two of the 181 sectors with non-zero employment per $1 million. foreign production. This is because 
these standards will apply to vehicles sold in the U.S. regardless of where they are produced. If foreign manufacturers 
already have increased expertise in satisfying the requirements of the standards, there may be some initial incentive for foreign production, but the opportunity for domestic manufacturers to sell in other markets might increase. To the extent that the requirements of these final rules might lead to installation and use of technologies that other countries may seek now or in the future, developing this capacity for domestic production now may provide some additional ability to serve those markets. 
(3) Employment Impacts in Other 
Affected Sectors 
(a) Transport and Shipping Sectors 
Although not directly regulated by 
these final rules, employment effects in 
the transport and shipping sector are likely to result from these regulations. If the overall cost of shipping a ton of freight decreases because of increased fuel efficiency (taking into account the increase in upfront purchasing costs), in a perfectly competitive industry some of these costs savings, depending on the relative elasticities of supply and demand, will be passed along to customers. Consumer Federation of America expects reduced shipping costs to be passed along to customers. With lower prices, demand for shipping would lead to an increase in demand for truck shipping services (consistent with the VMT rebound effect analysis) and therefore an increase in employment in the truck shipping sector. In addition, if the relative cost of shipping freight via trucks becomes cheaper than shipping by other modes (e.g., rail or barge), then 
employment in the truck transport industry is likely to increase. If the trucking industry is more labor intensive than other modes, we would expect this effect to lead to an overall increase in employment in the transport and shipping sectors.
929 930 Such a shift 
would, however, be at the expense of employment in the sectors that are losing business to trucking. The first effect—a gain due to lower shipping costs—is likely to lead to a net increase in employment. The second effect, due 
to mode-shifting, may increase employment in trucking, but decrease employment in other shipping sectors (e.g., rail or barge), with the net effects 
dependent on the labor-intensity of the sectors and the volumes. 
(b) Fuel Suppliers 
In addition to the effects on the 
trucking industry and related truck parts 
sector, these final rules will result in reductions in fuel use that lower GHG emissions. Fuel saving, principally reductions in liquid fuels such as diesel and gasoline, will affect employment in the fuel suppliers industry sectors, principally the Petroleum Refinery sector. 
Section IX.C. of this Preamble 
provides estimates of the effects of these standards on expected fuel consumption. While reduced fuel consumption represents savings for purchasers of fuel, it also represents a loss in value of output for the petroleum refinery industry, which will result in reduced sectoral employment. Because this sector is material-intensive, the employment effect is not expected to be large.
931 
(c) Fuel Savings 
As a result of this final rulemaking, it 
is anticipated that trucking firms will experience fuel savings. Fuel savings lower the costs of transportation goods and services. In a competitive market, some of the fuel savings that initially accrue to trucking firms are likely to be passed along as lower transportation costs that, in turn, could result in lower prices for final goods and services. Some commenters provide estimates of per-household fuel savings ranging from $150 per year by 2030 (Clean Fuels Ohio, Edison Solar, a mass comment campaign sponsored by Pew Charitable Trusts, Quasar Energy Group), to $400 in 2035 (Environmental Defense Fund); they view these savings as providing benefits to the wider economy. The National Ready Mixed Concrete Association emphasizes concerns about the costs that the standards will impose. 
Although the agencies do not endorse the particular values provided in the comments, we agree that the standards will provide net benefits to the U.S.; as shown in Section IX.K., the benefits exceed the costs by a wide margin. As noted above, the Consumer Federation of America expects consumers to recover these fuel savings via the costs of goods and services relying on HD 
vehicles. The agencies note that some of the savings might also be retained by firms for investments or for distributions to firm owners. Again, how much accrues to customers versus firm owners will depend on the relative elasticities of supply and demand. Regardless, the savings will accrue to some segment of consumers: Either owners of trucking firms or the general public, and the effect will be increased spending by consumers in other sectors of the economy, creating jobs in a diverse set of sectors, including retail and service industries. 
As described in Section IX.C.(2), the 
retail value of fuel savings from this final rulemaking is projected to be $15.8 billion (2013$) in 2027, according to Table IX–6. If all those savings are spent, the fuel savings will stimulate increased employment in the economy through those expenditures. If the fuel savings accrue primarily to firm owners, they may either reinvest the money or take it as profit. Reinvesting the money in firm operations could increase employment directly. If they take the money as profit, to the extent that these owners are wealthier than the general public, they may spend less of the savings, and the resulting employment impacts would be smaller than if the savings went to the public. Thus, while fuel savings are expected to decrease employment in the refinery sector, they are expected to increase employment through increased consumer expenditures. 
(4) Summary of Employment Impacts 
The primary employment effects of 
these rules are expected to be found 
throughout several key sectors: Truck and engine manufacturers, the trucking industry, truck parts manufacturing, fuel production, and consumers. These rules initially takes effect in model year 
2018; the unemployment rate at that time is unknowable. In an economy with full employment, the primary employment effect of a rulemaking is likely to be to move employment from one sector to another, rather than to increase or decrease employment. For that reason, we focus our partial quantitative analysis on employment in the regulated sector, to examine the impacts on that sector directly. We discuss the likely direction of other impacts in the regulated sector as well as in other directly related sectors, but we do not quantify those impacts, because they are more difficult to quantify with reasonable accuracy, particularly so far into the future. 
For the regulated sector, we have not 
quantified the output effect. The 
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substitution effect is associated with 
potential increased employment between zero and 4.5 thousand jobs per year between 2018 and 2027, depending on the share of employment impacts in the affected sectors (Motor Vehicle Manufacturing, Motor Vehicle Body and Trailer Manufacturing, and Motor Vehicle Parts Manufacturing). These estimates do not include potential changes, either greater or less, in labor intensity of production. As mentioned 
above, some of these job gains may occur earlier as auto manufacturers and parts suppliers hire staff to prepare to comply with the standard. 
Lower prices for shipping are 
expected to lead to an increase in demand for truck shipping services and, therefore, an increase in employment in that sector, though this effect may be offset somewhat by changes in employment in other shipping sectors. Reduced fuel production implies less employment in the fuel provision sectors. Finally, any net cost savings are expected to be passed along to some segment of consumers: Either the general public or the owners of trucking firms, who are expected then to increase employment through their expenditures. Under conditions of full employment, any changes in employment levels in the regulated sector due to this program 
are mostly expected to be offset by changes in employment in other sectors. 
M. Cost of Ownership and Payback 
Analysis 
This section examines the economic 
impacts of the Phase 2 standards from the perspective of buyers, operators, and subsequent owners of new HD vehicles at the level of individual purchasers of different types of vehicles. In each case, the analysis assumes that HD vehicle manufacturers are able to recover their costs for improving fuel efficiency— including direct technology outlays, indirect costs, and normal profits on any additional capital investments—by charging higher prices to HD vehicle buyers. 
Table IX–34 reports aggregate benefits 
and costs to buyers and operators of new HD vehicles for the final program using Method A. The table reports economic impacts on buyers using only the 7 percent discount rate, since that rate is intended to represent the opportunity cost of capital that HD vehicle buyers and users must divert from other investment opportunities to purchase more costly vehicles. As it shows, fuel savings and the other benefits from increased fuel efficiency— savings from less frequent refueling and benefits from additional truck use—far 
outweigh the higher costs to buyers of new HD vehicles. As a consequence, buyers, operators, and subsequent owners of HD vehicles subject to the Phase 2 standards are together projected to experience large economic gains under the final program. It should be noted that, because the original buyers may not hold the vehicles for their lifetimes, and because those who own or operate the vehicles may not pay for the 
fuel, these benefits and costs do not necessarily represent benefits and costs to identifiable individuals. 
As Table IX–34 shows, the agencies 
have estimated the increased costs for maintenance of the new technologies that HD vehicle manufacturers will employ to decrease fuel consumption, and these costs are included together with those for purchasing more fuel- efficient vehicles. Manufacturers’ efforts to comply with the Phase 2 standards could also result in changes to vehicle performance and capacity for certain vehicles. For example, reducing the mass of HD vehicles in order to improve fuel efficiency could be used to improve their load-carrying capabilities, while some engine technologies and aerodynamic modifications could reduce payload capacity. 
TABLE IX–34—MY 2018–2029 L IFETIME AGGREGATE IMPACTS OF THE FINAL PROGRAM ON ALLHD V EHICLE BUYERS  
ANDOPERATORS USING METHOD A 
[Billions of 2013$, Discounted at 7%]a 
 Baseline 1a Baseline 1b 
Vehicle costs .................................................................................................................. .......................................... 16.6 16.1 
Maintenance costs .............................................................................................................. ..................................... 0.9 0.9 
Total costs to HD vehicle buyers ............................................................................................... ...................... 17.5 17.0 
Fuel savingsb(valued at retail prices) ...................................................................................................... .............. 97.7 89.5 
Refueling benefits ............................................................................................................. ....................................... 1.7 1.6 
Increased travel benefits ...................................................................................................... ................................... 3.5 3.4 
Total benefits to HD vehicle buyers/operators .................................................................................. ............... 103 94.5 
Net benefits to HD vehicle buyers/operatorsc................................................................................................. 85.4 77.5 
Notes: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the less dynamic baseline, 1a, and more dy-
namic baseline, 1b, please see Section X.A.1. 
bFuel savings includes fuel consumed during additional rebound driving. 
cNet benefits shown do not include benefits associated with carbon or other co-pollutant emission reductions, crash/congestion/noise impacts, 
energy security, etc. 
It is also useful to examine the cost of 
purchasing and owning a new vehicle 
that complies with the Phase 2 standards and its payback period—the point at which cumulative savings from lower fuel expenditures outpace increased vehicle costs. For example, a new MY 2027 tractor is estimated to cost roughly $13,550 more (on average, or roughly 13 to 14 percent of a typical $100,000 reference case tractor) due to the addition of new GHG reducing/fuel 
consumption improving technology. This new technology will result in lower fuel consumption and, therefore, reduced fuel expenditures. But how many months or years will pass before the reduced fuel expenditures will surpass the increased upfront costs? 
Table IX–35 presents the discounted 
annual increased vehicle costs and fuel 
savings associated with owning a new MY 2027 HD pickup or van using both 3 percent and 7 percent discount rates. 
Table IX–36 and Table IX–37 show the same information for a MY 2027 vocational vehicle and a tractor/trailer, respectively. These comparisons include sales taxes, excise taxes (for vocational and tractor/trailer) and increased insurance expenditures on the higher value vehicles, as well as maintenance costs throughout the lifetimes of affected vehicles. 
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932U.S. Energy Information Administration, 
Annual Energy Outlook 2015; Report Number DOE/ 
EIA–0383(2015), April 2015. The fuel expenditure column uses 
retail fuel prices specific to gasoline and 
diesel fuel as projected in AEO2015.932 
This payback analysis does not include 
other impacts, such as reduced refueling events, the value of driving potential rebound miles, or noise, congestion and crashes. We use retail fuel prices and exclude these other private and social 
impacts because the analysis is intended to focus on those factors that are most 
important to buyers when considering a new vehicle purchase, and to include only those factors that have clear dollar impacts on HD vehicle buyers. 
As shown, payback will occur in the 
3rd year of ownership for HD pickups and vans (the first year where 
cumulative net costs turn negative), in the 4th year for vocational vehicles and early in the 2nd year for tractor/trailers. Note that each table reflects the average vehicle and reflects proper weighting of fuel consumption/costs (gasoline vs. diesel). 
TABLE IX–35—D ISCOUNTED ANNUAL INCREMENTAL EXPENDITURES FOR A MY 2027 HD P ICKUP OR VANUSING METHOD  
B ANDRELATIVE TO THE FLATBASELINE  
[2013$]a 
Age in years 3% Discount rate 7% Discount rate 
Vehicleb Maintc Fueld Cumulative 
net Vehicleb Maintc Fueld Cumulative 
net 
1 ....................................... ¥$1,451 ¥$4 $550 ¥$905 ¥$1,424 ¥$4 $540 ¥$888 
2 ....................................... ¥25 ¥4 539 ¥395 ¥24 ¥3 509 ¥406 
3 ....................................... ¥24 ¥3 527 105 ¥21 ¥3 479 49 
4 ....................................... ¥22 ¥3 515 595 ¥19 ¥3 451 477 
5 ....................................... ¥21 ¥3 492 1,064 ¥17 ¥3 415 872 
6 ....................................... ¥19 ¥3 469 1,511 ¥16 ¥2 381 1,235 
7 ....................................... ¥18 ¥3 446 1,936 ¥14 ¥2 348 1,567 
8 ....................................... ¥17 ¥2 423 2,340 ¥13 ¥2 318 1,870 
Notes: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the flat baseline, 1a, and dynamic baseline, 
1b, please see Section X.A.1. 
bIncludes new technology costs, insurance costs and sales taxes. 
cMaintenance costs. 
dUses AEO2015 retail fuel prices. 
TABLE IX–36—D ISCOUNTED ANNUAL INCREMENTAL EXPENDITURES FOR A MY 2027 V OCATIONAL VEHICLE USING 
METHOD B ANDRELATIVE TO THE FLATBASELINE  
[2013$]a 
Age in years 3% Discount rate 7% Discount rate 
Vehicleb Maintc Fueld Cumulative 
net Vehicleb Maintc Fueld Cumulative 
net 
1 ....................................... ¥$3,147 ¥$25 $1,022 ¥$2,151 ¥$3,088 ¥$25 $1,003 ¥$2,110 
2 ....................................... ¥49 ¥24 1,004 ¥1,220 ¥46 ¥23 948 ¥1,231 
3 ....................................... ¥46 ¥24 987 ¥303 ¥42 ¥21 898 ¥397 
4 ....................................... ¥43 ¥23 970 602 ¥38 ¥20 849 394 
5 ....................................... ¥40 ¥21 909 1,450 ¥34 ¥18 766 1,109 
6 ....................................... ¥38 ¥19 850 2,243 ¥31 ¥15 689 1,752 
7 ....................................... ¥35 ¥17 796 2,987 ¥27 ¥14 622 2,333 
8 ....................................... ¥33 ¥16 743 3,681 ¥25 ¥12 558 2,854 
Notes: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the flat baseline, 1a, and dynamic baseline, 
1b, please see Section X.A.1. 
bIncludes new technology costs, insurance costs, excise and sales taxes. 
cMaintenance costs. 
dUses AEO2015 retail fuel prices. 
TABLE IX–37—D ISCOUNTED ANNUAL INCREMENTAL EXPENDITURES FOR A MY 2027 T RACTOR /TRAILER USING METHOD B 
ANDRELATIVE TO THE FLATBASELINE  
[2013$]a 
Age in years 3% Discount rate 7% Discount rate 
Vehicleb Maintc Fueld Cumulative 
net Vehicleb Maintc Fueld Cumulative 
net 
1 ....................................... ¥$16,022 ¥$169 $15,310 ¥$880 ¥$15,719 ¥$166 $15,021 ¥$864 
2 ....................................... ¥251 ¥163 15,095 13,801 ¥237 ¥154 14,256 13,002 
3 ....................................... ¥235 ¥158 14,872 28,280 ¥214 ¥144 13,521 26,166 
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TABLE IX–37—D ISCOUNTED ANNUAL INCREMENTAL EXPENDITURES FOR A MY 2027 T RACTOR /TRAILER USING METHOD B 
ANDRELATIVE TO THE FLATBASELINE —Continued 
[2013$]a 
Age in years 3% Discount rate 7% Discount rate 
Vehicleb Maintc Fueld Cumulative 
net Vehicleb Maintc Fueld Cumulative 
net 
4 ....................................... ¥220 ¥153 14,637 42,545 ¥192 ¥134 12,809 38,649 
5 ....................................... ¥206 ¥140 13,683 55,882 ¥173 ¥118 11,527 49,885 
6 ....................................... ¥192 ¥127 12,730 68,292 ¥156 ¥103 10,323 59,950 
7 ....................................... ¥179 ¥116 11,880 79,878 ¥140 ¥90 9,274 68,993 
8 ....................................... ¥166 ¥105 11,025 90,630 ¥125 ¥79 8,285 77,074 
Notes: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the flat baseline, 1a, and dynamic baseline, 
1b, please see Section X.A.1. 
bIncludes new technology costs, insurance costs, excise and sales taxes. 
cMaintenance costs. 
dUses AEO2015 retail fuel prices. 
N. Safety Impacts 
(1) Summary of Supporting HD Vehicle 
Safety Research 
As discussed in the Notice of 
Proposed Rulemaking, NHTSA and EPA considered the potential safety impact of technologies that improve Medium¥ and Heavy-Duty vehicle fuel efficiency and GHG emissions when determining potential regulatory alternatives. The safety assessment of the technologies in this rule was informed by two comprehensive NAS reports, an extensive analysis of safety effects of HD pickups and vans using estimates from the DOT report on the effect of mass reduction and vehicle size on safety, and focused agency-sponsored safety testing and research. The following section provides a concise summary of the literature and work considered by the agencies in development of this final rule. 
(a) National Academy of Sciences 
Medium and Heavy Duty Phase 1 and Phase 2 Reports 
As required by EISA, the National 
Research Council has been conducting continuing studies of the technologies and approaches for reducing the fuel consumption of medium- and heavy- duty vehicles. The first was a report issued in 2010, ‘‘Technologies and Approaches to Reducing the Fuel Consumption of Medium- and Heavy- Duty Vehicles’’ (‘‘NAS Report’’). The second was a report issued in 2014, ‘‘Reducing the Fuel Consumption and Greenhouse Gas Emissions of Medium- and Heavy-Duty Vehicles, Phase Two- First Report’’ (‘‘NAS HD Phase 2 First Report’’). While the reports primarily focused on reducing vehicle fuel consumption and emissions through technology application, and examined potential regulatory frameworks, both reports contain findings and recommendations related to safety. In developing this rule, the agencies carefully considered the reports’ findings related to safety. 
In particular, NAS indicated that idle 
reduction strategies can also accommodate for the safety of the driver in both hot and cold weather conditions. The agencies considered this potential approach for application of idle reduction technologies by allowing for override provisions, as defined in 40 CFR 1037.660(b), where operator safety is a primary consideration. Override is allowed if the external ambient temperature reaches a level below which or above which the cabin temperature cannot be maintained within reasonable heat or cold exposure threshold limit values for the health and safety of the operator (not merely comfort). 
NAS also reported extensively on the 
emergence of natural gas (NG) as a viable fuel option for commercial vehicles, but alluded to the existence of uncertainties regarding its safety. The committee found that while the public crash databases do not contain information on vehicle fuel type, the information, at the time of the report, indicates that the crash-related safety risk for NG storage on vehicles does not appear to be appreciably different from diesel fuel risks. The committee also found that while there are two existing SAE-recommended practice standards for NG-powered HD vehicles, the industry could benefit from best practice directives to minimize crash risks for NG fuel tanks, such as on shielding to prevent punctures during crashes. As a final point, NAS stated that manufacturers and operators have a great incentive to prevent possible NG leakage from a vehicle fuel system because it will be a significant safety concern and reduce vehicle range. No recommendations were made for additional Federal safety regulations for these vehicles. In response, the agencies reviewed and discussed the existing NG vehicle standards and best practices cited by NAS in Section XI of the NPRM. 
In the NAS Committee’s Phase 1 
report, the Committee indicated that aerodynamic fairings detaching from trucks on the road could be a potential safety issue. However, the Phase 2 interim report stated that ‘‘Anecdotal information gained during the observations of on-road trailers indicates a few skirts badly damaged or missing from one side. The skirt manufacturers report no safety concerns (such as side skirts falling off) and little maintenance needed.’’ 
The NAS report also identified the 
link between tire inflation and condition and vehicle stopping distance and handling, which impacts overall safety. The committee found that tire pressure monitoring systems and automatic tire inflation systems are being adopted by fleets at an increasing rate. However, the committee noted that there are no standards for performance, display, and system validation. The committee recommended that NHTSA issue a white paper on the minimum performance of tire pressure systems from a safety perspective. 
The agencies considered the safety 
findings in both NAS reports in developing this rule and conducted additional research on safety to further examine information and findings of the reports. 
(b) DOT CAFE Model Heavy-Duty 
Pickup and Van Safety Analysis 
This analysis considered the potential 
crash safety effects on the technologies manufacturers may apply to HD pickups 
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933Brecher, A., Epstein, A. K., & Breck, A. (2015, 
June). Review and analysis of potential safety 
impacts of and regulatory barriers to fuel efficiency 
technologies and alternative fuels in medium- and heavy-duty vehicles. (Report No. DOT HS 812 159). Washington, DC: National Highway Traffic Safety Administration. and vans to meet each of the regulatory 
alternatives evaluated in the NPRM. NHTSA research has shown that vehicle mass reduction affects overall societal fatalities associated with crashes and, most relevant to this rule, that mass reduction in heavier light- and medium- duty vehicles has an overall beneficial effect on societal fatalities. Reducing the mass of a heavier vehicle involved in a multiple vehicle crash reduces the likelihood of fatalities among the occupants of the other vehicle(s). In addition to the effects of mass reduction, the analysis anticipates that these standards, by reducing the cost of driving HD pickups and vans, will lead to increased travel by these vehicles and, therefore, more crashes involving these vehicles. Both the Method A and B analyses, both of which are included in the NPRM and are part of this final rulemaking, consider overall impacts from both of these factors, using a 
methodology similar to NHTSA’s analyses for the MYs 2017–2025 CAFE and GHG emission standards. 
The Method A analysis included 
estimates of the extent to which HD pickups and vans produced during MYs 2014–2030 may be involved in fatal crashes, considering the mass, survival, and mileage accumulation of these vehicles, taking into account changes in mass and mileage accumulation under each regulatory alternative. These calculations make use of the same coefficients applied to light trucks in the MYs 2017–2025 CAFE rulemaking analysis. As discussed above, vehicle miles traveled may increase due to the fuel economy rebound effect, resulting from improvements in vehicle fuel efficiency and cost of fuel, as well as the assumed future growth in average vehicle use. Increases in total lifetime mileage increase exposure to vehicle crashes, including those that result in fatalities. Consequently, the modeling system computes total fatalities attributed to vehicle use for vehicles of a given model year based on safety class and weight threshold. These calculations also include a term that accounts for the fact that some of the vehicles involved in future crashes will comply with more stringent safety standards than those involved in past crashes upon which the base rates of involvement in fatal crashes were estimated. Since the use of mass reducing technology is present within the model, safety impacts may also be observed whenever a vehicle’s base weight decreases. Thus, in addition to computing total fatalities related to vehicle use, the modeling system also estimates changes in fatalities due to 
reduction in a vehicle’s curb weight. 
The total fatalities attributed to 
vehicle use and vehicle weight change for vehicles of a given model year are then summed. Lastly, total fatalities occurring within the industry in a given model year are accumulated across all vehicles. In addition to using inputs to estimate the future involvement of modeled vehicles in crashes involving fatalities, the model also applies inputs defining other crash-related externalities estimated on a dollar per mile basis. For vehicles above 4,594 lbs—i.e., the 
majority of the HD pickup and van fleet—mass reduction is estimated to reduce the net incidence of highway fatalities by 0.34 percent per 100 lbs of removed curb weight. For the few HD pickups and vans below 4,594 lbs, mass reduction is estimated to increase the net incidence of highway fatalities by 0.52 percent per 100 lbs. The overall effect of mass reduction in the segment is estimated to reduce the incidence of highway fatalities as there are more HD pickups and vans above 4,594 lbs than below. The projected increase in vehicle 
miles traveled, due to the fuel economy rebound effect, also potentially increases exposure to vehicle crashes and offsets these reductions. 
(c) Volpe Research on MD/HD Fuel 
Efficiency Technologies 
The 2010 National Research Council 
report ‘‘Technologies and Approaches to Reducing the Fuel Consumption of Medium- and Heavy-Duty Vehicles’’ recommended that NHTSA perform a thorough safety analysis to identify and evaluate potential safety issues with fuel efficiency-improving technologies. The Department of Transportation Volpe Center’s 2015 report titled ‘‘Review and Analysis of Potential Safety Impacts and Regulatory Barriers to Fuel Efficiency Technologies and Alternative Fuels in Medium- and Heavy-Duty Vehicles’’ summarizes research and analysis findings on potential safety issues associated with both the diverse alternative fuels (natural gas-CNG and LNG, propane, biodiesel, and power train electrification), and the specific FE technologies recently adopted by the MD/HDV fleets.
933These include 
Intelligent Transportation Systems (ITS) and telematics, speed limiters, idle reduction devices, tire technologies (single-wide tires, and tire pressure monitoring systems-TPMS and 
Automated Tire Inflation Systems- ATIS), aerodynamic components, vehicle light-weighting materials, and Long Combination Vehicles (LCVs). 
Chapter 1 provides an overview of the 
study’s rationale, background, and key objective, namely, to identify the technical and operational/behavioral safety benefits and disbenefits of MD/ HDVs equipped with FE technologies and using emerging alternative fuels (AFs). Recent MD/HDV national fleet crash safety statistical averages are also provided for context, although no information exists in crash reports relating to specific vehicle FE technologies and fuels. (NHTSA/FARS and FMCSA/CSA databases do not include detailed information on vehicle fuel economy technologies, since the state crash report forms are not coded down to an individual fuel economy technology level). 
Chapters 2 and 3 are organized by 
clusters of functionally-related FE technologies for vehicles and trailers (e.g., tire systems, ITS, light-weighting 
materials, and aerodynamic systems) and alternative fuels, which are described and their respective associated potential safety issues are discussed. Chapter 2 summarizes the findings from a comprehensive review of available technical and trade literature and Internet sources regarding the benefits, potential safety hazards, and the applicable safety regulations and standards for deployed FE technologies and alternative fuels. Chapter 2 safety-relevant fuel-specific findings include: 
•Both CNG- and LNG-powered 
vehicles present potential hazards, and 
call for well-known engineering and process controls to assure safe operability and crashworthiness. However, based on the reported incident rates of NGVs and the experiences of adopting fleets, it appears that NGVs can be operated at least as safely as diesel MD/HDVs. 
•There are no safety 
contraindications to the large scale fleet adoption of CNG or LNG fueled heavy duty trucks and buses, and there is ample experience with the safe operation of large public transit fleets. Voluntary industry standards and best practices suffice for safety assurance, though improved training of CMV operators and maintenance staff in natural gas safety of equipment and operating procedures is needed. 
•Observing CNG and LNG fuel 
system and maintenance facility standards, coupled with sound design, manufacture, and inspection of natural gas storage tanks will further reduce the 
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potential for leaks, tank ruptures, fires, 
and explosions. 
•Biodiesel blends used as drop-in 
fuels have presented some operational safety concerns dependent on blending fraction, such as material compatibility, bio-fouling sludge accumulation, or cold-weather gelling. However, best practices for biodiesel storage, and improved gaskets and seals that are biodiesel resistant, combined with regular maintenance and leak inspection schedules for the fuel lines and components enable the safe use of biodiesel in newer MD/HDVs. 
•Propane (LPG, or autogas) presents 
well-known hazards including ignition (due to leaks or crash) that are preventable by using Overfill Prevention Devices (OPDs), which supplement the automatic stop-fill system on the fueling station side, and pressure release devices (PRDs). Established best practices and safety codes (e.g., NFPA) 
have proven that propane fueled MD/ HDVs can be as operationally safe as the conventionally-fueled counterparts. 
•As the market penetration of hybrid 
and electric drivetrain accelerates, and as the capacity and reliability of lithium ion batteries used in Rechargeable Energy Storage Systems (RESS) improve, associated potential safety hazards (e.g., electrocution from 
stranded energy, thermal runaway leading to battery fire) have become well 
understood, preventable, and manageable. Existing and emerging industry technical and safety voluntary standards, applicable NHTSA regulations and guidance, and the growing experience with the operation of hybrid and electric MD/HDVs will enable the safe operation and large-scale adoption of safer and more efficient power-train electrification technologies. 
The safety findings from literature 
review pertaining to the specific FE technologies implemented to date in the MD/HDV fleet include: 
•Telematics—integrating on-board 
sensors, video, and audio alerts for MD/ HDV drivers—offer potential improvements in both driver safety performance and fuel efficiency. Both camera and non-camera based telematics setups are currently integrated with available crash avoidance systems (such as ESC, RSC, LDWS, etc.) and appear to be well accepted by MD/HDV fleet drivers. 
•Both experience abroad and the 
cited US studies of trucks equipped with active speed limiters indicated a safety benefit, as measured by up to 50 percent reduced crash rates, in addition to fuel savings and other benefits, with good CMV driver acceptance. Any negative aspects were small and avoidable if all the speed limitation 
devices were set to the same speed, so there will be less need for overtaking at highway speeds. 
•No literature reports of adverse 
safety impacts were found regarding implementation of on-board idle- reduction technologies in MD/HDVs (such as automatic start-stop, direct- fired heaters, and APUs). 
•There was no clear consensus from 
the literature regarding the relative crash rates and highway safety impacts of LCVs, due to lack of sufficient data and controls and inconsistent study methodologies. Recent safety evaluations of LCVs and ongoing MAP– 21 mandated studies will clarify and quantify this issue. 
•Tire technologies for FE (including 
ATIS, TPMS, LRR and single-wide tires) literature raised potential safety concerns regarding lower stability or loss of control, e.g., when tire pressure 
is uneven or a single wide tire blows out on the highway. However, systems such as automated tire monitoring systems and stability enhancing electronic systems (ABS, ESC, and RSC) may compensate and mitigate any adverse safety impacts. 
•Aerodynamic technologies that 
offer significant fuel savings have raised potential concerns about vehicle damage or injury in case of detached fairings or skirts, although there were no documented incidents of this type in the 
literature. 
•Some light weighting materials may 
pose some fire safety and crashworthiness hazards, depending on their performance in structural or other vehicle subsystem applications (chassis, powertrain, and crash box or safety cage). Some composites (fiberglass, plastics, CFRC, foams) may become brittle on impact or due to weathering from UV exposure or extreme cold. Industry has developed advanced, high performance lightweight material options tailored to their automotive applications, e.g., thermoplastics 
resistant to UV and weathering. No examples of such lightweight material failures on MD/HDVs were identified in the literature. 
Chapter 3 provides complementary 
inputs on the potential safety issues associated with FE technologies and alternative fuels obtained from Subject Matter Experts (SMEs). The broad cross- section of SMEs consulted had experience with the operation of ‘‘green’’ truck and bus fleets, were Federal program managers, or were industry developers of FE systems for MD/HDVs. Safety concerns raised by the SMEs can be prevented or mitigated by complying with applicable regulations and safety standards and best practices, 
and are being addressed by evolving technologies, such as electronic collision prevention devices. Although SMEs raised some safety concerns, their experience indicates that system- or fuel-specific hazards can be prevented or mitigated by observing applicable industry standards, and by training managers, operators and maintenance staff in safety best practices. Specific safety concerns raised by SMEs based on their experience included: 
•Alternative fuels did not raise major 
safety concerns, but generally required better education and training of staff and operators. There was a concern expressed regarding high pressure (4000 psi) CNG cylinders that could potentially explode in a crash scenario or if otherwise ruptured. However, aging CNG fuel tank safety can be assured by enforcing regulations such as FMVSS No. 304, and by periodic inspection and end-of-life disposal and replacement. A propane truck fleet manager stated that the fuel was as safe as or safer than gasoline, and reported no safety issues with the company’s propane, nor with hybrid gasoline-electric trucks. OEMs of drivetrain hybridization and electrification systems, including advanced Lithium Ion batteries for RESS, indicated that they undergo multiple safety tests and are designed with fail-safes for various misuse and abuse scenarios. Integration of hybrid components downstream by bodybuilders in retrofits, as opposed to new vehicles, was deemed a potential safety risk. Another potential safety concern raised was the uncertain battery lifetime due to variability of climate, duty-cycles, and aging. Without state-of- charge indicators, this could conceivably leave vehicles underpowered or stranded if the battery degrades and is not serviced or replaced in a timely manner. 
•ITS and telematics raised no safety 
concerns; on the contrary, fleet 
managers stated that ‘‘efficient drivers are safer drivers.’’ Monitoring and recording of driver behavior, combined with coaching, appeared to reduce distracted and aggressive driving and provided significant FE and safety benefits. 
•A wide-base single tire safety 
concern was the decrease in tire redundancy in case of a tire blowout at highway speeds. For LRRs, a concern was that they could negatively affect truck stopping distance and stability control. 
•A speed-limiter safety concern was 
related to scenarios when such trucks pass other vehicles on the highway instead of staying in the right-hand lane 
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behind other vehicles. By combining 
speed limiters with driver training programs, overall truck safety could actually improve, as shown by international practice. 
•Aerodynamic systems’ safety 
performance to date was satisfactory, with no instances of on-road detaching. However, covering underside or other components with aerodynamic fairings can make them harder to inspect, such as worn lugs, CNG relief valve shrouds, wheel covers, and certain fairings. Drivers and inspectors need to be able to see through wheel covers and to be able to access lug nuts through them. These covers must also be durable to withstand frequent road abuse. 
•For lightweighting materials, the 
safety concern raised was lower crashworthiness (debonding or brittle fracture on impact) and the potential for decreased survivability in vehicle fires depending on the specific material choice and its application. 
The key finding from the literature 
review and SME interviews is that there appear to be no major safety hazards preventing the adoption of FE technologies, or the increased use of alternative fuels and vehicle electrification. In view of the scarcity of hard data currently available on actual highway crashes that can be directly or causally attributed to adoption of FE technologies and/or alternative fuels by MD/HDVs, and the limited experience with commercial truck and transit bus fleets operations equipped with these technologies, it was not possible to perform a quantitative, probabilistic risk assessment, or even a semi-quantitative preliminary hazard analysis (PHA). Chapter 4 employs a deterministic scenario-based hazard analysis of potential crash or other safety concerns identified from the literature review or raised by subject matter experts (SMEs) interviewed (e.g., interfaces with 
charging or refueling infrastructure). For each specific hazard scenario discussed, the recommended prevention or 
mitigation options, including compliance with applicable NHTSA or FMCSA regulations, and voluntary industry standards and best practices are identified, along with FE technology or fuel-specific operator training. SMEs safety concerns identified in Sec 3.3 were complemented with actual incidents, and developed into the hazard scenarios analyzed in Chapter 4. 
The scenario-based deterministic 
hazard analysis reflected not only the literature findings and SMEs’ safety concerns, but also real truck or bus mishaps that have occurred in the past. Key hazard analysis scenarios included: CNG-fueled truck and bus vehicle fires or explosions due to tank rupture, when 
pressurized fuel tanks were degraded due to aging or when PRDs failed; LNG truck crashes leading to fires, or LNG refueling-related mishaps; the flammability or brittle fracture issues related to light weighting materials in crashes; reduced safety performance for either LRR or wide-base tires; highway pile-ups when LCVs attempt to pass at highway speeds; aerodynamic components detaching while the vehicle traveled on a busy highway or urban roadway; and fires resulting in overheated lithium ion batteries in electric or hybrid buses. These hypothetical worst case scenarios appear to be preventable or able to be mitigated by observing safety regulations and voluntary standards, or with engineering and operational best practices. 
Chapter 5 reviews and discusses the 
existing federal and state regulatory framework for safely operating MD/ HDVs equipped with FE technologies or powered by alternative fuels. The review identifies potential regulatory barriers to their large-scale deployment in the national fleet that could delay achievement of desired fuel consumption and environmental benefits, while ensuring equal or better safety performance. 
Chapter 6 summarizes the major 
findings and recommendations of this preliminary safety analysis of fuel efficiency technologies and alternative fuels adopted by MD/HDVs. The scenario-based hazard analysis, based on the literature review and experts’ inputs, indicates that MD/HDVs equipped with advanced FE technologies and/or using alternative fuels have manageable potentially adverse safety impacts. The findings suggest that the potential safety hazards 
identified during operation, maintenance, and crash scenarios can be prevented or mitigated by complying with safety regulations and voluntary standards and industry best practices. The study also did not identify any major regulatory barriers to rapid adoption of FE technologies and alternative fuels by the MD/HDV fleet. 
(d) Oak Ridge National Laboratory 
(ORNL) Research on Low Rolling Resistance Truck Tires 
DOT’s Federal Motor Carrier Safety 
Administration and NHTSA sponsored a test program conducted by Oak Ridge National Laboratory to explore the effects of tire rolling resistance levels on Class 8 tractor-trailer stopping distance performance over a range of loading and surface conditions. The objective was to determine whether a relationship exists between tire rolling resistance and 
stopping distance for vehicles of this type. The overall results of this research suggest that tire rolling resistance is not a reliable indicator of Class 8 tractor- trailer stopping distance. 
The correlation coefficients (R2 
values) for linear regressions of wet and dry stopping distance versus overall vehicle rolling resistance values did not meet the minimum threshold for statistical significance for any of the test conditions. Correlation between CRR and stopping distance was found to be negligible for the dry tests for both loading conditions. While correlation was higher for the wet testing (showing a slight trend in which lower CRRs correspond to longer stopping distances), it still did not meet the minimum threshold for statistical significance. In terms of compliance with Federal safety standards, it was found that the stopping distance performance of the vehicle with the four tire sets studied in this research (with estimated tractor CRRs which varied by 33 percent), were well under the FMVSS No. 121 stopping distance requirements. 
(e) Additional Safety Considerations 
The agencies considered the Organic 
Rankine Cycle waste heat recovery 
(WHR) as a fuel saving technology in the rulemaking timeframe. The basic approach of these systems is to use engine waste heat from multiple sources to evaporate a working fluid through a heat exchanger, which is then passed through a turbine or equivalent expander to create mechanical or electrical power. The working fluid is then condensed as it passes through a heat exchanger and returns to back to the fluid tank, and pulled back to the flow circuit through a pump to continue the cycle. 
Despite the promising performance of 
pre-prototype WHR systems, 
manufacturers have not yet arrived at a consensus on which working fluid(s) to be used in WHR systems to balance concerns regarding performance, global warming potential (GWP), and safety. Working fluids have a high GWP (conventional refrigerant), are expensive (low GWP refrigerant), are hazardous (such as ammonia, etc.), are flammable (ethanol/methanol), or can freeze (water). One challenge is determining how to seal the working fluid properly under the vacuum condition and high temperatures to avoid safety issues for flammable/hazardous working fluids. Because of these challenges, choosing a working fluid will be an important factor for system safety, efficiency, and overall production viability. 
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The agencies believe manufacturers 
will require additional time and 
development effort to assure that a working fluid that is both appropriate, given the noted challenges, and has a low GWP for use in waste heat recovery systems. Based on this and other factors, the analysis used for both the proposed Preferred Alternative and for this final rule assumes that WHR will not achieve a significant market penetration for diesel tractor engines (i.e., greater than 
5 percent) until 2027, which will provide time for these considerations to be addressed. The agencies assume no use of this technology in the HD pickups and vans and vocational vehicle segments. 
(2) Safety Related Comments to the 
NPRM 
The agencies received safety related 
comments to the NPRM focused on the vehicle and operator safety benefits of central tire inflation systems, potential safety and traction impacts of low rolling resistance tires, and recommendations that NHTSA continue evaluations of potential safety impacts of fuel saving technologies. 
AIR CTI, Inc., a supplier of central tire 
inflation systems, highlighted the safety benefits to both vehicle operation and the operators themselves through proper tire pressure management. More specifically, the proper tire inflation levels for the load being carried contributes to both proper handing for road conditions and reducing irregular road surface vibration from being transmission to vehicle component and, 
ultimately, the vehicle operator, where there may be potential health implications over prolonged exposure. 
The agencies appreciate the 
additional points provided by AIR CTI in terms of not only the potential fuel efficiency benefits of central tire inflation systems but the potential equipment longevity benefits, vehicle dynamic impacts, and the potential to reduce driver fatigue and injury through proper tire inflation for the load being carried. 
The American Trucking Associations 
(ATA) commented on the potential impact of Low Rolling Resistance Tires by indicating that, ‘‘The safety effects of LRRTs are not totally understood. While the ‘‘. . . agencies analysis indicate that this proposal should have no adverse impact on vehicle or engine safety,’’ ATA remains leery of potential unintended consequences resulting from new generation tires that have yet to be developed. This especially holds true in terms of overall truck braking distances.’’ The Owner-Operator Independent Drivers Association (OOIDA) similarly commented on 
LRRTs and their ability to meet the tractions needs in mountainous regions. 
The agencies continue to stand 
behind the low rolling resistance tire research conducted to date, which includes the study mentioned in the previous section, along with any research supporting the development, and maintenance, of FMVSS No. 121. The agencies agree, though, that continuing research will be important as new tire technologies enter the marketplace, and like the extensive rolling resistance testing conducting to support the Phase 1 regulation and, in part, this final rule, the agencies will continue to monitor developments in the tire supply marketplace through the EPA Smartway program and other, potential, research. NHTSA notes that FMVSS No. 121 will continue to play a role in ensuring the safety of both current and future tire technologies. 
The ATA also expressed support for 
the NHTSA study mentioned in the previous section, Review and Analysis of Potential Safety Impacts of and Regulatory Barriers to Fuel Efficiency Technologies and Alternative Fuels in Medium- and Heavy-Duty Vehicles. More specifically, ATA requested that DOT/NHTSA and the DOT Volpe Center continue ‘‘to assess and evaluate potential safety impacts that may be attributed to the use of fuel efficiency devices.’’ The agencies appreciate ATA’s support and acknowledge of this comprehensive, peer-reviewed 
assessment and we look forward to continuing this work to as the need arises. 
(3) The Agencies’ Assessment of 
Potential Safety Impacts 
NHTSA and EPA considered the 
potential safety impact of technologies that improve MDHD vehicle fuel efficiency and GHG emissions as part of the assessment of regulatory alternatives and selection of the final regulatory approach. The safety assessment of the technologies in this final rule was informed by two NAS reports, an analysis of safety effects of HD pickups and vans using estimates from the DOT report on the effect of mass reduction and vehicle size on safety, and agency- sponsored safety testing and research. The agencies considered safety from the perspective of both direct effects and indirect effects. 
In terms of direct effects on vehicle 
safety, research from NAS and Volpe, and direct testing of technologies like the ORNL tire work, indicate that there are no major safety hazards associated with the adoption of technologies that improve MDHD vehicle fuel efficiency and GHG emissions or the increased use 
of alternative fuels and vehicle electrification. The findings suggest that the potential safety hazards identified during operation, maintenance, and crash scenarios can be prevented or mitigated by complying with safety regulations, voluntary standards, and industry best practices. Tire testing showed tire rolling resistance did not impact of Class 8 tractor-trailer stopping distance for the tires tested. For HD pickup and vans, mass reduction is anticipated to reduce the net incidence of highway fatalities, because of the beneficial effects of mass reduction in the majority of HD pickup and vans which weigh more than 4,594 lbs. Taken together, these studies suggest that the fuel efficiency improving technologies assessed in the studies can be implemented with no degradation in overall safety. 
However, analysis anticipates that the 
indirect effect of these standards, by reducing the operating costs, will lead to increased travel by tractor-trailers and HD pickups and vans and, therefore, more crashes involving these vehicles. 
X. Analysis of the Alternatives 
As discussed in the NPRM and 
throughout this Preamble, in developing 
this program, the agencies considered a number of regulatory alternatives that could result in potentially fewer or greater GHG emission and fuel consumption reductions than the Phase 2 program we are adopting. This section summarizes the alternatives we considered and presents estimates of the CO
2reductions and fuel savings 
associated with them. Although some of the alternatives considered for the FRM are identical to alternatives considered for the NPRM, the preferred alternative (i.e. the final rule) is actually more 
stringent than the preferred alternative that was proposed, and includes some 
elements of the NPRM’s Alternative 4. 
In developing alternatives, both 
agencies must consider a range of stringency. NHTSA must consider EISA’s requirement for the MD/HD fuel efficiency program. In particular, 49 U.S.C. 32902(k)(2) and (3) contain the following three requirements specific to the MD/HD vehicle fuel efficiency improvement program: (1) The program must be ‘‘designed to achieve the maximum feasible improvement;’’ (2) the various required aspects of the program must be appropriate, cost- effective, and technologically feasible for MD/HD vehicles; and (3) the standards adopted under the program must provide not less than four model years of lead time and three model years of regulatory stability. In considering 
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934Cf. Center for Biological Diversity v. National 
Highway Traffic Safety Admin., 538 F.3d 1172, 
1194 (9th Cir. 2008). For further discussion see 76 FR 57198. these various requirements, NHTSA will 
also account for relevant environmental and safety considerations. 
As explained in the Phase 1 rule, 
NHTSA has broad discretion in balancing the above factors in determining the improvement that the manufacturers can achieve. The fact that the factors may often be conflicting gives NHTSA significant discretion to decide what weight to give each of the competing policies and concerns and then determine how to balance them— as long as NHTSA’s balancing does not undermine the fundamental purpose of the EISA: Energy conservation, and as long as that balancing reasonably accommodates ‘‘conflicting policies that were committed to the agency’s care by the statute.’’
934 
EPA also has significant discretion in 
considering a range of stringency. Section 202(a)(2) of the Clean Air Act requires only that the standards ‘‘take effect after such period as the Administrator finds necessary to permit the development and application of the requisite technology, giving appropriate consideration to the cost of compliance within such period.’’ This language affords EPA considerable discretion in how to weight the critical statutory factors of emission reductions, cost, and lead time. See 76 FR 57129–57130. 
The alternatives presented here follow 
the format of the alternatives addressed in the NPRM. Among the alternatives are a preferred alternative (in this action, the ‘‘final program’’), more stringent alternatives, and less stringent alternatives (including ‘‘no action’’ alternatives). As discussed in this Preamble’s Sections II (Engines), III (Tractors), IV (Trailers), V (Vocational Vehicles), and VI (Pickups and Vans), NHTSA and EPA determined Alternative 3 to be the preferred alternative, or the final program, for each vehicle category. This Section X describes all of the alternatives considered, and provides context for the relative stringency associated with the final program. 
A. What are the alternatives that the 
agencies considered? 
The five alternatives below represent 
a broad range of potential stringency levels, and thus a broad range of associated technologies, costs and benefits for a HD vehicle fuel efficiency and GHG emissions program. All of the alternatives were modeled using the same methodologies described in Chapter 5 of the RIA. The alternatives considered for the 
final rule were conceptually similar to 
(and for some elements, identical to) to the alternatives considered for the proposal. The alternatives in order of increasing fuel efficiency and GHG emissions reductions are as follows: 
1. No action, baseline 
2. Less stringent than the proposal 3. Preferred alternative 4. Proposed (not FRM) standards with 
less lead time 
5. More stringent standards than the 
proposal with less lead time 
Comments on the alternatives 
overlapped with comments on the 
overall stringency of the proposed Phase 2 program. These comments were mixed. Some operators and manufacturers supported the least stringent alternatives. Many other commenters, however, including most non-governmental organizations, supported more stringent standards with less lead time. They generally supported Alternative 4. Many technology and component suppliers supported more stringent standards but with the proposed lead time, and thus generally supported the Alternative 3 timeframe. Vehicle manufacturers strongly opposed the more stringent standards and reduced lead time of Alternative 4. To the extent any of these commenters provided technical information to support their comments on stringency and lead time, it is discussed in Sections II through VI. 
Many of the comments supporting 
more stringent standards stated that they would be ‘‘cost-effective.’’ In general, however, we did not find costs or cost-effectiveness to be a significantly limiting factor in determining the stringency of the standards. Rather, we found that actual technological feasibility and lead time to be the more limiting factors. Manufacturers and suppliers have limited research and development capacities, and although they have some ability to expand, that ability is constrained by the lead time required. Lead time includes time not only to design and develop a technology, but to bring it to market in reliable form. During the prototype stage, all prototype components must be available and extensive engine and vehicle tests must be conducted. The production start-up phase would follow. After that, significant efforts must be made to advance the system from a prototype to a commercial product, which typically takes about five years for complex systems. During this approximate five-year period, multiple vehicles will go through weather condition tests, long lead-time parts and tools will be identified, and market launch and initial results on operating stability will be completed. Production designs will be released, all product components should be made available, production parts on customer fleets and weather road testing will be verified before finally launching production, and distribution of parts to the vehicle service network for maintenance and repair will be readied. See Section I.C above; see also RIA Chapter 2.3.9. New technologies then are ordinarily phased into the commercial market, so that fleet operators are assured of technology reliability and utility before making extensive purchases. Commenters supporting the more stringent alternatives based on cost-effectiveness generally did not address these very real lead time constraints. 
(1) Alternative 1: No Action (The 
Baseline for Phase 2) 
OMB guidance regarding regulatory 
analysis indicates that proper evaluation of the benefits and costs of regulations and their alternatives requires agencies to identify a baseline: 
‘‘You need to measure the benefits 
and costs of a rule against a baseline. This baseline should be the best assessment of the way the world would look absent the proposed action. The choice of an appropriate baseline may require consideration of a wide range of potential factors, including: 
•Evolution of the market 
•changes in external factors affecting 
expected benefits and costs 
•changes in regulations promulgated 
by the agency or other government 
entities 
•degree of compliance by regulated 
entities with other regulations 
It may be reasonable to forecast that 
the world absent the regulation will resemble the present. If this is the case, however, your baseline should reflect the future effect of current government programs and policies. For review of an existing regulation, a baseline assuming no change in the regulatory program generally provides an appropriate basis for evaluating regulatory alternatives. When more than one baseline is reasonable and the choice of baseline will significantly affect estimated benefits and costs, you should consider measuring benefits and costs against alternative baselines. In doing so you can analyze the effects on benefits and costs of making different assumptions about other agencies’ regulations, or the degree of compliance with your own existing rules. In all cases, you must evaluate benefits and costs against the same baseline. You should also discuss 
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935OMB Circular A–4, September 17, 2003. 
Available at http://www.whitehouse.gov/omb/ 
circulars_ a004_ a-4. 
936NEPA requires agencies to consider a ‘‘no 
action’’ alternative in their NEPA analyses and to compare the effects of not taking action with the effects of the reasonable action alternatives to demonstrate the different environmental effects of the action alternatives. See 40 CFR 1502.2(e), and 
1502.14(d). CEQ has explained that ‘‘[T]he regulations require the analysis of the no action alternative even if the agency is under a court order or legislative command to act. This analysis provides a benchmark, enabling decision makers to compare the magnitude of environmental effects of the action alternatives. [See 40 CFR 
1502.14(c).]* * * Inclusion of such an analysis in the EIS is necessary to inform Congress, the public, and the President as intended by NEPA. [ See 40 
CFR 1500.1(a).]’’ Forty Most Asked Questions Concerning CEQ’s National Environmental Policy Act Regulations, 46 FR 18026 (1981) (emphasis added). 
937NAS 2010, Roeth et al. 2013, and Klemick et 
al. 2014. 938http://energy.gov/eere/vehicles/vehicle- 
technologies-office-21st-century-truck. 
939http://www3.epa.gov/smartway/. 
940State of California Global Warming Solutions 
Act of 2006 (Assembly Bill 32, or AB32). the reasonableness of the baselines used 
in the sensitivity analyses. For each baseline you use, you should identify the key uncertainties in your forecast.’’
935 
A no-action alternative is also 
required as a baseline against which to measure environmental impacts of these standards and alternatives. NHTSA, as required by the National Environmental Policy Act, is documenting these estimated impacts in the EIS published with this final rule.
936 
The No Action Alternative for today’s 
analysis, alternatively referred to as the ‘‘baseline’’ or ‘‘reference case,’’ assumes 
that the agencies would not issue new rules regarding MD/HD fuel efficiency and GHG emissions. That is, this alternative assumes that the Phase 1 MD/HD fuel efficiency and GHG emissions program’s model year 2018 standards would be extended indefinitely and without change. 
The agencies recognize that there are 
a number of factors that create uncertainty in projecting a baseline against which to compare the future effects of the alternatives. The composition of the future fleet—such as the relative position of individual manufacturers and the mix of products they each offer—cannot be predicted with certainty at this time. As reflected, in part, by the market forecast underlying the agencies’ analysis, we anticipate that the baseline market for medium- and heavy-duty vehicles will continue to evolve within a competitive market that responds to a range of factors. Additionally, the heavy-duty vehicle market is diverse, as is the range of vehicle purchasers. 
Heavy-duty vehicle manufacturers 
have reported that their customers’ purchasing decisions are influenced by their customers’ own determinations of minimum total cost of ownership, which can be unique to a particular customer’s circumstances. For example, 
some customers (e.g., less-than- 
truckload or package delivery operators) operate their vehicles within a limited geographic region and typically own their own vehicle maintenance and repair centers within that region. These operators tend to own their vehicles for long time periods, and sometimes for the entire service life of the vehicle. Their total cost of ownership is influenced by their ability to better control their own maintenance costs, and thus they can afford to consider fuel efficiency technologies that have longer payback periods, outside of the vehicle manufacturer’s warranty period. Other customers (e.g. truckload or long-haul 
operators) tend to operate cross-country, and thus must depend upon truck dealer service centers for repair and maintenance. Some of these customers tend to own their vehicles for about four to seven years, so that they typically do not have to pay for repair and maintenance costs outside of either the manufacturer’s warranty period or some other extended warranty period. Many of these customers tend to require seeing evidence of fuel efficiency technology payback periods on the order of 18 to 24 months before seriously considering evaluating a new 
technology for potential adoption within their fleet.
937Purchasing 
decisions, however, are not based exclusively on payback period, but also include the considerations discussed in this section. For the baseline analysis, the agencies use payback period as a proxy for all of these considerations, and therefore the payback period used for the baseline analysis may be shorter than the payback periods industry typically identifies as thresholds for the further consideration of a technology. Some owners accrue relatively few vehicle miles traveled per year, such that they may be less likely to adopt new fuel efficiency technologies, while other owners who use their vehicle(s) with greater intensity may be even more willing to pay for fuel efficiency improvements. Regardless of the type of customer, their determination of minimum total cost of ownership 
involves the customer balancing their own unique circumstances with a heavy-duty vehicle’s initial purchase price, availability of credit and lease options, expectations of vehicle reliability, resale value and fuel efficiency technology payback periods. The degree of the incentive to adopt additional fuel efficiency technologies also depends on customer expectations of future fuel prices, which directly impacts customer expectations of the payback period. 
Another factor the agencies 
considered is that other federal and state-level policies and programs are specifically aimed at stimulating fuel efficiency technology development and deployment. Particularly relevant to this sector are DOE’s 21st Century Truck Partnership, EPA’s voluntary SmartWay Transport program, and California’s AB32 fleet requirements.
938 939 940 The 
future availability of more cost-effective technologies to reduce fuel consumption could provide manufacturers an incentive to produce more fuel-efficient medium- and heavy- duty vehicles, which in turn could provide customers an incentive to purchase these vehicles. The availability of more cost-effective technologies to reduce fuel consumption could also lead to a substitution of less cost- effective technologies, where overall fuel efficiency could remain fairly flat if buyers are less interested in fuel consumption improvements than in reduced vehicle purchase prices and/or improved vehicle performance and/or utility. 
We have also applied the EIA’s AEO 
estimates of future fuel prices; however, heavy-duty vehicle customers could have different expectations about future fuel prices, and could therefore be more or less inclined to apply new technology to reduce fuel consumption than might be expected based on EIA’s forecast. We expect that vehicle customers will be uncertain about future fuel prices, and that this uncertainty will be reflected in the degree of enthusiasm to apply new technology to reduce fuel consumption. 
Considering all of these factors, the 
agencies have approached the definition of the No Action Alternative separately for each vehicle and engine category covered by today’s rules. Except as noted below, these baselines are largely the same as the proposed Alternatives 1a and 1b, which reflected different assumptions about the extent to which the market would pay for additional fuel-saving technology without new Phase 2 standards. The agencies received limited comments on these reference cases. Some commenters expressed support for the la baseline in the context of the need for the regulations, arguing that little improvement would occur without the regulations. Others supported the 1a 
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941Committee to Assess Fuel Economy 
Technologies for Medium- and Heavy-Duty 
Vehicles; National Research Council; Transportation Research Board (2010). ‘‘Technologies and Approaches to Reducing the Fuel Consumption of Medium- and Heavy-Duty Vehicles,’’ (hereafter, ‘‘NAS 2010’’). Washington, DC. The National Academies Press. Available electronically from the National Academies Press Web site at http://www.nap.edu/catalog.php?record_ id=12845 (last accessed September 10, 
2010). baseline because they believe it more 
fully captures the costs. Some commenters thought it reasonable that the agencies consider both baselines, given the uncertainty in this area. No commenters opposed the consideration of both baselines. The agencies thus continued to analyze two different baselines for the final rules as we recognize that there are a number of factors that create uncertainty in projecting a baseline against which to compare the future effects of this action and the remaining alternatives. As was shown in the previous sections, the standards are supported by the analysis using either baseline. 
For trailers, the agencies considered 
two No Action alternatives to cover a nominal range of uncertainty. The trailer category is unique in the context of this rulemaking because it is the only heavy-duty category not regulated under Phase 1. The agencies project that in 2018, about half of new 53′ dry van and 
reefer trailers will have technologies qualifying for the SmartWay label for aerodynamic improvements and about 90 percent would have the lower rolling resistance tires. About half also have automatic tire inflation systems to maintain optimal tire pressure. For Alternative 1a as presented in this action (referred to as the ‘‘flat’’ baseline), this technology adoption remains constant after 2018. In the second case, Alternative 1b, the agencies projected that the combination of EPA’s voluntary SmartWay program, DOE’s 21st Century Truck Partnership, California’s AB32 trailer requirements for fleets, and the potential for significantly reduced operating costs should result in continuing improvement to new trailers. The agencies projected that the fraction of the in-use fleet qualifying for SmartWay will continue to increase beyond 2027 as older trailers are replaced by newer trailers. We projected that these improvements will continue until 2040 when 75 percent of new trailers will be assumed to include skirts. 
For vocational vehicles, the agencies 
considered one No Action alternative. For the vocational vehicle category the agencies recognized that these vehicles tend to operate over fewer vehicle miles travelled per year. Therefore, the projected payback periods for fuel efficiency technologies available for vocational vehicles are generally longer than the payback periods the agencies consider likely to lead to their adoption based solely on market forces. This is especially true for vehicles used in applications in which the vehicle 
operation is secondary to the primary business of the company using the vehicle. For example, since the fuel 
consumption of vehicles used by utility companies to repair power lines would generally be a smaller cost relative to the other costs of repairing lines, fuel saving technologies would generally not be as strongly demanded for such vehicles. Thus, the agencies project that fuel-saving technologies will either not be applied or will only be applied as a substitute for more expensive fuel efficiency technologies, except as necessitated by the Phase 1 fuel consumption and GHG standards. 
For tractors, the agencies considered 
two No Action alternatives to cover a nominal range of uncertainty. For Alternative 1a the agencies project that fuel-saving technologies will either not be applied or will only be applied as a substitute for more expensive fuel efficiency technologies to tractors (thereby enabling manufacturers to offer tractors that are less expensive to purchase), except as necessitated by the Phase 1 fuel consumption and GHG standards. In Alternative 1b the agencies estimated that some available technologies will save enough fuel to pay back fairly quickly—within the first six months of ownership. The agencies considered a range of information to formulate these two baselines for 
tractors. 
Both public
941and confidential 
historical information shows that tractor trailer fuel efficiency improved steadily through improvements in engine efficiency and vehicle aerodynamics over the past 40 years, except for engine efficiency which decreased or was flat between 2000 and approximately 2007 as a consequence of incorporating technologies to meet engine emission regulations. Today vehicle manufacturers, the Federal Government, academia and others continue to invest in research to develop fuel efficiency improving technologies for the future. 
In public meetings and in meetings 
with the agencies, the trucking industry stated that fuel cost for tractors is the number one or number two expense for many operators, and therefore is a very important factor for their business. However, the pre-Phase 1 market suggests that tractor manufacturers and operators could be slow to adopt some new technologies, even where the 
agencies have estimated that the technology would have paid for itself within a few months of operation. This phenomenon, which is discussed in Section IX.A, is often called the energy paradox. Consistent with the discussion above of reasons for needed lead time, tractor operators have told the agencies they generally require technologies to be demonstrated in their fleet before widespread adoption so they can assess the actual fuel savings for their fleet and any increase in cost associated with effects on vehicle operation, maintenance, reliability, mechanic training, maintenance and repair equipment, stocking unique parts and driver acceptance, as well as effects on vehicle resale value. Tractor operators often state that they would consider conducting an assessment of technologies when provided with data that show the technologies may payback costs through fuel savings within 18 to 24 months, based on their assumptions about future fuel costs. In other words they would treat this as a necessary condition, but generally would not consider it to be sufficient. In these cases, an operator may first conduct a detailed paper study of anticipated costs and benefits. If that study shows likely payback in 18 to 24 months for their business, the fleet may acquire one or several tractors with the technology to directly measure fuel savings, costs and driver acceptance for their fleet. Small fleets may not have resources to conduct assessments to this degree and may rely on information from larger fleets or observations of widespread acceptance of the technology within the industry before adopting a technology. This uncertainty over the actual fuel savings and costs and the lengthy process to assess technologies significantly slows the pace at which fuel efficiency technologies are adopted. 
The agencies believe that using the 
two baselines addresses the uncertainties we have identified for tractors. The six-month payback period of Alternative 1b reflects the agencies’ consideration of factors, discussed above, that could limit—yet not eliminate—manufacturers’ tendencies to voluntarily improve fuel consumption. In contrast, Alternative 1a reflects a baseline for vehicles other than trailers wherein manufacturers either do not apply fuel efficiency technologies or only apply them as a substitute for more expensive fuel efficiency technologies, except as necessitated by the Phase 1 fuel consumption and GHG standards. 
For HD pickups and vans, the 
agencies considered two No Action 
alternatives to cover a nominal range of 
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942As noted in Section I.C, in this context, the 
term ‘‘technology-forcing’’ has a specific legal 
meaning and is used to distinguish standards that will effectively require manufacturers to develop new technologies (or to significantly improve technologies) from standards that can be met using off-the-shelf technology alone. Technology-forcing standards do not require manufacturers to use any specific technologies. uncertainty. In Alternative 1b the 
agencies considered additional technology application, which involved the explicit estimation of the potential to add specific fuel-saving technologies to each specific vehicle model included in the agencies’ HD pickup and van fleet analysis, as discussed in Section VI. Estimated technology application and corresponding impacts depend on the modeled inputs. Also, under this approach a manufacturer that has improved fuel consumption and GHG emissions enough to achieve compliance with the standards is assumed to apply further improvements, provided those improvements reduce fuel outlays by enough (within a specified amount of time, the payback period) to offset the additional costs to purchase the new vehicle. These calculations explicitly account for and respond to fuel prices, vehicle survival and mileage accumulation, and the cost and efficacy of available fuel-saving technologies. Therefore, all else being equal, more technology is applied when fuel prices are higher and/or technology is more cost-effective. However, considering factors discussed above that could limit manufacturers’ tendency to voluntarily improve HD pickup and van fuel consumption, Alternative 1b applies a 6-month payback period. In contrast, for Alternative 1a, the agencies project that fuel-saving technologies will either not be applied or only be applied as a substitute for more expensive fuel efficiency technologies, except as necessitated by the Phase 1 fuel consumption and GHG standards. The Method A sensitivity analysis presented in Section VI of the NPRM also examined other payback periods. In terms of impacts under reference case fuel prices, the payback period input plays a more significant role under the No-Action Alternatives (defined by a continuation of model year 2018 standards) than under the more stringent regulatory alternatives for HD pickups and vans described next. 
(2) Alternative 2: Less Stringent Than 
the Preferred Alternative 
For vocational vehicles and 
combination tractor-trailers, Alternative 2 represents a stringency level which is approximately half as stringent overall as the final standards. The agencies developed Alternative 2 to consider a continuation of the Phase 1 approach of applying off-the-shelf technologies rather than requiring the development 
of new technologies or fundamental improvements to existing technologies. For tractors and vocational vehicles, this also involved less integrated optimization of the vehicles and engines. Put another way, Alternative 2 is not technology-forcing.
942See, e.g., 
Sierra Club v. EPA, 325 F. 3d 374, 378 
(D.C. Cir. 2003) (under a technology- forcing provision, EPA ‘‘must consider future advances in pollution control capability’’); see also similar discussion in Husqvarna AB v. EPA, 254 F. 3d 195, 
201 (D.C. Cir. 2001). 
The agencies’ decisions regarding 
which technologies could be applied to comply with Alternative 2 considered not only the use of off-the shelf technologies, but also considered other factors, such as how broadly certain technologies fit in-use applications and regulatory structure. The resulting Alternative 2 could be met with fewer technologies and lower penetration rates than those the agencies project will be used to meet the final Phase 2 standards. Alternative 2 is estimated to be achievable without the application of some technologies, at any level. These and other differences are described below by category. Overall, Alternative 2 for the final rules is conceptually similar to Alternative 2 in the NPRM. However, some changes have been made to reflect new information provided in public comments. 
The agencies project that Alternative 
2 combination tractor standards could be met by applying lower adoption rates of the projected technologies for Alternative 3. This includes a projection of slightly lower per-technology effectiveness for Alternative 2 versus 3. Alternative 2 also assumes that there would be little optimization of combination tractor powertrains. 
The Alternative 2 for vocational 
vehicles assessed for these final rules does differ somewhat from the proposal because it reflects new duty cycles that weight idle emissions more heavily. The agencies project that the Alternative 2 vocational vehicle standard could be met without any use of strong hybrids or any other type of transmission technology. Rather, it could be met with off-the-shelf idle reduction technologies, low rolling resistance tires, and axle efficiency improvements. 
The Alternative 2 trailer standards 
would apply to only 53-foot dry and refrigerated box trailers and could be met through the use of less effective aerodynamic technologies and higher rolling resistance tires versus what the agencies projected could be used to 
meet Alternative 3 (i.e., the final standards). 
As discussed above in Section VI, the 
HD pickup truck and van alternatives are characterized by an annual required percentage change (decrease) in the functions defining attribute-based targets for per-mile fuel consumption and GHG emissions. Under the standards in each alternative, a manufacturer’s fleet would, setting aside any changes in production mix, be required to achieve average fuel consumption/GHG levels that increase in stringency every year relative to the standard defined for MY 2018 (and held constant through 2020) that establishes fuel consumption/GHG targets for individual vehicles. A manufacturer’s specific fuel consumption/GHG requirement is the sales-weighted average of the targets defined by the work-factor curve in each year. Therefore, although the alternatives involve steady increases in the functions defining the targets, stringency increases faced by any individual manufacturer may not be steady if changes in the manufacturer’s product mix cause fluctuations in the average fuel consumption and GHG levels required of the manufacturer. See Section VI for additional discussion of this topic. Alternative 2 represents a 2.0 percent annual improvement through 2025 in fuel consumption/GHG emissions relative to the work-factor curve in 2020. This would be 0.5 percent less stringent per year compared to the standards of Alternative 3. 
For HD pickups and vans in the 
Method A analysis, NHTSA projects that most manufacturers could comply with the standards defining Alternative 2 by applying technologies similar to those that could be applied in order to comply with the Alternative 3 standards, but at lower application rates. In EPA’s Method B analysis, the biggest technology difference EPA projects between Alternative 2 and the Alternative 3 final standards is that most manufacturers could meet the Alternative 2 standards without any use of stop-start or other mild or strong hybrid technologies. 
The agencies are not adopting 
standards reflecting Alternative 2 for reasons of both policy and law. 
Technically feasible alternate standards are available that provide for greater emission reductions and reduced fuel consumption than provided under Alternative 2. These more stringent standards, which are being adopted, are feasible at reasonable cost, considering both per-vehicle and per-engine cost, cost-effectiveness, direct benefits to 
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943The one exception being design standards for 
certain non-aero trailers. 944Those few standards that are design-based 
rather than performance based reflect comments 
indicating that performance-based flexibility would not be necessary or helpful for certain markets. consumers in the form of fuel savings, 
and lead time. Consequently, the agencies do not believe that the modest improvements in Alternative 2 would be appropriate or otherwise reasonable under section 202(a)(1) and (2) of the Clean Air Act, or represent the ‘‘maximum feasible improvement’’ within the meaning of 49 U.S.C. 32902(k)(2). 
(3) Alternative 3: Preferred Alternative 
and Final Standards 
The agencies are adopting Alternative 
3 for HD engines, HD pickup trucks and vans, Class 2b through Class 8 vocational vehicles, Class 7 and 8 combination tractors, and trailers. Details regarding modeling of this final program are included in Chapter 5 of the RIA. Note that Alternative 3 for the final rules differs from the Alternative 3 in the NPRM. The differences are largely in response to significant comments on the proposed rule. Although some aspects of the final Alternative 3 are more aggressive than proposed (including adopting some aspects of the proposed Alternative 4), others are less aggressive. As a result of these changes, the preferred alternative in this final 
rule is projected to achieve more GHG emission reductions and more reductions of fuel consumption than the proposed alternative 4. See Section X.B below and RIA Chapter 5. 
Unlike the Phase 1 standards where 
the agencies projected that manufacturers could meet the Phase 1 standards with off-the-shelf technologies only, the agencies project that meeting the Alternative 3 standards will require a combination of off-the- shelf technologies applied at higher market penetration rates and new technologies that are still in various stages of development and not yet in production. Although this alternative is technology-forcing, it must be kept in mind that the standards themselves are performance-based and thus do not mandate that any particular technology be used to meet the standards.
943The 
agencies recognize that there is some uncertainty in projecting costs and effectiveness for those technologies not yet available in the market, but we do not believe, as discussed comprehensively in Sections II, III, IV, V, and VI, that such uncertainty is sufficient to render Alternative 3 beyond the reasonable or maximum feasible level of stringency for each of the engine and vehicle categories covered by this program. Moreover, we have explained what steps will be needed to bring these technologies to the commercial market, and the lead time needed to do so. Given that nearly all of the final standards are performance-based rather than mandates of specific technologies, and given that the lead time for the most stringent standards in Alternative 3 is approximately 10 years, the agencies believe that the performance that is required by these stringency levels of Alternative 3 allows each manufacturer to choose to develop technology and apply it to their vehicles (and engines, where applicable) in a way that balances their unique business constraints and reflects their specific market position and customers’ needs.
944 
We have described in detail above, 
and also in Chapter 2 of the RIA, the precise bases for each of these standards (that is, for each segment covered under the program). Sections II through VI of this Preamble provide comprehensive explanations of the agencies’ assessment of the extent to which such standards could be met through the accelerated application of technologies and our reasons for concluding that the identified technologies for each of the vehicle and engine standards that constitute the updated Alternative 3 represent the maximum feasible (within the meaning of 49 U.S.C. 32902 (k)) and reasonable (for purposes of CAA section 202(a)(1) and (2)) based on all of the information available to the agencies at the time of this rulemaking. In particular, the agencies determined that many engine improvements could be achieved sooner than we projected in our NPRM analysis, some even sooner than projected as part of the Alternative 4 analysis. 
(4) Alternative 4: More Accelerated 
Than the Preferred Alternative in the NPRM 
As indicated by its description in the 
title above, Alternative 4 represents standards that are effective on a more accelerated timeline in comparison to the timeline of in the proposed Alternative 3 standards. This alternative is unchanged from Alternative 4 in the proposal. The agencies believe that reanalyzing the same Alternative 4 provides a useful context for commenters who supported the proposed Alternative 4. 
In the NPRM, Alternatives 3 and 4 
were both designed to achieve similar fuel efficiency and GHG emission levels in the long term but with Alternative 4 being accelerated in its implementation 
timeline. Specifically, Alternative 4 reflects the same or similar standard stringency levels as the proposed Alternative 3, but 3 years sooner (2 years for heavy-duty pickups and vans), so that the final phase of the standards would occur in MY 2024, or (for heavy duty pickups and vans) 2025. 
The agencies projected in the NPRM 
that meeting Alternative 4 combination tractor standards would require applying initially higher adoption rates of the projected technologies for Alternative 3. This included a projection of slightly higher per- technology effectiveness for Alternative 4 versus 3. Alternative 4 also assumes that there would be more optimization of combination tractor powertrains and earlier market penetration of engine waste heat recovery systems. 
The agencies also projected that 
meeting the Alternative 4 vocational vehicle standard would require earlier adoption rates of the same technology packages projected for Alternative 3. 
Meeting the Alternative 4 trailer 
standards would require earlier implementation of more effective aerodynamic technologies, including the use of aerodynamic skirts and boat tails. This would be in addition to implementing lower rolling resistance tires for nearly all trailers. 
HD pickup truck and van standards 
defining Alternative 4 represent a 3.5 percent annual improvement in fuel consumption and GHG emissions through 2025 relative to the work-factor curves in 2020. This would require earlier adoption of all the Alternative 3 technologies. 
As discussed above and in the 
feasibility discussions in Sections II–VI, we are adopting those elements of the 
proposed Alternative 4 where we have determined them to be feasible in the lead time provided. However, the agencies have determined that it is unlikely that all elements of Alternative 4 could be achieved by 2024. In fact, the agencies can only project that the engine improvements and some tire improvements will be achievable on the Alternative 4 timeline. Thus, we do not believe these alternative standards to be feasible overall, and we are consequently unable to accurately estimate costs for them. The agencies received many comments supporting the Alternative 4 standards where the commenter noted they supported them because they would be ‘‘cost-effective’’ based on the proposed analysis of costs. However, we do not consider this conclusion to be accurate. We do not believe the proposed analysis fully represents the costs for this alternative 
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945Although the agencies have considered 
regulatory alternatives involving standards 
increasing in stringency through, at the latest, 2027, the agencies extended the CAFE modeling analysis through model year 2030 rather than model year 2027 in order to obtain more fully stabilized results given projected product cadence, multiyear 
planning, and application of earned credits. because it included little additional 
costs related to pulling ahead the development of so many additional technologies. It also does not reflect any costs associated with a decrease in the in-use reliability and durability during the initial years of implementation. It does not reflect costs of design and deployment outside of normal design cycles, an example being the necessity of developing new engine platforms if WHR were to be applied at higher penetration rates by MY 2024. See RIA Chapter 2.7.5. As we have already noted, we did not find costs or cost- effectiveness to be a significantly limiting factor in determining the stringency of the standards. Rather, we found that actual technological feasibility and lead time to be the more limiting factors. In this respect, we found Alternative 4 to provide insufficient lead time for any of the standards—engine, pickups and vans, vocational vehicles, tractors, and trailers. 
(5) Alternative 5: Even More Stringent 
Standards With Less Lead-Time 
Alternative 5 represents even more 
stringent standards compared to Alternatives 3 and 4, as well as the same implementation timeline as Alternative 4. As discussed in the NPRM, and as repeated above and in the feasibility discussions in Sections II–VI, we are not adopting Alternative 5 because we cannot project that manufacturers can develop and introduce in sufficient quantities the technologies that could be used to meet Alternative 5 standards. No commenters provided any new information to refute this finding. We believe that for some or all of the categories, the Alternative 5 standards are simply technically infeasible within the lead time allowed. We have not fully estimated costs for this alternative for tractors and vocational vehicles because we believe that there would be such substantial additional costs related to pulling ahead the development of so many additional technologies that we cannot accurately predict these costs. (Indeed, how can cost estimates for an alternative which essentially cannot be done at all be realistic?) We also believe this alternative, if it could somehow be effectuated, would result in a decrease in the in-use reliability and durability of new heavy-duty vehicles and that we do not have the ability to accurately quantify the costs that would be associated with such problems. Instead, we merely note that costs would be significantly greater than the estimated costs for Alternative 3, assuming (against our view) that such standards would be feasible at all. 
B. How do these alternatives compare in 
overall fuel consumption and GHG emissions reductions? 
The following tables compare the 
overall fuel consumption and GHG emissions reductions of each of the regulatory alternatives the agencies considered. 
Note that for tractors, trailers, pickups 
and vans the agencies compared overall fuel consumption and GHG emissions reductions relative to two different baselines, described above in the section on the No Action alternative. Therefore, for tractors, trailers, pickups and vans two results are listed; one relative to each baseline, namely Alternative 1a and Alternative 1b. 
Also note that the agencies analyzed 
pickup and van overall fuel consumption and emissions reductions and benefits and costs using the NHTSA’s CAFE model (Method A). In addition, the agencies used EPA’s MOVES model to estimate pickup and van fuel consumption and emissions and a cost methodology that applied vehicle costs in different model years (Method B). In both cases, the agencies used a version of the CAFE model to estimate average per vehicle cost, and this analysis extended through model year 2030.
945The agencies concluded 
that in these instances the choice of baseline and the choice of modeling approach (Method A versus Method B) did not impact the agencies’ decision to finalize Alternative 3. 
The agencies are finalizing a more 
stringent program than proposed, so that the preferred alternative for the FRM (Alternative 3) achieves greater reductions and net benefits than the proposed program would have. Moreover, because the agencies analyzed the same Alternative 4 for the FRM as for the NPRM, the FRM preferred alternative also achieves greater reductions than Alternative 4 would have. 
The regulatory impact analysis (RIA) 
accompanying today’s notice presents more detailed results of the agencies’ analysis. 
(1) Impacts Using Analysis Method A 
Table X–1 through Table X–4 
summarize the key NHTSA estimates of 
the costs and benefit of the program using Method A. The first two tables show the costs and benefits using a 3 percent discount rate under both the flat and dynamic baselines. The third and fourth tables show the costs and benefits using a 7 percent discount rate for both baselines. Under all possible combinations of discount rate and baseline the net benefits from highest to lowest are as follows: Alternative 5; Alternative 3; Alternative 4; Alternative 2. 
TABLE X–1—MY 2018–2029 L IFETIME SUMMARY OF PROGRAM BENEFITS AND COSTS , DISCOUNTED AT 3% (R ELATIVE TO  
BASELINE 1a), M ETHOD Aa 
Vehicle segment Alt 2 Alt 3 Alt 4 Alt 5 
Discounted pre-tax fuel savings ($billion) 
HD pickups and Vans ...................................................................................... 12.1 18.7 20.3 22.3 
Vocational Vehicles ......................................................................................... 13.5 25.5 23.6 34.6 
Tractors/Trailers ............................................................................................... 50.2 118.8 115.7 169.1 
Total .......................................................................................................... 75.7 163.0 159.6 225.9 
Discounted Total technology costs ($billion) 
HD pickups and Vans ...................................................................................... 3.1 6.8 8.2 9.9 
Vocational Vehicles ......................................................................................... 1.6 6.6 7.1 9.5 
Tractors/Trailers ............................................................................................... 9.0 11.0 11.6 26.8 
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TABLE X–1—MY 2018–2029 L IFETIME SUMMARY OF PROGRAM BENEFITS AND COSTS , DISCOUNTED AT 3% (R ELATIVE TO  
BASELINE 1a), M ETHOD Aa—Continued 
Vehicle segment Alt 2 Alt 3 Alt 4 Alt 5 
Total .......................................................................................................... 13.7 24.4 26.9 46.2 
Discounted value of emissions reductions ($billon) 
HD pickups and Vans ...................................................................................... 3.4 5.3 5.7 6.3 
Vocational Vehicles ......................................................................................... 5.2 9.8 9.1 13.3 
Tractors/Trailers ............................................................................................... 21.9 50.9 50.9 73.4 
Total .......................................................................................................... 30.5 66.0 65.7 93.0 
Total costs ($billion) 
HD pickups and Vans ...................................................................................... 4.4 7.9 8.6 10.3 
Vocational Vehicles ......................................................................................... 2.4 7.3 8.8 11.3 
Tractors/Trailers ............................................................................................... 13.2 14.0 15.7 30.8 
Total .......................................................................................................... 20.0 29.2 33.1 52.4 
Total benefits ($billion) 
HD pickups and Vans ...................................................................................... 18.1 28.1 30.4 33.3 
Vocational Vehicles ......................................................................................... 20.2 37.8 35.1 51.2 
Tractors/Trailers ............................................................................................... 78.1 179.8 176.5 255.5 
Total .......................................................................................................... 114.1 245.7 242.0 340.0 
Net benefits ($billion) 
HD pickups and Vans ...................................................................................... 13.7 20.2 21.8 23.0 
Vocational Vehicles ......................................................................................... 17.8 30.5 26.3 39.9 
Tractors/Trailers ............................................................................................... 64.9 165.8 160.9 224.7 
Total .......................................................................................................... 94.1 216.5 208.9 287.6 
Note: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the less dynamic baseline, 1a, and more dy-
namic baseline, 1b, please see Section X.A.1. 
TABLE X–2—MY 2018–2029 L IFETIME SUMMARY OF PROGRAM BENEFITS AND COSTS , DISCOUNTED AT 3% (R ELATIVE TO  
BASELINE 1 b), M ETHOD Aa 
Vehicle segment Alt 2 Alt 3 Alt 4 Alt 5 
Discounted pre-tax fuel savings ($billion) 
HD pickups and Vans ...................................................................................... 10.7 17.4 19.5 21.9 
Vocational Vehicles ......................................................................................... 13.5 25.5 23.6 34.6 
Tractors/Trailers ............................................................................................... 37.6 106.2 103.1 156.5 
Total .......................................................................................................... 61.8 149.1 146.2 213.0 
Discounted Total technology costs ($billion) 
HD pickups and Vans ...................................................................................... 2.8 6.4 7.5 9.8 
Vocational Vehicles ......................................................................................... 1.6 6.6 7.1 9.5 
Tractors/Trailers ............................................................................................... 8.8 10.7 11.3 26.6 
Total .......................................................................................................... 13.2 23.7 25.9 45.9 
Discounted value of emissions reductions ($billon) 
HD pickups and Vans ...................................................................................... 3.0 4.9 5.5 6.2 
Vocational Vehicles ......................................................................................... 5.2 9.8 9.1 13.3 
Tractors/Trailers ............................................................................................... 16.4 45.4 45.4 67.9 
Total .......................................................................................................... 24.6 60.1 60.0 87.4 
Total costs ($billion) 
HD pickups and Vans ...................................................................................... 4.0 7.4 8.6 10.0 
Vocational Vehicles ......................................................................................... 2.4 7.3 8.8 11.3 
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TABLE X–2—MY 2018–2029 L IFETIME SUMMARY OF PROGRAM BENEFITS AND COSTS , DISCOUNTED AT 3% (R ELATIVE TO  
BASELINE 1 b), M ETHOD Aa—Continued 
Vehicle segment Alt 2 Alt 3 Alt 4 Alt 5 
Tractors/Trailers ............................................................................................... 12.9 13.8 15.5 30.6 
Total .......................................................................................................... 19.3 28.5 32.9 51.9 
Total benefits ($billion) 
HD pickups and Vans ...................................................................................... 16.0 26.0 29.2 32.7 
Vocational Vehicles ......................................................................................... 20.2 37.8 35.1 51.2 
Tractors/Trailers ............................................................................................... 59.2 161.0 157.7 236.7 
Total .......................................................................................................... 95.4 224.8 222.0 320.6 
Net benefits ($billion) 
HD pickups and Vans ...................................................................................... 12.0 18.6 20.6 22.7 
Vocational Vehicles ......................................................................................... 17.8 30.5 26.3 39.9 
Tractors/Trailers ............................................................................................... 46.3 147.2 142.2 206.1 
Total .......................................................................................................... 76.1 196.3 189.1 268.7 
Note: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the less dynamic baseline, 1a, and more dy-
namic baseline, 1b, please see Section X.A.1. 
TABLE X–3—MY 2018–2029 L IFETIME SUMMARY OF PROGRAM BENEFITS AND COSTS , DISCOUNTED AT 7% (R ELATIVE TO  
BASELINE 1a) M ETHOD Aa 
Vehicle segment Alt 2 Alt 3 Alt 4 Alt 5 
Discounted pre-tax fuel savings ($billion) 
HD pickups and Vans ...................................................................................... 7.1 10.9 11.9 13.0 
Vocational Vehicles ......................................................................................... 7.1 13.4 12.5 18.5 
Tractors/Trailers ............................................................................................... 26.6 62.7 61.8 90.7 
Total .......................................................................................................... 40.8 87.0 86.2 122.2 
Discounted Total technology costs ($billion) 
HD pickups and Vans ...................................................................................... 2.2 4.8 5.9 7.0 
Vocational Vehicles ......................................................................................... 1.1 4.4 4.8 6.5 
Tractors/Trailers ............................................................................................... 6.2 7.4 8.0 18. 5 
Total .......................................................................................................... 9.5 16.6 18.7 32.0 
Discounted value of emissions reductions ($billon) 
HD pickups and Vans ...................................................................................... 3.1 4.8 5.2 5.7 
Vocational Vehicles ......................................................................................... 4.2 7.8 7.3 10.7 
Tractors/Trailers ............................................................................................... 16.9 39.5 39.3 57.1 
Total .......................................................................................................... 24.2 52.1 51.8 73.5 
Total costs ($billion) 
HD pickups and Vans ...................................................................................... 3.0 5.5 6.1 7.3 
Vocational Vehicles ......................................................................................... 1.5 4.8 5.8 7.5 
Tractors/Trailers ............................................................................................... 8.5 9.2 10.2 20 .7 
Total .......................................................................................................... 13.0 19.5 22.1 35.5 
Total benefits ($billion) 
HD pickups and Vans ...................................................................................... 11.7 18.0 19.6 21.5 
Vocational Vehicles ......................................................................................... 12.1 22.6 21.1 31.0 
Tractors/Trailers ............................................................................................... 47.1 108.0 106.8 155.1 
Total .......................................................................................................... 70.9 148.6 147.5 207.6 
Net benefits ($billion) 
HD pickups and Vans ...................................................................................... 8.7 12.5 13.5 14.2 
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TABLE X–3—MY 2018–2029 L IFETIME SUMMARY OF PROGRAM BENEFITS AND COSTS , DISCOUNTED AT 7% (R ELATIVE TO  
BASELINE 1a) M ETHOD Aa—Continued 
Vehicle segment Alt 2 Alt 3 Alt 4 Alt 5 
Vocational Vehicles ......................................................................................... 10.6 17.8 15.3 23.5 
Tractors/Trailers ............................................................................................... 38.6 98.8 96.6 134.4 
Total .......................................................................................................... 58.0 129.1 125.4 172.1 
Note: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the less dynamic baseline, 1a, and more dy-
namic baseline, 1b, please see Section X.A.1. 
TABLE X–4—MY 2018–2029 L IFETIME SUMMARY OF PROGRAM BENEFITS AND COSTS , DISCOUNTED AT 7% (R ELATIVE TO  
BASELINE 1b), M ETHOD Aa 
Vehicle segment Alt 2 Alt 3 Alt 4 Alt 5 
Discounted pre-tax fuel savings ($billion) 
HD pickups and Vans ...................................................................................... 6.3 10.1 11.5 12.9 
Vocational Vehicles ......................................................................................... 7.1 13.4 12.5 18.5 
Tractors/Trailers ............................................................................................... 19.9 56.1 55.2 84.1 
Total .......................................................................................................... 33.3 79.6 79.2 115.5 
Discounted Total technology costs ($billion) 
HD pickups and Vans ...................................................................................... 2.0 4.4 5.3 7.0 
Vocational Vehicles ......................................................................................... 1.1 4.4 4.8 6.5 
Tractors/Trailers ............................................................................................... 6.1 7.3 7.8 18. 4 
Total .......................................................................................................... 9.2 16.1 17.9 31.9 
Discounted value of emissions reductions ($billon) 
HD pickups and Vans ...................................................................................... 2.7 4.4 5.0 5.6 
Vocational Vehicles ......................................................................................... 4.2 7.8 7.3 10.7 
Tractors/Trailers ............................................................................................... 12.7 35.3 35.1 52.8 
Total .......................................................................................................... 19.6 47.5 47.4 68.2 
Total costs ($billion) 
HD pickups and Vans ...................................................................................... 2.7 5.1 6.0 7.1 
Vocational Vehicles ......................................................................................... 1.6 4.8 5.8 7.5 
Tractors/Trailers ............................................................................................... 8.4 9.0 10.1 20 .6 
Total .......................................................................................................... 12.7 18.9 21.9 35.2 
Total benefits ($billion) 
HD pickups and Vans ...................................................................................... 10.4 16.7 19.0 21.3 
Vocational Vehicles ......................................................................................... 12.1 22.7 21.1 31.0 
Tractors/Trailers ............................................................................................... 35.9 96.8 95.6 143.9 
Total .......................................................................................................... 58.4 136.2 135.7 195.2 
Net benefits ($billion) 
HD pickups and Vans ...................................................................................... 7.7 11.6 13.0 14.2 
Vocational Vehicles ......................................................................................... 10.5 17.9 15.3 23.5 
Tractors/Trailers ............................................................................................... 27.5 87.8 85.5 123.3 
Total .......................................................................................................... 45.7 117.3 113.8 161.0 
Note: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the less dynamic baseline, 1a, and more dy-
namic baseline, 1b, please see Section X.A.1. 
Table X–5 and Table X–6 show the 
estimated fuel savings and GHG 
reductions considering alternatives under both baselines. Under both baselines, the reductions in both fuel and GHG’s are highest under Alternative 5, higher under Alternative 3 than Alternative 4, and lowest under Alternative 2. 
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TABLE X–5—MY 2018–2029 L IFETIME FUELSAVINGS AND GHG E MISSIONS REDUCTIONS BY VEHICLE SEGMENT , 
RELATIVE TO BASELINE 1a, M ETHOD Aa 
MY 2018–2029 Total Fuel reductions 
(billion gallons) Upstream & 
downstream GHG 
reductions 
(MMT) 
Alternative 2 
HD Pickup Trucks/Vans .......................................................................................................... ............. 6.2 77 
Vocational Vehicles ............................................................................................................ ................. 6.5 86 
Tractors and Trailers .......................................................................................................... ................. 23.4 323 
Total .......................................................................................................................... .................... 36.1 486 
Alt. 3—Preferred Alternative 
HD Pickup Trucks/Vans .......................................................................................................... ............. 9.8 120 
Vocational Vehicles ............................................................................................................ ................. 12.3 162 
Tractors and Trailers .......................................................................................................... ................. 55.6 767 
Total .......................................................................................................................... .................... 77.7 1049 
Alt. 4 
HD Pickup Trucks/Vans .......................................................................................................... ............. 10.6 130 
Vocational Vehicles ............................................................................................................ ................. 11.4 150 
Tractors and Trailers .......................................................................................................... ................. 54.0 744 
Total .......................................................................................................................... .................... 76.0 1024 
Alt. 5 
HD Pickup Trucks/Vans .......................................................................................................... ............. 11.6 143 
Vocational Vehicles ............................................................................................................ ................. 16.7 219 
Tractors and Trailers .......................................................................................................... ................. 78.8 1087 
Total .......................................................................................................................... .................... 107.1 1449 
Note: 
aFor an explanation of analytical Methods A and B, please see Preamble Section I.D; for an explanation of the flat baseline, 1a, and dynamic 
baseline, 1b, please see Preamble Section X.A.1. 
TABLE X–6—MY 2018–2029 L IFETIME FUELSAVINGS AND GHG E MISSIONS REDUCTIONS BY VEHICLE SEGMENT , 
RELATIVE TO BASELINE 1b M ETHOD Aa 
MY 2018–2029 Total Fuel reductions 
(billion gallons) Upstream & 
downstream GHG 
reductions 
(MMT) 
Alternative 2 
HD Pickup Trucks/Vans .......................................................................................................... ............. 5.5 68 
Vocational Vehicles ............................................................................................................ ................. 6.5 86 
Tractors and Trailers .......................................................................................................... ................. 17.5 242 
Total .......................................................................................................................... .................... 29.5 396 
Alt. 3—Preferred Alternative 
HD Pickup Trucks/Vans .......................................................................................................... ............. 9.0 111 
Vocational Vehicles ............................................................................................................ ................. 12.4 162 
Tractors and Trailers .......................................................................................................... ................. 49.7 685 
Total .......................................................................................................................... .................... 71.1 958 
Alt. 4 
HD Pickup Trucks/Vans .......................................................................................................... ............. 10.1 125 
Vocational Vehicles ............................................................................................................ ................. 11.4 150 
Tractors and Trailers .......................................................................................................... ................. 48.1 663 
Total .......................................................................................................................... .................... 69.6 938 
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TABLE X–6—MY 2018–2029 L IFETIME FUELSAVINGS AND GHG E MISSIONS REDUCTIONS BY VEHICLE SEGMENT , 
RELATIVE TO BASELINE 1b M ETHOD Aa—Continued 
MY 2018–2029 Total Fuel reductions 
(billion gallons) Upstream & 
downstream GHG 
reductions 
(MMT) 
Alt. 5 
HD Pickup Trucks/Vans .......................................................................................................... ............. 11.3 140 
Vocational Vehicles ............................................................................................................ ................. 16.7 219 
Tractors and Trailers .......................................................................................................... ................. 72.9 1006 
Total .......................................................................................................................... .................... 100.9 1365 
Note: 
aFor an explanation of analytical Methods A and B, please see Preamble Section I.D; for an explanation of the flat baseline, 1a, and dynamic 
baseline, 1b, please see Preamble Section X.A.1. 
TABLE X–7—A NNUAL GHG ANDFUELREDUCTIONS RELATIVE TO THE DYNAMIC BASELINE IN 2040 AND2050 U SING 
METHOD Aa 
Upstream & downstream 
GHG Reductions 
(MMT CO 2EQ) Fuel reductions 
(billion gallons) 
2040 2050 2040 2050 
Alt. 2 Less Stringent—Total ............................................................................. 49.1 57.3 3.6 4.2 
Tractors and Trailers ................................................................................ 30.9 36.6 2.2 2.7 
HD Pickups & Vans .................................................................................. 6.7 7.3 0.6 0.6 
Vocational Vehicles .................................................................................. 11.5 13.4 0.8 0.9 
Alt. 3 Preferred—Total ..................................................................................... 139 166 10.2 12.3 
Tractors and Trailers ................................................................................ 102 124 7.4 9.0 
HD Pickups & Vans .................................................................................. 12.6 13.8 1.0 1.2 
Vocational Vehicles .................................................................................. 24.1 28.2 1.8 2.1 
Alt. 4 Less Lead Time—Total .......................................................................... 116 136 8.6 10.1 
Tractors and Trailers ................................................................................ 83.1 98.7 6.0 7.2 
HD Pickups & Vans .................................................................................. 12.6 13.8 1.1 1.2 
Vocational Vehicles .................................................................................. 20.0 23.1 1.5 1.7 
Alt. 5 More Stringent—Total ............................................................................ 167 194 12.4 14.2 
Tractors and Trailers ................................................................................ 124 146 9.0 10.6 
HD Pickups & Vans .................................................................................. 14.8 16.2 1.3 1.3 
Vocational Vehicles .................................................................................. 27.8 32.0 2.1 2.3 
Note: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the flat baseline, 1a, and dynamic baseline, 
1b, please see Section X.A.1. 
TABLE X–8—A NNUAL GHG ANDFUELREDUCTIONS RELATIVE TO THE FLATBASELINE IN 2040 AND2050 U SING METHOD  
Aa 
Upstream & downstream 
GHG Reductions 
(MMT CO 2EQ) Fuel reductions 
(billion gallons) 
2040 2050 2040 2050 
Alt. 2 Less Stringent—Total ............................................................................. 63.7 75.2 4.7 5.5 
Tractors and Trailers ................................................................................ 44.2 53.0 3.2 3.8 
HD Pickups & Vans .................................................................................. 8.0 8.8 0.6 0.7 
Vocational Vehicles .................................................................................. 11.5 13.4 0.9 1.0 
Alt. 3 Preferred—Total ..................................................................................... 153 184 11.3 13.7 
Tractors and Trailers ................................................................................ 115 141 8.4 10.2 
HD Pickups & Vans .................................................................................. 13.8 15.1 1.1 1.3 
Vocational Vehicles .................................................................................. 24.1 28.2 1.8 2.2 
Alt. 4 Less Lead Time—Total .......................................................................... 131 153 9.6 11.4 
Tractors and Trailers ................................................................................ 96.5 115 7.0 8.3 
HD Pickups & Vans .................................................................................. 14.0 15.3 1.1 1.3 
Vocational Vehicles .................................................................................. 20.0 23.1 1.5 1.8 
Alt. 5 More Stringent—Total ............................................................................ 181 213 13.4 15.6 
Tractors and Trailers ................................................................................ 137 163 9.9 11.8 
HD Pickups & Vans .................................................................................. 16.0 17.6 1.4 1.5 
Vocational Vehicles .................................................................................. 27.8 32.0 2.1 2.3 
Note: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the flat baseline, 1a, and dynamic baseline, 
1b, please see Section X.A.1. 
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946Yborra, Stephe; NGV Market Briefing to EPA 
and NHTSA, August 12, 2014. 
947MOVES2014; http://www3.epa.gov/otaq/ 
models/moves/index.htm. 948Methane emissions above the heavy-duty 0.1 
g/bhp-hr methane tailpipe standard must be 
accounted for and offsets the lower CO 2tailpipe 
emissions. (2) Impacts Using Analysis Method B 
Table X–9 summarizes EPA’s 
estimates of GHG and fuel reductions of the program using Method B for 
calendar years 2040 and 2050. 
TABLE X–9—A NNUAL GHG ANDFUELREDUCTIONS RELATIVE TO THE FLATBASELINE IN 2040 AND2050 U SING METHOD  
Ba 
Upstream & downstream 
GHG Reductions 
(MMT CO 2EQ) Fuel reductions 
(billion gallons) 
2040 2050 2040 2050 
Alt. 2 Less Stringent—Total ............................................................................. 71.8 84.0 5.4 6.3 
Tractors and Trailers ................................................................................ 44.2 53.0 3.2 3.8 
HD Pickups & Vans .................................................................................. 16.1 17.6 1.4 1.5 
Vocational Vehicles .................................................................................. 11.5 13.4 0.9 1.0 
Alt. 3 Preferred—Total ..................................................................................... 166.5 198.9 12.5 14.9 
Tractors and Trailers ................................................................................ 115.5 140.7 8.4 10.2 
HD Pickups & Vans .................................................................................. 26.9 30.0 2.2 2.6 
Vocational Vehicles .................................................................................. 24.1 28.2 1.9 2.1 
Alt. 4 More Stringent—Total ............................................................................ 144.1 168.5 10.9 12.7 
Tractors and Trailers ................................................................................ 96.5 115.1 7.0 8.3 
HD Pickups & Vans .................................................................................. 27.7 30.3 2.3 2.6 
Vocational Vehicles .................................................................................. 20.0 23.1 1.5 1.8 
Alt. 5 More Stringent—Total ............................................................................ 196.8 230.0 14.8 17.2 
Tractors and Trailers ................................................................................ 136.9 162.9 9.9 11.8 
HD Pickups & Vans .................................................................................. 32.2 35.2 2.7 3.0 
Vocational Vehicles .................................................................................. 27.8 32.0 2.1 2.4 
Note: 
aFor an explanation of analytical Methods A and B, please see Section I.D; for an explanation of the flat baseline, 1a, and dynamic baseline, 
1b, please see Section X.A.1. 
XI. Natural Gas Vehicles and Engines 
NGV America estimates that 
approximately 65,200 natural gas trucks 
were operating in the U.S. in 2014. This represents 0.3 percent of the heavy-duty vehicle fleet in the U.S. based on EPA’s estimated 17.5 million heavy-duty trucks operating in the U.S.
946 947 While 
medium and heavy-duty natural gas vehicles continue to be produced and sold, the collapse of crude oil prices starting in 2014 has reduced the economic incentive to expand the use of natural gas fueled trucks. Although these natural gas versions are similar in many ways to their petroleum counterparts, there are significant differences. There are also both similarities and differences in the production and distribution of natural gas relative to gasoline and diesel fuel. 
This combined rulemaking by EPA 
and NHTSA is designed to regulate two separate characteristics of heavy-duty vehicles: Emissions of GHGs and fuel consumption (especially petroleum fuels). The use of natural gas as a heavy- duty fuel can impact both of these. In the case of diesel or gasoline powered vehicles, there is a close relationship between GHG emissions and petroleum consumption. The situation is different for non-petroleum fuels like natural gas. 
Natural gas also has a lower carbon content than petroleum fuels. Thus, a natural gas vehicle that could achieve the same fuel efficiency as a diesel- powered vehicle would emit about 20 percent less CO
2when operating on 
natural gas and consume no petroleum. A natural gas vehicle with the same fuel efficiency as a gasoline vehicle would emit about 30 percent less CO
2.948 
However, current natural gas engines are 5 to 15 percent less energy efficient than diesel engines. This means that, although natural gas engines are typically less fuel efficient, they can have lower CO
2emissions and consume 
much less petroleum. In Phase 1, the agencies balanced these factors by applying the gasoline and diesel CO
2 
standards to natural gas engines based on the engine type of the natural gas engine. Fuel consumption for these vehicles is then calculated according to their tailpipe CO
2emissions. In essence, 
this applies a one-to-one relationship between fuel efficiency and tailpipe CO
2 
emissions for all vehicles, including 
natural gas vehicles. The agencies determined that this approach would likely create a small balanced incentive for natural gas use. See 76 FR 57123; see also 77 FR 51705 (August 24, 2012) and 
77 FR 51500 (August 27, 2012) (EPA and NHTSA, respectively, further elaborating on basis for having Phase 1 apply at the tailpipe only, including for alternative fueled vehicles); see also Delta Construction Co. v. EPA, 783 F. 3d 
1291 (D.C. Cir. 2015) (dismissing challenge to Phase 1 GHG standards as 
being arbitrary for applying only on a tailpipe basis). 
For Phase 2, the agencies have 
reevaluated the potential use of natural gas in the heavy-duty sector and the impacts of such use. As discussed below, based on our review of the literature and external projections we believe that the use of natural gas is unlikely to become a major fuel source for medium and heavy-duty vehicles during the Phase 2 time frame. Thus, since we project natural gas vehicles to have little impact on both overall GHG emissions and fuel consumption during the Phase 2 time frame, the agencies see no need to make fundamental changes to the Phase 1 approach for natural gas engines and vehicles. 
As part of this rulemaking, the 
agencies developed a lifecycle analysis of natural gas used by the heavy-duty truck sector, which is presented in Section XI.B. We also present the results of analyses projecting the future use of natural gas by heavy-duty trucks, identify a number of potential emission control technologies, and discuss the 
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approaches that could help to reduce 
the methane emissions from natural gas trucks in the future. A more detailed discussion of these analyses and issues can be found in RIA Chapter 13. 
A. Natural Gas Engine and Vehicle 
Technology 
Both gasoline and diesel vehicles can 
be designed or modified to use natural gas. Several engine parameters and characteristics come into play in comparing engines powered by natural gas with engines powered by conventional fuels. 
Gasoline-fueled engines are typically 
spark-ignition engines that rely on stoichiometric combustion, which means that essentially all the oxygen from the engine’s intake air is consumed in the combustion process. Converting a gasoline-fueled engine to run on natural gas involves changing the hardware used to store and deliver fuel to the engine, but the combustion strategy remains largely unchanged. The engine must be recalibrated for the different fuel properties, but combustion typically remains stoichiometric. In addition, the catalysts may require significant changes to enable the heavy- duty engine to comply with the emission standards. 
Diesel-fueled engines are 
compression-ignition engines that rely on lean-burn combustion, which means that the engine takes in a substantial quantity of excess air (oxygen) that is not consumed in the combustion process. Engines usually have turbochargers to compress the intake air, which allows for greater power output and thermodynamic efficiency. Converting a diesel-fueled engine to run on natural gas may involve a minimal set of changes to engine calibrations to maintain lean-burn operation and the overall operating characteristics of a compression-ignition engine, although there are substantial changes to the fuel storage and delivery systems. Compressed ignition natural gas engines either require the use of a pilot injection of a small amount of diesel fuel to initiate the combustion event when the natural gas is directly injected, or more commonly, a mixture (never more than 50 percent natural gas) of natural gas and diesel fuel is combusted for fumigated natural gas engines. It is also possible to convert a diesel-fueled engine to run on natural gas by adding a spark plug. The option of changing the calibration strategy to rely on stoichiometric combustion would allow for simpler engine design and operation, but it would come at a cost of higher fuel consumption and CO
2emissions. Engines running on natural gas are 
capable of meeting the same criteria and 
GHG emission standards that apply for gasoline and diesel engines, although complying with the methane tailpipe emission standard has posed a challenge for engine manufacturers up to this point. In the case of reducing PM and CO
2emissions, there is an inherent 
advantage for natural gas. In contrast, engines must be properly calibrated and maintained to avoid high emission rates for NO
X, HC, and CO. 
On-vehicle fuel storage for natural gas 
is also an important design parameter. The most common method today is compressed natural gas (CNG), which involves storing the fuel as a gas at very high pressure (up to ∼3600 psi) to increase the density of the fuel, although the fuel remains less dense than diesel fuel. Compared to diesel fuel, CNG increases vehicle weight (because of heavier high pressure fuel tanks) and generally reduces the range relative to gasoline or diesel vehicles. Nevertheless, CNG technology is readily available and does not involve big changes for operators. The alternative is to extensively cool the fuel so that it can be stored as liquefied natural gas (LNG) at a lower pressure, which involves more extensive hardware changes for managing the fuel as a cryogenic liquid. LNG fuel storage also involves a substantial weight increase, but LNG has a higher density than CNG so LNG vehicles can store much more fuel than CNG vehicles in the same volume. LNG technology is available for a limited number of truck models, mostly for line- haul service where range is a paramount consideration. The cryogenic fuel requires substantial changes in hardware and procedures for refueling stations and operators. An additional difference from CNG is that because LNG must be kept cool to prevent evaporation, significant losses will occur if a vehicle is not used frequently enough. For example, an LNG vehicle left parked over a period of multiple days will eventually vent the fuel to prevent tank failure, as the system takes 
on heat from the surrounding environment and the pressure increases. 
B. GHG Lifecycle Analysis for Natural 
Gas Vehicles 
This section is organized into three 
sections. The first section summarizes the upstream emissions associated with natural production and distribution. The second section summarizes the downstream emissions associated with the actual use of the fuel. The last section summarizes the results of the lifecycle emissions analysis and provides a comparison between natural gas lifecycle and diesel fuel lifecycle 
emissions. Only the overall results of the lifecycle emissions analysis between natural gas and diesel fuel are presented here, with more detail provided in Chapter 13 of the RIA. 
(1) Upstream Emissions 
Upstream methane emissions 
(occurring in natural gas production, 
processing, transmission, storage and distribution) have been estimated and summarized in the annual EPA report Inventory of U.S. Greenhouse Gas Emissions and Sinks (GHG Inventory) for the United Nations Framework Convention on Climate Change (UNFCCC). As a basis for estimating the lifecycle impact of natural gas use by heavy-duty trucks, we used the year 2014 methane emission estimates in the most recent GHG Inventory, published in 2016. Substantial amounts of new information on methane emissions from oil and gas systems have become available recently from a number of channels, including EPA’s GHG Reporting program, industry organizations, and various research studies. EPA reviewed this information and revised its estimates of methane emissions from natural gas and petroleum facilities for the 2016 GHG Inventory. Comparing the most recent GHG Inventory estimate for 2013 to the previous GHG Inventory for 2013, methane emissions are about one third higher for the aggregated natural gas system than the previous estimate. The GHG Inventory also includes the quantity of carbon dioxide which is coproduced with methane throughout the natural gas system and emitted to the atmosphere through venting, flaring, and as fugitive emissions. Since the GHG Inventory only represents U.S.- based methane and carbon dioxide emissions, it does not estimate the GHG emissions caused by the production of natural gas in Canada which is imported to the U.S. The imported Canadian natural gas comprises about 10 percent of U.S. natural gas consumption. To estimate the GHG emissions from this Canadian natural gas, we assume that it has the same GHG emissions profile as 
U.S.-produced natural gas. 
The GHG Inventory is updated 
annually to account for new emission sources (e.g., new natural gas wells), updated data, emission factors and/or methodologies, and to account for changes in emissions due to policy changes, regulatory changes and changes in industry practices. The GHG Inventory reflects emission reductions due to existing state regulations, National Emission Standards for Hazardous Air Pollutants (NESHAP) 
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949National Emission Standards for Hazardous 
Air Pollutants (NESHAP): For the Oil and Natural 
Gas Production and Natural Gas Transmission and Storage, Final Rule, 40 CFR part 63, subpart HH; June 17, 1999. 
950Oil and Natural Gas Sector: New Source 
Performance Standards and National Emission Standards for Hazardous Air Pollutants Reviews; Final Rule, 40 CFR parts 60 and 63, Environmental Protection Agency, August 16, 2012. 
951www3.epa.gov/gasstar/. 
952See 40 CFR part 98, subparts PP and RR. 953Oil and Natural Gas Sector: Emission 
Standards for New and Modified Sources; 40CFR 60, May 12, 2016. 
954https://www.whitehouse.gov/the-press-office/ 
2016/03/10/us-canada-joint-statement-climate- energy-and-arctic-leadership. 
955https://blog.epa.gov/blog/2016/03/epa-taking- 
steps-to-cut-methane-emissions-from-existing-oil- and-gas-sources. 
956Canada achieving methane emissions 
reductions from its natural gas sector is important to the US GHG footprint because about 10 percent of the natural gas consumed in the US is imported from Canada. 957Menon, V.C., Komarneni, S. 1998 ‘‘Porous 
Adsorbents for Vehicular Natural Gas Storage: A Review,’’ Journal of Porous Materials 5, 43–58 (1998); Burchell, T ‘‘Carbon Fiber Composite Adsorbent Media for Low Pressure Natural Gas Storage’’ Oak Ridge National Laboratory. promulgated by EPA in 1999,949the 
New Source Performance Standards 
(NSPS) promulgated by EPA in 2012,950 
and Natural Gas Star (a flexible, voluntary partnership that encourages oil and natural gas companies to adopt proven, cost-effective technologies and practices that improve operational efficiency and reduce methane emissions).
951 
Emission estimates in the GHG 
Inventory are generally bottom-up estimates which are per-unit (compressor, pneumatic valve, etc.) emission estimates based on measured or calculated emission rates from such emission sources. 
In addition to the national-level data 
available through the GHG Inventory, facility-level petroleum and natural gas systems data are also available through EPA’s Greenhouse Gas Reporting Program (GHGRP).
952These data 
represent a significant step forward in understanding GHG emissions from this sector and EPA expects that it will be an important tool for the agency and the public to analyze emissions, and to understand emission trends. EPA is using GHGRP data to update emission estimates in the GHG inventory, and we plan to continue to leverage GHGRP data to update future GHG Inventories. 
The EPA-promulgated 2012 New 
Source Performance Standards (NSPS OOOO) will reduce emissions of ozone precursors from natural gas facilities and have methane and hazardous air pollutant reduction co-benefits. The NSPS standards require that emissions from natural gas wells that are hydraulically fractured be controlled using flaring or reduced emission completion (REC) technology from completions and workovers starting in 2012. RECs used by natural gas well drillers capture the natural gas emissions that occur during well completion, instead of venting or flaring the emissions. Starting in January 2015, RECs are required for natural gas well completions and workovers. The NSPS also regulates the emissions from certain new natural gas production equipment, including dehydrator vents and condensate tanks. 
The Energy Information 
Administration (EIA) projects natural gas production to increase by about 19 
percent by 2025. However, as noted in the 2016 Second Biennial Report of the United States of America, EPA projects emissions of methane to increase, by only 5 percent during this timeframe; thus, methane emissions in 2025 are expected to be 12 percent lower than in 2014 per equivalent volume of natural gas being produced. 
EPA is taking additional steps to 
reduce the emissions of methane from natural gas and oil production facilities. On May 12, 2016, EPA finalized regulations (2016 NSPS OOOOa) which, among other things, include methane standards for oil and gas equipment used across the oil and gas sources currently only regulated for VOCs, and require the use of reduced emissions completions at hydraulically fractured oil wells.
953In March of 2016, the U.S. 
EPA and Canadian Environment and Climate Change Canada (ECCC) announced plans to regulate emissions from existing oil and gas sources.
954 955 956 The goal of these 
various actions is to achieve an aggregated 40 to 45 percent reduction in methane emissions relative to methane emissions in 2012. The lifecycle analysis presented here and in RIA Chapter 13 attempts to represent GHG emissions in the year 2025, but probably overestimates those emissions because the analysis does not take into account the 2016 NSPS, or any future action that would address existing sources. 
In the GHG Inventory, emissions 
associated with powering the units or equipment (i.e., compressors, pumps) used in natural gas production, processing, transmission and distribution are aggregated with all the other fossil fuel combustion activities. Rather than attempt to disaggregate those specific GHG emissions from the rest of the process emissions in the GHG Inventory, we instead used the estimated emissions for these sources provided by GREET. 
(2) Downstream Emissions 
Downstream emissions associated 
with natural gas differ between CNG and LNG. We discuss the emissions of 
both types below. 
(a) Compressed Natural Gas (CNG) 
Natural gas used as CNG is 
compressed at the retail stations that 
sell the CNG and the fleet facilities which fuel the CNG fleet vehicles. Thus, it is typically off-loaded from the broader natural gas system where the vehicles using CNG are refueled. To get the natural gas to the CNG retail facilities, which are mostly located in or near urban areas, the natural gas is normally shipped through the distribution system downstream of the natural gas transmission system. CNG trucks are then refueled at the retail stations providing CNG. Each time a CNG refueling event occurs, a small amount of natural gas is released to the environment. We estimated the volume of CNG emitted by this equipment during refueling based on past data collected on these types of fueling fittings (described in RIA Chapter 13.1.2.1). Since CNG storage systems are designed handle very high pressures, they must be designed to have no leaks, so the CNG could remain stored in the CNG tanks indefinitely. However, should a leak occur, the very high pressure at which CNG is stored dramatically increases fugitive emissions. We do not have any data to suggest that fugitive emissions from CNG trucks and assume for this analysis that CNG fugitive emissions from CNG storage at retail/fleet facilities and by trucks is zero. However, we recognize that this clearly underestimates the methane emissions from these storage 
facilities since they are unlikely to be leak-free in every instance. 
Stored at 3600 psi the energy density 
of CNG is only about 25 percent of the energy density of diesel fuel. This lower energy density is a disincentive for using CNG in long haul trucks because it limits the vehicle’s range. However, as described in the Chapter 13.1.3.1 of the RIA, using an adsorbent for natural gas (ANG) could improve the energy density of CNG, which would make it a better candidate for natural gas storage for long range combination trucks.
957Or, if used 
to store CNG at the same density, could reduce the compression energy required to compress the CNG since it could be stored at a lower pressure. 
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958Detailed California-Modified GREET Pathway 
for Liquefied Natural Gas (LNG) from North 
American and Remote Natural Gas Sources, Version 1.0, California Air Resources Board, July 20, 2009. 
959Ibid. (b) Liquefied Natural Gas (LNG) 
A primary reason for liquefying 
natural gas is that it allows storing the 
natural gas at about 60 percent of the density of diesel fuel, which is more than twice as dense as CNG. For this reason, LNG is a primary fuel being considered by long haul trucks. 
Liquefaction is the first step 
downstream of the natural gas production, processing and distribution system for making LNG available to trucks. This step involves cooling the natural gas until it undergoes a phase change from a gas to a liquid at a low pressure. LNG plants are configured differently depending on their ultimate capacity. Large LNG export facilities produce 5 million metric tons, or more, per year of LNG and the economy of scale of these large plants supports the significant addition of capital to reduce their operating costs and energy use. An LNG plant solely producing LNG for truck fuel would likely be significantly smaller (i.e., 0.1 million metric tons per year) and have a poorer economy of scale than the LNG export facilities. Their energy efficiency would be expected to be much lower on a percentage basis. The California Air Resources Board estimated that the liquefaction plants used for producing truck LNG fuel are 80 percent efficient, compared to 90 percent efficient for LNG export facilities.
958In other words, 
the amount of energy used to liquefy the natural gas would be equivalent to the energy content 10 to 20 percent of the natural gas coming into the facility. CARB recently conducted its lifecycle assessments for LNG assuming both 90 
percent efficiency value as well as 80 percent efficiency due to the uncertainty of where the LNG would be sourced from (this assessment by CARB is solely for illustrative purposes—to qualify for credit under the Low Carbon Fuel Standard (LCFS), the actual LNG plant performance would need to be the basis for any submission for requesting credit under the LCFS). For this lifecycle analysis of LNG as a truck fuel, we assume that LNG plants are 80 percent efficient, which is consistent with the types of LNG plants that would be dedicated producers of LNG for transportation purposes. We also estimated the fugitive methane emissions at the plant, as well as carbon dioxide emissions emitted by the processes which liquefy the natural gas. Because LNG plants are located separate from the retail facilities, they can be located to access the lowest cost feedstock. This means the natural gas for LNG can be sourced from the larger natural gas transmission pipelines which are upstream of the distribution pipelines. Once the natural gas is liquefied at the liquefaction plant, it is stored in an insulated storage tank to keep the LNG liquefied. 
LNG is typically transported to the 
retail station using insulated trailers designed specifically for transporting LNG. Boil-off emissions can occur during transport, but only if the temperature of the LNG increases to the point the pressure relief valve opens. However, since the LNG is super cooled, boil off events are likely to be rare. LNG is also stored in an insulated storage tank at the retail facility. Heat gain in the storage tank could eventually lead to boil-off emissions. Service stations with little LNG demand are at a higher risk of boil-off emissions compared to service stations which have a significant throughput volume. LNG stations could be configured to avoid boil-off events to the atmosphere, such as venting to a co- located CNG facility, venting to a nearby natural gas pipeline, or oxidizing the methane to carbon dioxide. In the absence of other information, we used CARB’s estimate of boil-off emissions for LNG transportation by the tanker truck between the LNG plant and retail outlets and from LNG retail facilities.
959 
LNG vehicles generally refuel LNG 
retail outlets or fleet refueling facilities much the same as other vehicles. However, because the fuel is under pressure, when the refueling nozzle is disconnected from the LNG tank nozzle, a small amount of methane is released to the environment. We estimated the volume of LNG emitted by this equipment during refueling based on past data collected on these types of fueling fittings (described in RIA Chapter 13). In addition, operators sometimes reduce the pressure in the truck’s LNG tank to speed up the refueling process, which can emit methane as well. In some cases the retail station is equipped with another hose and associated piping to vent the excess gas to the retail stations’ storage tank where it would usually condense back to a liquid due to the lower temperature of that tank, or perhaps be vented to a natural gas pipeline. However, for those retail outlets without such vent lines to the storage tank, the operator may simply vent the truck’s storage tank to the atmosphere. We estimated the emissions for a boil-off event or venting an LNG tank prior to refueling as part of a sensitivity analysis for our lifecycle 
analysis. 
(c) Comparing CNG to LNG 
The differences between CNG and 
LNG refueling patterns are important. 
Only a single facility, the retail outlet, is required for distributing CNG, while LNG requires both a liquefaction plant and a retail outlet and a means for transporting the LNG from the liquefaction plant to retail. Relying on a single facility simplifies the logistics of providing CNG and reduces the opportunity for methane leakage to the environment. However, this emissions disadvantage of LNG compared to CNG is offset somewhat because LNG is expected to access natural gas from the upstream transmission system (due to lower prices), which avoids methane emissions associated with the downstream natural gas distribution system. 
(d) Vehicle Emissions 
There are several different ways that 
diesel heavy-duty engines can be 
configured to use natural gas as a fuel. The first is a spark ignition (Otto cycle) natural gas (SING) engine. The SING 
heavy duty engine burns the fuel stoichiometrically and uses a three-way catalyst, and some also add an oxidation catalyst to provide the greatest emissions reduction. In this case the engine compression ratio is reduced similar to that of a gasoline engine and thus its thermal efficiency is lower than a diesel-like engine by about 10–15 percent. 
The second is a direct injection 
natural gas (DING), diesel cycle. The DING engine uses a small quantity of diesel fuel (pilot injection) or a glow plug as ignition sources. As the injection system for the diesel fuel does not have the capability of greater injection quantities, this option has no dual-fuel properties. On the other hand, an optimization of the pilot injection can be made to achieve lower emissions. An advanced high pressure direct injection (HPDI) fuel system combining the injection of both diesel fuel and natural gas can be used for lean burn combustion. This enables the engine to maintain the efficiency advantage of a compression ignition engine while running mainly CNG/LNG. 
The third is a mixed-fuel natural gas 
(MFNG), diesel cycle. In a mixed-fuel engine, natural gas is mixed with intake air before induction to the cylinder and diesel fuel is used as ignition source. Mixed-fuel vehicle/engine means any vehicle/engine engineered and designed to be operated on the original fuel(s), or a mixture of two or more fuels that are 
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960An exception is that small volume, heavy-duty 
natural gas truck manufacturers are exempt from 
EPA’s GHG regulations. 
961See 76 FR 57192, 40 CFR 1036.108(a)(2) and 
1037.104(c) (which is proposed to be redesignated 
as 40 CFR 86.189–14(k)(5)). combusted together. Engine results have 
shown that the efficiency of the engine could decrease by about 2–5 percent in mixed-fuel mode compared to diesel mode and that the diesel replacement was approximately 40–60 percent. 
Each of these natural gas engine types 
has its merits. The SING engine is less costly, but is less fuel efficient and because of the lower compression ratio it has less torque than the DING and MFNG diesel cycle engines. Furthermore, the SING engine usually is designed for a shorter lifespan. The DING engine is likely the most expensive because of the special natural gas/diesel fuel injection system and large required amount of natural gas (LNG or CNG) storage since the truck must run on natural gas. However, because the truck can run almost completely on natural gas, the DING engine has the potential to more quickly pay down the higher investment cost of the natural gas truck. The MFNG engine provides the truck owner the flexibility to operate either on both natural gas and diesel fuel, or solely on diesel fuel, but at the expense of a slower natural gas investment pay down rate because at most 60 percent of the fuel it consumes can be natural gas. 
Phase 1 set methane emission 
standards for both CNG and LNG trucks, so it is important to separate those trucks built before 2014 from those built in 2014 and later. The trucks built before 2014 only needed to meet standards for nonmethane hydrocarbon (NMHC) and other criteria pollutants, which means that the methane emissions from these trucks are unregulated. Our certification data show that the methane tailpipe emissions from these trucks/buses ranges from 2– 5 g/bhp-hr for both spark ignition (gasoline type) and compression ignition (diesel type) engines. 
For 2014 and later, DING and MFNG 
natural gas trucks or natural gas conversions of 2014 and later diesel trucks, the trucks must meet a 0.1 g/ bhp-hr methane emission standard in the case of a larger truck engine tested with an engine dynamometer, and a 0.05 g/mile methane emission standard in the case of smaller trucks tested on a chassis dynamometer.
960For SING 
engines, the methane standards take effect in 2016.
961Natural gas truck 
manufacturers are allowed to offset methane emissions exceeding the methane emission standard by converting the methane emission exceedances into CO
2equivalent 
emissions and using CO 2credits. For the 
natural gas engine certifications that EPA received for 2014, 2015 and 2016, the truck manufactures chose to continue to emit high levels of methane (up to 2 g/bhp-hr) and use carbon dioxide credits to offset those emissions. We do not know whether this practice will continue in the future; however, for evaluating the lifecycle impacts of natural gas heavy-duty trucks, we assume that natural gas trucks emit higher amounts of methane than the standard. It is worth noting that, because manufacturers have less experience controlling methane emissions, the potential exists for deterioration or malfunction of the engines, fuel supplies, or associated emission control devices on these trucks to occur in such a manner to result in higher methane emissions in actual use. We have not specifically accounted for the potential for increased methane emissions from high-emitter natural gas trucks. 
Some amount of combustion gases 
typically leaks into the crankcase across the piston rings (blow-by) These crankcase emissions generally include some unburned fuel along with other combustion products, and for natural gas engines, this includes methane. The crankcase of the spark ignition engines is vented into the intake of the engines; thus, any methane that ends up in the crankcase is rerouted back to the engine where it would be combusted. For compression ignition engines, however, the crankcase emissions are allowed to be vented into the exhaust pipe downstream of the aftertreatment devices, and therefore can be released to the atmosphere, provided the manufacturer measures them and includes them in the total emissions. This means that crankcase emissions of methane count against the Phase 1 methane standard. Another potential source of methane emissions from CNG and LNG trucks is fugitive emissions from the engine and from the piping which routes the fuel to the engine. Thus, either while parked or operated, this part of the vehicle fuel and engine systems could leak methane to the environment (which is different from boil-off emissions from LNG trucks discussed below). We do not have data nor did we develop an estimate for these potential fugitive emissions from these types of in-use leaks. If the natural gas vehicles are well maintained, these emissions are likely to be very low. 
The thermal efficiency (the ratio of 
energy converted to work versus energy 
consumed) of the natural gas engine also plays a role in the lifecycle emissions of 
the truck. Natural gas engines are generally less efficient than their gasoline and diesel counterparts. Furthermore, manufacturers often choose to produce spark-ignition stoichiometric natural gas engines for use in diesel applications. Spark- ignition natural gas engines can be as much as 15 percent less efficient than compressed ignition engines which operate on diesel fuel. In our lifecycle analysis, we provide two different sensitivities for natural gas vehicles assuming that they are 5 percent and 15 percent less efficient. 
An important difference between CNG 
and LNG is the way in which the fuels are stored on the vehicle. The CNG is contained in a permanently sealed system while the LNG system is potentially open to the environment (depending on operating patterns). Provided that there are no leaks in the storage system, the CNG truck is inherently low (zero) emitting with respect to evaporative emission and a parked truck would contain the CNG indefinitely. However, this is not so for LNG trucks, which would have very high emissions if the truck were to be parked so long that its entire contents would boil off and be emitted to the environment. Methane venting emissions mean loss of fuel for the operator, which creates a disincentive to allow the fuel to warm to the point of venting. Nevertheless, even occasional venting events can have significant impacts. Thus, EPA remains concerned about boil-off emissions from LNG truck fuel storage systems. When the liquefied natural gas is pumped into the truck LNG tanks, it is ‘‘supercooled,’’ meaning that the pressure of the LNG is well below the pressure at which the natural gas vent valve would relieve the LNG pressure. If the truck is driven extensively, the drawdown of liquid level will reduce the pressure in in the storage tank which will cause some of the fuel to boil off and the heat of vaporization would thus cool the rest of the liquid in the LNG storage tank. It is possible that the fuel would maintain its supercooled temperature, or possibly even cool further below its supercooled temperature, the entire time until the LNG is completely consumed. 
Unless the truck is driven enough to 
consume the LNG fuel while is still at the very low-temperature and low- pressure, it will warm due to the ambient temperature gradient through the tank wall, and vaporize, causing the temperature and pressure of the LNG to rise. When the pressure reaches a 
maximum of 230 psi a safety release valve releases the methane gas to vent 
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962National Fire Protection Association 52, 
Compressed Natural Gas (CNG) Vehicular Fuel 
System Code, 2002 Edition. 
963SAE International (2008) SAE J2343: 
Recommended Practice for LNG Medium and Heavy-Duty Powered Vehicles. Warrendale, 
Pennsylvania. 964See Section XI.D.(2)(a) for a discussion of 
different values for the GWP of methane. 
965These global warming potential values are 
based on the Fourth Assessment Report authored by 
the Intergovernmental Panel on Climate Change. 966Cooney, Greg of Booze Allen Hamilton; 
Approaches to Developing a Cradle-to-Grave Lifecycle Analysis of Conventional Petroleum Fuels Produced in the U.S. with an Outlook to 2040; for the National Energy Technology Laboratory (NETL), October 6, 2015. excess pressure. There are two industry 
standards used to design tanks to reduce the temperature increase, one for a 3- day hold time
962and one for a 5-day 
hold time.963Hold time is the time 
elapsed between the LNG refueling and venting. 
A large amount of methane can be 
released with each boil-off event. If aware of the impending boil-off, such as when the truck is being maintained, the truck driver could hook up the LNG tank to a hose which would vent the natural gas emissions to a CNG system which could reuse the boil-off natural gas as CNG, or vent the natural gas emission to a natural gas pipeline. Otherwise the boil-off emission would simply vent to the atmosphere. If the truck had 200 gallons of LNG storage capacity, the estimated quantity of boil- off emissions would range from 3 to 9 gallons of LNG for each boil-off event depending on the fill level of the LNG tank, assuming that the boil-off event results in a drop of pressure in the LNG tank from 230 psi to 170 psi. Each boil- off event has the potential to release on the order of 5,300–15,800 grams of CH
4 
which equates to 132–400 kilograms of CO
2-equivalent emissions, using a 
methane global warming potential (GWP) of 25 (assessed over 100 years).
964If the vehicle continues to sit 
for five more days and boil-off events occur each day to several times per day as the tank vents and rebuilds in pressure, the sum total of the boil-off events can result in over a million grams of CO
2-equivalent emissions. 
(3) Results of Lifecycle Analysis 
To estimate the lifecycle impact of 
natural gas used by heavy-duty trucks, we totaled the estimated CO
2, CH 4N2O 
emissions for the upstream and downstream portions of the natural gas system. The methane and nitrous oxide emissions are converted to carbon dioxide-equivalent emissions using the appropriate GWP conversion factors. The GWP conversion factors EPA currently uses in this analysis are for a 100-year timeframe, are 25 and 298 for methane and nitrous oxide, respectively.
965 
To establish the impacts of natural gas 
use in the heavy-duty fleet, it was necessary to compare the lifecycle 
impacts of natural gas against the base fuel it is replacing, which generally is diesel fuel. The lifecycle impact of diesel fuel was estimated by the 2015 GREET model for the current production and use of diesel fuel. In 2015, the National Energy Technology Laboratory (NETL) updated its diesel fuel lifecycle analysis to assess diesel fuel use by trucks in the year 2014.
966 
The revised analysis shows much higher upstream emissions compared to GREET, but much lower truck GHG 
emission compared to GREET, and on balance is slightly lower than GREET. Thus, if we used the NETL lifecycle analysis, on a relative basis, natural gas trucks would appear slightly higher emitting than diesel engines. 
To illustrate the relative full lifecycle 
impact of natural gas-fueled heavy-duty vehicles compared to diesel fueled heavy-duty vehicles, we assessed two different scenarios. The first is a conversion of a 2014 or later diesel engine to use CNG. Of the tens of thousands of heavy-duty natural gas trucks currently in use, most are of this type. It is likely that nearly all CNG conversions being done in 2021 and later will be for vehicles subject to the 2014 and 2016 methane emissions standards. Thus, for this analysis we assume that all converted natural gas trucks will need to comply with the methane standards. The methane standard requires heavy-duty trucks to comply with a 0.1 g/bhp-hr or a 0.05 g/ mile methane tailpipe standard. Based on certification data for post-2014 CNG trucks, the trucks emit from 0.7 to 2 g/ bhp-hr methane and thus require the use of CO
2emission credits to show 
compliance with the methane standard. For the purposes of this review, we assume that these trucks emit 1 gram of methane per brake horsepower hour. We provide two sensitivities to capture the lower thermal efficiencies of natural gas trucks: 5 percent less thermally efficient (thermal high) which is representative of a diesel cycle engine and 15 percent less energy efficient (thermal low, which is 10 percent worse thermal efficiency than the 5 percent less thermally efficient case) which is representative of a gasoline cycle 
engine. 
The second scenario we assessed is a 
combination LNG tractor trailer (LNG is most common with tractors because it provides a greater range of operation). While the fuel storage in this case is LNG (as opposed to CNG in the case above), the engine options are similar to the above case (diesel and gasoline cycle as represented by the thermal efficiency sensitivities). Also similar to the CNG case, we assume that these engines continue to emit 1 gram per brake- horsepower-hour of methane despite being subjected to either the 0.1 gram per brake horsepower-hour or the 0.05 gram per mile methane emission standard. We make two different assumptions with respect to refueling and boil off emissions. In the LNG average case, we assume a modest quantity of refueling and boil-off methane emissions as estimated by GREET. The second boil-off emission estimate is a sensitivity analysis which assumes that the LNG storage tank is either vented to the atmosphere each time the driver refills his tank, or that there is a boil-off event for each LNG tank filling. As discussed above, we do not expect such high refueling and boil- off emissions to be common practices for newer trucks that are operated regularly. However, as the use of these trucks decreases as they age and are sold into the secondary market, the risk for refueling and boil-off emission events increases—this estimate provides a simple sensitivity emission estimate. The relative lifecycle analysis is shown in Figure XI–1. 
A third comparison made in Figure 
XI–1 is the relative tailpipe-only emissions for diesel and natural gas trucks. The quantity of carbon dioxide, methane and nitrous oxide emissions from a diesel truck is from GREET. The carbon dioxide emissions from a natural gas-fueled truck is calculated and is based on the carbon-hydrogen content of methane. The methane emissions from a natural gas-fueled truck is based on natural gas truck certification data (and so does not include any methane emissions from the natural gas storage tanks onboard the truck nor other fugitive emissions). 
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967See Section XI.D.(2)(a) for a discussion of 
different values for the GWP of methane. 
968CA–GREET 1.8b versus 2.0 CI Comparison 
Table, LCFS Workshop Handout, California Air 
Resources Board, April 3, 2015. 
The first two bars of Figure XI–1 show 
that based solely on tailpipe emissions 
(with thermal efficiency adjustments and assuming 1 g/bhp-hr methane emissions at the truck), CNG trucks are estimated to emit about 10 percent less GHG emissions than diesel engines if the engine is only 5 percent less efficient than a diesel engine, and about the same GHG emissions if the engine is 15 percent less efficient than a diesel engine. The four full lifecycle analyses represented by the right four bars in the figure show that CNG trucks are estimated to emit less GHG emissions than diesel trucks, although if their thermal efficiency is much lower (15 percent less than the diesel fueled engine) their GHG emissions would 
decrease to 5 percent lower than diesel trucks. 
Figure XI–1 also shows that LNG 
trucks with an average extent of boil-off emissions can have about the same greenhouse gas footprint as diesel trucks, provided the engines’ energy efficiency is only 5 percent lower than diesels. However, if the LNG engine is 15 percent less energy efficient than the diesel fuel engine, the GHG emissions of the LNG truck would be higher. In addition, an LNG truck with refueling or high boil-off emissions, would emit about one third more GHG emissions than diesel fuel trucks. From a lifecycle perspective, LNG trucks appear higher emitting than CNG trucks largely because of the low thermal efficiency of the small liquefaction facilities. If a fleet 
of LNG trucks were to access LNG from a large, LNG export facility, which are much more energy efficient than the smaller liquefaction facilities, the relative lifecycle impacts of the LNG trucks would be much better. 
It is important to point out the 
uncertainties associated with the lifecycle estimates provided in the above figures. As discussed above, there is uncertainty in both the upstream and downstream methane emission estimates for natural gas facilities and equipment, and the trucks that consume natural gas. There is also uncertainty in the diesel fuel lifecycle analysis conducted by GREET and NETL. Finally, the lifecycle analysis is sensitive to the GWP factor used to assess methane and nitrous oxide, and if a different GWP value were to be used, it would affect the relative lifecycle impact of natural gas relative to diesel in heavy-duty trucks (see Chapter 13.1.4 of the RIA for sensitivity analyses regarding upstream methane emissions and the use of different GWP factors). 
We compared our lifecycle emission 
estimates for natural gas, relative to diesel fuel, with the estimates provided by the California Air Resources Board (CARB) for its Low Carbon Fuel Standard (LCFS). For our emissions estimate used in the comparison we used the carbon dioxide-equivalent (CO
2eq) emissions estimated for 2014 
and later engines, which must comply 
with a methane tailpipe emissions standard, and assumed that the engine 
was 5 percent less thermally efficient than a comparable diesel engine. Both analyses used GWPs based on 100 year timescale (i.e., a GWP of 25 for methane 
and 298 for nitrous oxide).
967For the 
CARB emissions estimates, we used the estimates made for what CARB terms ‘‘illustrative purposes’’ using the values printed in the April 3, 2015 workshop handouts.
968CARB estimates that CNG 
engines emit 86 percent of the CO 2eq 
emissions as a diesel truck using the 
EER-adjusted values which reflects 11 percent lower energy efficiency than a diesel truck. When we adjust our analysis to reflect a truck which is 11 percent less efficient than a diesel truck, our analysis estimates that CNG engines emit 89 percent of the CO
2eq emissions 
as a diesel truck. An important reason why CARB estimates lower CNG truck GHG emissions than our analysis is that a much larger portion of the electricity used to compress natural gas is renewable in California than the rest of the country. Also, our analysis accounts for the recent improvements in the GHG Inventory which shows higher natural gas upstream emissions. Using the same assumption that natural gas trucks are 11 percent less efficiently, CARB estimates LNG engines emit about 94 
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969B. Tita, Slow Going for Natural-Gas Powered 
Trucks; Wall Street Journal, 8/26/2014. 
970NGV America estimates that there are 62,000 
natural gas fueled heavy-duty trucks and buses 
operating in the U.S. out of a total of 17.5 million heavy-duty trucks and buses operating in the U.S., which equates to 0.4%. 971Weekly Retail Gasoline and Diesel Prices 
(Including Taxes), EIA, www.eia.gov/dnav/pet/pet_pri_gnd_ dcus_ nus_ a.htm. 
972Early LNG Adopters Experience Mixed 
Results; Truck News, October 1, 2013. percent of the CO 2eq emissions. After 
adjusting our analysis to also assume 
that trucks are 11 percent less efficient, our natural gas lifecycle analysis estimates LNG trucks emit 106 percent of the CO
2eq emissions as a diesel truck. 
The reasons why are LNG truck emission are so much higher than CARB’s is because we assume that LNG liquefaction plants are only 80 percent efficient as opposed to CARB’ assumption that LNG liquefaction plants are 90 percent efficient. Also CARB assumes no boil-off or venting emissions from LNG trucks and for this comparison, we used our more modest boil-off and venting assumption, as 
described above. Overall, our estimates seem to be consistent to those estimated by CARB when we account for the different assumptions used in the respective analyses. 
The lifecycle analysis at proposal 
comparing the GHG impacts of natural gas versus diesel fuel use by heavy-duty trucks did receive some comments. Probably the most prevalent comment is that EPA was underestimating methane emissions from the upstream natural gas sector. As noted above, the analysis for this final rule increased the estimate of methane emissions from the upstream natural gas sector by about one third. Other comments suggested that the Agencies should find emissions data or estimate methane emissions from the potential methane emission points for which there was no data to make such an estimate in our lifecycle analysis. The final rule natural gas lifecycle analysis does make methane emission estimates at some of those likely methane emission points for which we did not have data, nor make any estimates. Some commenters stated that the natural gas lifecycle analysis should be dropped because a similar lifecycle analysis was not conducted for other alternative fuels. The agencies chose to do a natural gas lifecycle analysis because of some of the projections for a rapid transition of heavy-duty trucks to natural gas, and because of methane’s potency as a greenhouse gas. Other comments are presented and discussed in Section 12.3 of the RTC. 
C. Projected Use of LNG and CNG 
We reviewed several sources to 
estimate how much natural gas is 
currently being used and is projected to be used by heavy-duty trucks. Projections for this emerging technology range from 7 percent of new heavy-duty vehicle sales to over 40 percent by 2040. Large uncertainties exist even since the 2014 NAS First Report was written.
969 
We believe the EIA projections are the 
most credible for capturing recent trends, and for projecting future natural gas use by heavy-duty trucks. There are several factors that support this assessment. 
First, in its 2014 Annual Energy 
Outlook (AEO), EIA estimates that natural gas fueled 0.4 percent of the energy use of heavy-duty trucks in 2014. This estimate is consistent with the fraction of the heavy-duty fleet which is fueled by natural gas as estimated by the industry.
970 
Second, the EIA projection is based 
on an economic analysis which considers the increased cost of manufacturing a natural gas truck over a diesel truck, the fuel savings for using natural gas instead of diesel fuel, and whether the payback time of the fuel savings against the increased truck cost would result in purchases of natural gas trucks. As part of this analysis, EIA assumes that lighter heavy-duty trucks would use CNG, which is a lower cost technology suited for the shorter driving distances for these trucks. The long haul trucks, however, require larger on-board stores of fuel to extend the driving range which is satisfied by storing the natural gas as a liquid. As noted earlier, LNG has about 60 percent of the energy density of diesel fuel, compared to CNG which has only 25 percent of the energy 
density of diesel fuel. To satisfy the long driving range of the long haul trucks, EIA assumed that they would use LNG rather than CNG. The assumptions used by EIA for conducting its economic analysis are reasonable. 
Third, EIA is one of the several 
organizations in the world which collects fuel pricing data and projects future fuel prices using a sophisticated modeling platform. One of the most important assumptions in projecting the future use of natural gas in the transportation sector is the relative price of natural gas to the price of diesel fuel. Thus, we started with the EIA methodology and updated the diesel and natural gas prices in our analysis using the most recent AEO projections. 
In 2015, the price of natural gas 
purchased by industrial users was less than $5 per million BTU. The price of crude oil has been volatile during 2015 as the Brent crude oil price started at about $50 per barrel, but decreased to under $30 per barrel, but now (Spring 2016) seems to be selling in the range of $30 to $40 dollars per barrel. EIA reported the average retail diesel fuel price in 2015 was about $2.70 cents per gallon.
971When comparing the natural 
gas spot market price on a diesel equivalent basis to the diesel fuel price, it appears that natural gas is priced about one quarter of the diesel fuel price. However, if used as compressed natural gas, the natural gas must be distributed through smaller distribution pipeline system that exists in cities, which increases the price of the natural gas. Then the natural gas must be compressed and stored at a retail outlet, and then dispensed to CNG trucks. The estimated retail price of CNG is $2.29 on a diesel gallon equivalent (DGE) basis, or about $0.41 DGE less than diesel fuel. LNG plants are assumed to be located close to large transmission pipelines away from cities, thus, it is sourced from lower cost natural gas. However, for producing LNG, the natural gas must be liquefied, shipped to retail outlets, stored and then dispensed to LNG trucks. These steps add substantially to the price of the LNG and the estimated retail price of LNG is $2.71 DGE, or about the same as diesel fuel. 
In its 2015 AEO projections, EIA 
estimates that crude oil prices in the upcoming years will increase slightly and are projected to reach $140/bbl in 2040. Natural gas prices are also expected to increase only slightly over this period. 
Fifth, the assumptions regarding 
payback used by EIA seemed reasonable. EIA projects that natural gas trucks begin to be purchased when the payback times are 4 years or less based on a survey conducted by the American Trucking Association. The 2014 NAS Phase 2 First Report cites the payback for the extra cost of natural gas trucks as 2 years, but other sources report a longer return closer to 4 years.
972 
For many fleets, the perceived 
payback times are too long to be interested in purchasing natural gas trucks without subsidies to compensate for the higher purchase price. According to EIA data, half the natural gas consumption by cars and trucks is in California, a state that subsidizes the purchase price of natural gas vehicles, and also subsidizes the cost of natural gas dispensing stations. The Low Carbon Fuel Standard in place in California also incentivizes natural gas use because natural gas is considered to 
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973CARB currently estimates for the LCFS that 
CNG and LNG trucks reduce GHG-equivalent 
emissions by 32% and 17%, respectively, compared to gasoline and diesel fuel. In August 2014, CARB proposed reducing the GHG-equivalent benefit of CNG and LNG trucks to 22% and 3%, respectively, compared to gasoline and diesel fuel. cause less of an impact on the climate 
than petroleum-based gasoline and diesel fuel.
973The majority of the other 
half of the NG fleet resides in states which also subsidize the cost of motor vehicles using natural gas. 
Based on the EIA projections for 
crude oil and natural gas prices, the payback time of LNG trucks is expected to remain relatively long until sometime after 2030 when crude oil prices are projected to begin increasing and the diesel fuel price increases above $4 per 
gallon. Thus, natural gas use by heavy- duty trucks is not projected by EIA to increase above 1 percent of the heavy- duty fuel demand until after 2030. 
Even when the apparent payback time 
for CNG and LNG trucks use is favorable to fleet owners, low fuel availability could still slow the transition to CNG and LNG. This is because CNG and LNG availability at service stations is currently 1 percent or less of the availability of gasoline and diesel fuel and therefore not available for most fleets. LNG availability is particularly challenging because in addition to an LNG service station, an LNG liquefaction plant would be needed as well. 
If the number of natural gas truck 
sales remains a small portion of the heavy-duty truck fleet, even if natural gas trucks emit either higher or lower greenhouse gas emissions than diesel fuel trucks, there would be little impact on overall greenhouse gas emissions. The low natural gas use by the heavy- duty sector during the Phase 2 timeframe will give us time to learn more about both upstream and downstream methane emissions to gain a better understanding of the lifecycle impacts of natural gas use by heavy- duty trucks. It will allow EPA more time to consider and put into place the best additional steps to further reduce upstream and downstream methane emissions which will improve the lifecycle impacts of natural gas use by heavy-duty trucks should the heavy duty truck fleet begin consuming natural gas in much larger quantities. 
D. Natural Gas Emission Control 
Measures 
Although natural gas vehicles are 
already subject to evaporative emission standards, the increasing interest in using natural gas as a heavy-duty fuel has led industry to further investigate how to improve the overall emission 
performance of natural gas vehicles, especially with respect to reducing methane leaks. 
(1) Control Measures 
As described in Section XII.A.3, EPA 
is adopting a 5 day hold time 
requirement for LNG fuel tanks to reduce venting emissions. 
As described in Section II., EPA is not 
adopting the proposed changes related to crankcase emission control from natural gas engines. 
(2) Additional Natural Gas 
Requirements and Discussion 
The discussion below includes new 
and revised natural gas program requirements being finalized. It also address other topics for with the agencies are not taking any action at this time. We will continue to monitor the market growth of these vehicles and we plan to review the greenhouse gas emissions impacts at a future date when natural gas vehicles comprise a larger percentage of the overall heavy duty fleet. 
(a) Changing Global Warming Potential 
Values in the Credit Program for CH
4 
(see also Preamble Section II.(D)(5)(b)) 
The Phase 1 GHG rule included a 
compliance alternative allowing heavy- duty manufacturers and conversion companies to comply with the respective methane or nitrous oxide standards by means of over-complying with CO
2standards (40 CFR 85.525). 
More specially, EPA allows manufacturers to use CO
2credits 
(generated from the same averaging set) to comply with the methane and nitrous oxide requirements after adjusting the CO
2emission credits based on the 
relative GHG equivalents. To establish the GHG equivalents used by the CO
2 
credits program, the Phase 1 heavy-duty vehicle rulemaking incorporated the IPCC Fourth Assessment Report GWP values of 25 for CH
4and 298 for N 2O, 
which are assessed over a 100 year lifetime. EPA is largely continuing this allowance for Phase 2. 
Since the Phase 1 rule was finalized, 
a new IPCC report has been released with new GWP estimates. EPA asked for comment on whether the methane GWP used to establish the GHG equivalency value for the CO
2Credit program should 
be updated to those established by IPCC in its Fifth Assessment Report (AR5). The IPCC AR5 presents four different potential values for the GWP of methane over a 100 year lifetime, ranging from 28 to 36. These values are the result of slightly different calculation methods. Therefore, we not only requested comment on whether to update the 
GWP for methane to that of the AR5, but also on which value to use from this report. The GWPs of 28 and 30 are both a result of using a carbon cycle approach consistent with that used in the Fourth Assessment Report. This carbon cycle approach included a climate-carbon feedback when calculating the lifetime of a pulse of carbon dioxide emissions, but did not include any climate-carbon feedback when calculating the impacts of a pulse of non-CO
2greenhouse gas emissions. 
As the GWP is the ratio of the impact of a pulse of non-CO
2GHG emissions 
relative to a pulse of carbon dioxide emissions, a second approach was presented where the non-CO
2GHG 
pulse also included climate-carbon feedbacks. This second approach yields GWP values of 34 or 36. For the purposes of this rule, EPA is choosing the approach that includes climate- carbon feedbacks for both non-CO
2and 
CO 2pulses, as the agency considers this 
the approach most likely to be adopted by the international scientific community in future assessments on the timescale of this rule. The IPCC presents the value of 34 as the default value for the methane GWP, but also reports a value of 36 for ‘‘fossil’’ methane to take into account the atmospheric CO
2that 
would result from the oxidation of methane in the atmosphere. 
We received a number of comments 
on this issue. For the most part, the environmental community favored using the more recent GWP value and even some commented that EPA should use a methane GWP based on a 20 year timeframe. On the other hand, the natural gas industry and natural gas truck manufacturers commented that EPA should not update to the newer GWP values but continue to use the methane GWP value from the AR4 IPCC report because EPA is still using the methane GWP from the AR4 today in other contexts. Although EPA is currently using AR4 values in other contexts, it is unlikely that EPA will still be using AR4 values in 2021 when the Phase 2 requirements begin. Thus, comments opposing the use the methane GWP from the later IPCC report are not persuasive. EPA will continue to base the credit adjustment on a 100 year timescale because it seems to best balance short-term versus long-term effects of climate change. 
Of the possible 100 year methane 
GWP values presented in the IPCC AR5 report, EPA is choosing to use the value of 34 because it is the primary value presented by the IPCC and because the 
approach of not accounting for the CO
2 
oxidation product within the GWP for 
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974The corresponding N 2O value from the AR5 
report is 298, which is the same as the value used 
in Phase 1. 975Menon, V.C., Komarneni, S. ‘‘Porous 
Adsorbents from Vehicular natural Gas Storage: A Review,’’ Journal of Porous Materials 5, 43–58 (1998). 
976Control of Air Pollution from Motor Vehicles 
Tier 3 Motor Vehicle Emission and Fuel Standards, Final Rule April 28, 2014, CFR 86.1(c) (1). methane is consistent with prior IPCC 
practice.974The use of this GWP for 
credit adjustments will not begin until 2021, when the Phase 2 engine standards go into effect. The choice of this GWP value for future rules on this timescale does not prejudice the choice of other GWP values for use in regulations and other purposes in the near term. 
To be consistent with other lifecycle 
analyses, the agencies are continuing to use AR4 value of 25 for the methane GWP in our lifecycle analyses. However, as discussed in Chapter 13.1 of the RIA, we have also conducted sensitivity analyses using methane GWP values ranging from 7.6 to 72. 
(b) Appropriate Deterioration Factors for 
NG Tailpipe Emissions 
EPA requested comment on the 
current assigned deterioration factors for CO
2, N2O, and CH 4based on diesel 
technology. We received one comment on this topic indicating the commenter knew of no data to support a deterioration analysis and that our approach for deterioration should remain as is. EPA has decided not to take action on this topic at this time and will continue the Phase 1 approach. 
(c) LNG Vehicle Boil-Off Warning 
System 
EPA requested comment on the 
feasibility and appropriateness of a regulatory requirement that LNG fueled vehicles include a warning system that would notify the driver of a pending boil-off event as one means reduce the frequency of such events and thus limit the release of methane. We received several comments expressing safety concern related to this approach. While such a system could be beneficial to the owner of a vehicle, EPA is not taking action at this time. We encourage innovation for safe technologies to evolve for warning of potential boil-off events which would also save the vehicle owner the cost of the fuel in the tank while protecting the atmosphere from large amounts of methane gas. 
(d) Extending the 5-Day Hold Time for 
LNG Vehicles 
EPA proposed to require 
manufacturers to comply with the existing evaporative emission standards by showing compliance with a 5-day hold time. 80 FR 40510. We also solicited comment on the ability of emerging technologies to address an extension of 5-day requirement to a longer period of time such as 10 days. 
After considering the comments, EPA is not extending the hold time beyond 5 days in this rule. 
The specifications of the 5-Day Hold 
Time SAE J2343 safety related standard will only affect LNG vehicles starting in the year 2021 to help prevent boil-off events. After speaking to LNG truck manufacturers and LNG fuel providers, our understanding is that most LNG is dispensed at about 100 to 120 pounds per square inch gauge (psig), which corresponds to ¥200 degrees Fahrenheit) and at that temperature, new LNG trucks with new LNG storage tanks are achieving more than a 5-day hold time today. However, over time, the vacuum insulation of the LNG storage tank scan fail, resulting in degraded LNG hold-time as the truck ages. The requirement that the LNG truck must meet the 5-day hold-time over its entire useful life will likely improve the truck’s hold time after the first several years in service. While LNG tank manufacturers are further developing their technologies for improvement of hold times and reducing boil-off from LNG storage tanks on trucks, the 5-day hold time requirement over the truck’s useful life will ensure that they make the improvements to the period of the truck’s life which is most at risk for boil- off events, which is when the truck is sold off into the secondary market and its use diminishes. 
EPA considered requiring new trucks 
to have the capability to use cold fuel. Most of the LNG trucks on the road at this time use the warmer fuel; therefore, most refueling stations are dispensing the warmer fuel only. A cold fuel requirement could force refueling stations to make a large potentially burdensome investment to provide the colder fuel in addition to the warmer fuel, because only a few cold fuel LNG trucks might be sold in that area. We would need to study the implications of this scenario further and gain a better understanding of the emissions from boil-off events before we would feel confident in how a cold LNG fuel requirement would affect the refueling industry and reduce methane emissions. A cold LNG fuel requirement would likely be more feasible for new fleets 
since they could design their truck fleet and their own fueling equipment from the ground up to use the cold LNG fuel. 
Another possible approach would be 
to increase the R- value of the tank to keep the warm fuel colder for longer. This likely would further reduce boil-off events, although, again, we are uncertain of the benefits versus the costs. We believe that ensuring that the 5-day hold time can be met over the 
truck’s useful life is the best, lowest cost strategy to reduce the number of boil-off events. 
(e) Capturing and/or Converting 
Methane Refueling or Boil-Off Emissions 
Although we are not requiring it, EPA 
is interested in watching the progression of innovative technologies that can capture methane emissions during a boil-off event to prevent large amounts 
of greenhouse gas emissions into the atmosphere. We encourage design and development of ideas such as a methane canister using adsorbents such as ANG
975(adsorbed natural gas) which 
could be added to capture the methane which otherwise will be released to the environment during a refueling or boil- off event. Once captured, steps could be taken to route the methane to the engine intake once the vehicle is operating again, or to take steps to converting the methane to less GHG-potent CO
2. 
Instead of discharging methane to the 
environment, the methane potentially could be burned to CO
2using a burner. 
Another potential option would be to convert the methane capture in a canister to CO
2over a catalyst. 
(f) Reducing Refueling Emissions 
When refueling a natural gas vehicle, 
some amount of methane is vented to the atmosphere. Requirements adopted as part of the Tier 3 rules require use of the ANSI–NGV1–2006 standard practice to meet the evaporative emissions refueling requirement.
976Small 
emissions of up to 200 cc/hr (which equates to 72 grams of methane per hour) of leakage are allowed with these tests. Often there is a vent line which carries these emissions away from the nozzle interface for safety reasons, which emissions are then vented to the atmosphere. EPA requested comment on ways to eliminate or reduce these losses. There was a mixed response on whether methane gas can be captured during refueling using systems that route methane emissions back to the fuel storage tank, whether it is a CNG tank, a CNG pipeline or re-liquefying system for LNG. Some refueling stations are already doing this as common practice. 
For LNG, in addition to the boil-off 
issue, there is the issue of the recurrence of manual venting at refueling by truck operators. Under high pressure 
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circumstances, such as when the vehicle 
has been sitting for some time period in warmer temperatures, it is necessary to decrease the pressure in the fuel tank before new fuel can enter the tank. The recommended practice is to transfer the extra vaporized fuel to the gas station or natural gas pipeline, but this can take extra time. In some areas it has turned into common practice to just vent to the atmosphere to keep the down time at the refueling station to a minimum. In other areas there is an incentive to reroute the gas into the station storage tank or natural gas pipeline with credit towards the fuel purchase. Since this is a stationary source issue, EPA is not taking action at this time on these issues in this engine/vehicle rulemaking. We also do not have enough information on the extent of emissions and rate of occurrence for this problem. 
(g) On-Board Monitoring Requirements 
for Boil-Off Events and Venting at Refueling 
Onboard diagnostics for engines used 
in vehicle applications greater than 14,000 lbs GVWR are already required to detect and warn the operator when methane leaks occur due to wear of connections and components of the CNG or LNG fuel system (74 FR 8310, February 24, 2009). We requested comments on requiring on-board monitoring to track boil-off events, as well as comment on whether the excess vapors were properly vented to the station storage tanks or NG pipeline or whether the gaseous methane emissions were vented to atmosphere during refueling events. 80 FR 40512. Each boil off event has the potential to release on the order of 5,300–15,800 grams of CH
4 
which translates to 132K–400K grams CO
2equivalent with a GWP of 25 for 
100 years (see RIA Chapter 13 for more information on LNG boil-off emissions calculations). EPA is not able to take further action on OBD requirements at this time since we do not have enough information on the emissions from leaks and their rate of occurrence. Designing an OBD system is complicated and expensive if we are to expect any degree of accuracy for more than just very large leaks. In CNG there is an odorant and a truck operator could potentially detect a leak if it is large enough. Even if the leak could be detected from the odor, it would be difficult to know how much is actually being released if you can smell it. Different operators will have different degrees of sensitivity with 
their olfactory awareness. LNG does not have an odorant and could benefit from an OBD system even more. We do, therefore, encourage the development of systems for indicating these events to vehicle owners to both save on fuel and 
protect the environment. 
(h) Separate Standards for Natural Gas 
Vehicles 
As described above, the climate 
impact of leaks and other methane emissions that occur upstream of the vehicle can potentially be large enough to more than offset the CO
2benefit of 
natural gas vehicles as measured at the vehicle tailpipe. As described earlier, EPA has taken some actions, and is considering further separate actions to control these upstream emissions. We also have some concern that the impact of upstream and downstream emissions for natural gas could be much higher than for gasoline or diesel fuel because of the high Global Warming Potential (GWP) for methane that makes even small leaks of natural gas a concern. In this way, natural gas is very different than other alternative fuels. While we are not adopting any provisions to address this here, we may consider adopting such provisions in a future rule. As discussed in Section XI.B, EPA is putting in place a series of regulations in the natural gas sector for upstream leaks. With the currently available data the uncertainties are very high in calculating upstream emissions for both natural gas and diesel vehicles. These uncertainties, the desirability of a unified national program for HD GHG 
and fuel consumption standards, combined with the low sales volumes projected for natural gas vehicles for the foreseeable future make it inadvisable for us to pursue more than a vehicle based standard at this time. See also Section I.F.(3) for additional discussion of why EPA is setting tailpipe standards in this rulemaking. 
E. Dimethyl Ether 
Although NAS (2014) focused its 
recommendations on natural gas, it also 
discussed dimethyl ether (DME), which is a potential heavy-duty truck fuel sourced from natural gas. Dimethyl ether has a high cetane number (more than 55), although its energy density is about 60 percent of that of diesel fuel. Dimethyl ether is a volatile fuel, like liquefied petroleum gas that can be stored as a liquid at normal ambient temperatures under moderate pressure. Typical DME fuel tanks would be designed to prevent any significant evaporative emissions. 
A DME fueled truck is only modestly 
more expensive than a diesel fuel truck. The fuel tank is more expensive than a diesel fuel tank, but much less expensive than an LNG tank since it does not need to be heavily insulated. The engine modifications to enable using DME are also modest. Because 
DME does not have carbon-carbon bonds that form particulate matter particles during combustion, the particulate filter, which is standard equipment on new diesel trucks, can be eliminated. This offsets some of the engine and fuel tank costs. 
Although DME is sourced from cheap 
natural gas, the conversion of natural gas to DME and moving the fuel to retail outlets greatly increases the cost of the fuel. Based on the crude oil and natural gas prices in early 2014 (about $100 per barrel), DME is more expensive than LNG, but still lower in cost than diesel fuel (DME is estimated to cost $3.50/ DGE, or $0.30 DGE less than diesel fuel.) After the decline in crude oil prices, DME is estimated to be priced higher than diesel fuel. 
Because there is very little DME use 
in the U.S. (there is only a very small fleet of trucks in California), we did not conduct a lifecycle assessment of DME, but note here a few aspects of a lifecycle analysis for DME. First, since DME is sourced from natural gas, the upstream methane emissions from the natural gas industry would still be allocated to DME. Second, there are no venting issues associated with DME as there are with LNG refueling or boil-off. Third, because DME has a lifetime of less than a week in the atmosphere, it has little direct climate impacts. Thus, it is likely that DME would have a lower GHG impact than LNG trucks, and perhaps lower than CNG trucks, although we 
would have to study DME use in trucks further to be more certain. 
XII. Amendments to Phase 1 Standards 
The agencies are revising the 
regulatory text specifying test 
procedures and compliance provisions used for Phase 1. For the most part, these amendments apply exclusively to the Phase 2 rules. In a few limited instances, the agencies are adopting changes to the Phase 1 program. These limited changes to the Phase 1 program are largely conforming amendments, and are described below, along with other minor changes to the Phase 1 compliance program. These changes generally continue to apply under the Phase 2 program. 
For the convenience of the reader, we 
are republishing 40 CFR parts 1036 and 1037 in their entirety, including text that is not being amended. We are also republishing Phase 1 text in 40 CFR part 86. We note, however, that we have not reconsidered, rethought, or reopened the Phase 1 rules in a general sense. We have also not reconsidered, rethought, or reopened the stringency of the Phase 1 standards or other fundamental 
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977Engine classification is set forth in 40 CFR 
1036.801. Spark-ignition means relating to a 
gasoline-fueled engine or any other type of engine with a spark plug (or other sparking device) and with operating characteristics similar to the Otto combustion cycle. Compression-ignition engines are reciprocating internal-combustion engines that are not spark-ignition engines. aspects of the Phase 1 program that 
remain unchanged substantively. 
The agencies received very few 
comments of these changes. Daimler commented that the agencies should not make any changes to Phase 1 because manufacturers have already developed systems to comply with the existing requirements. We do not necessarily agree that would be a sufficient reason to keep us from amending Phase 1 requirements through notice and comment rulemaking. Nevertheless, we note that we are not finalizing changes that would have any significant impact on the manufacturers’ Phase 1 compliance structures. 
A. EPA Amendments (1) Pickups and Vans 
EPA is relocating the GHG standards 
and other regulatory provisions for 
chassis-certified HD pickups and vans in the Code of Federal Regulations from 40 CFR 1037.104 to 40 CFR 86.1819–14. Accordingly, NHTSA is modifying any of EPA’s references in 49 CFR parts 523 and 535 to accommodate the migration. EPA is making this change largely to address ambiguities regarding the application of additional provisions from 40 CFR part 86, subpart S, for these vehicles. The approach in 40 CFR 1037.104 was to state that all of 40 CFR part 86, subpart S, applies except as specified in 40 CFR 1037.104; however, the recent standards adopted for light- duty vehicles and light-duty trucks included several changes to 40 CFR part 86, subpart S, that should not apply for chassis-certified HD pickups and vans. Based on our experience implementing the Phase 1 program, we believe it is appropriate to include the GHG standards for chassis-certified HD pickups and vans in the same part as light-duty vehicles (40 CFR part 86, subpart S). All other certification requirements for these heavy-duty vehicles—criteria exhaust standards, evaporative and refueling standards, provisions for onboard diagnostics, and the range of certification and compliance provisions—are in that subpart. We note that we have not experienced the same challenges for other heavy-duty vehicles, and are therefore not relocating the other provisions of 40 CFR part 1037. 
This migration has highlighted a few 
areas where we need to clarify how the regulations apply for chassis-certified HD pickups and vans. In particular, EPA is adopting the following changes: 
•Clarify that the GHG standards 
apply at high-altitude conditions. 
•State that fleet-average calculation 
of carbon-related exhaust emissions (CREE) is not required for chassis- certified HD pickups and vans. Instead, heavy-duty vehicles are subject to CO
2 
standards. 
•Clarify that requirements related to 
model types and production-weighted average calculation apply only for passenger automobiles and light trucks. 
•State that the credit and debit 
provisions of 40 CFR 86.1865–12(k)(5) do not apply for chassis-certified HD pickups and vans. 
•Clarify that the Temporary Lead 
Time Allowance Alternative Standards in 40 CFR 86.1865–12(k)(7) do not apply for chassis-certified HD pickups and vans. 
•State that the early credit provisions 
of 40 CFR 86.1866–12, 86.1867–12, 86.1868–12, 86.1869–12, 86.1870–12, and 86.1871–12 do not apply for chassis-certified HD pickups and vans. 
(2) Heavy-Duty Engines 
EPA is revising the approach to 
classifying gaseous-fuel engines with 
respect to both GHG and criteria emission standards. The general approach is to continue to divide these engines into spark-ignition and compression-ignition categories, but we will apply the compression-ignition standards to all engines that qualify as heavy heavy-duty engines based on the primary intended service class.
977 
Previously, any gaseous-fuel engine derived from a gasoline engine was subject to the spark-ignition standards no matter the weight class of the vehicle. As described in Section II, EPA now believes this approach does not reflect the reality that engines used in Class 8 vehicles compete directly with diesel engines. We believe they should therefore be required to meet the same emission standards. Because all current gaseous-fuel engines for these large vehicles are already being certified to the compression-ignition engine standards, we can apply this approach to engines subject to the HD GHG Phase 1 standards without adverse impacts on any manufacturers. We proposed this same approach for medium heavy-duty engines, but have revised the rule in response to comments objecting to the change; the final rule instead applies standards to these engines as spark- ignition or compression-ignition based only on each engine’s characteristics. We believe this is appropriate because a substantial number of medium heavy- 
duty vehicles use gasoline-fueled engines, and gaseous-fueled engines used in these vehicles would therefore not always be competing directly with diesel-fueled engines as the main alternative. 
EPA is also revising the regulation to 
spell out how to apply enforcement liability for a situation in which the engine manufacturer uses deficit credits 
for one or more model years. Simply put, any time an engine manufacturer is allowed to carry a deficit to the next year, all enforcement liability for the engines that generated the deficit are extended for another year. These provisions are the same as what we have already adopted for heavy-duty vehicles subject to GHG standards under 40 CFR part 1037. 
(3) Evaporative Emission Testing for 
Natural Gas Vehicles 
Heavy-duty vehicles fueled by natural 
gas have for many years been subject to evaporative emission standards and test procedures. While fuel systems containing gasoline require extensive design features to handle vented fuel, fuel systems containing natural gas generally prevent evaporative losses by remaining sealed. In the case of compressed natural gas, there is a voluntary consensus standard, ANSI NGV1–2006, that is designed to ensure that there are no leaks or losses during a refueling event. Since compressed natural gas systems remain sealed indefinitely once the refueling event is complete, we understand that complying with the ANSI refueling standard is sufficient to demonstrate that the vehicle also complies with all applicable evaporative emission standards. The Light-Duty Tier 3 final rule included provisions to clarify that compressed natural gas systems meeting the applicable ANSI standard are 
deemed to comply with EPA’s evaporative emission standards. In response to comments received on the proposed rule, we are adding a reference to a supplemental ANSI standard that similarly specifies system-integrity requirements for CNG-fueled heavy- duty vehicles that allow for substantially higher refueling rates; this supplemental standard will eventually be incorporated into ANSI NGV1. 
Systems using liquefied natural gas 
(LNG) behave similarly, except that the cryogenically stored fuel needs to be vented to prevent an over-pressure situation if the vehicle is not used for an extended time, as described in Section XI. Such vehicles are currently subject to evaporative emission standards and test procedures, though there are some 
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substantial questions about how one can 
best apply the procedures to these systems; not all of the instructions about preconditioning the vehicle are straightforward for cryogenic fuel systems with no evaporative canister. EPA is adopting an approach that is similar to what applies for compressed natural gas systems, which needs some additional attention to address boil-off emissions. SAE J2343 is a voluntary consensus standard that specifies a recommended practice to establish a minimum five-day hold time before boil-off starts to occur for LNG systems. EPA is adopting a requirement that manufacturers of LNG vehicles meet the SAE J2343 standard as a means of demonstrating compliance with evaporative and refueling emission standards. 
While the hold-time requirements of 
SAE J2343 are clear, there appears to be very little description of the procedure to determine how much time passes between a refueling event and initial venting. To ensure that all manufacturers are subject to the same set of requirements, we are adding a minimal set of specifications corresponding to the demonstration under SAE J2343. In particular, the regulation specifies that the tank must remain at rest throughout the measurement procedure, ambient temperatures must remain between 20 and 30 °C, and the hold-time period starts when the tank pressure reaches 690 kPa (100 psi) after a conventional refueling event. We are also adopting a simplified standard that translates the five-day hold time into a maximum allowable pressure build over a shorter time for parked vehicles. In particular, for vehicles parked for at least 12 hours, tank pressure must not increase by more than an average of 9 kPa (1.3 psi) per hour. The pressure increase corresponding to the five-day hold-time standard is about 7.5 kPa per hour. The additional margin is intended to account for variability related to different ambient conditions, vehicle handling, nonlinear pressure increases, measurement instruments, and other factors. This is intended to give vehicle owners a more practical performance measure to evaluate whether tanks 
continue to meet the hold-time requirement. 
Manufacturers may rely on SAE J2343 
to meet evaporative and refueling standards immediately with completion of the final rule; this demonstration becomes mandatory for vehicles produced on or after January 1, 2020. 
One commenter suggested that we 
add a reference to European test protocols for CNG heavy-duty vehicles to allow for a higher refueling flow rate than is allowed under the EPA regulations, which are based on hardware and procedures for light-duty vehicles (ANSI NGV1). We learned that the European protocol is based on systems up to 3000 psi and is therefore not valid for most heavy-duty CNG vehicles in the United States. Representatives of the natural gas industry responded to the comment suggesting the European protocol by recommending that we instead reference a recently published supplement to ANSI NGV1, which accommodates the higher flow rates corresponding to heavy-duty vehicles and current refueling technology. We are accordingly revising the regulation to reference this additional ANSI document, which is known as CSA IR– 1–15, ‘‘Compressed Natural Gas Vehicle (NGV) High Flow Fueling Connection Devices.’’ 
(4) Compliance and Other General 
Provisions 
EPA is adopting the following 
changes that apply broadly for different types of vehicles or engines: 
•Providing additional detail about 
manufacturers obligations with respect to delegated assembly. In response to comments, we have delayed the applicability of these provisions until January 1, 2018 to provide manufacturers with additional lead time. See 40 CFR 1037.150(e) and 1037.621. 
•Add a requirement for vehicle 
manufacturers that sell incomplete vehicles to secondary vehicle manufacturers to provide emission- related assembly instructions to ensure that the completed vehicle will be in a certified configuration. 
•Specify parameters for determining 
a vehicle’s curb weight, consistent with current practice for vehicles certified under 40 CFR part 86, subpart S. 
•Revise the recordkeeping 
requirement to specify a uniform eight- year retention period for all data supporting an application for certification. The provision allowing for one-year retention for ‘‘routine data’’ is no longer necessary now that data collection is all recorded in electronic format. EPA is also clarifying that the eight-year retention period is calculated relative to the latest associated application for certification, not from the date the data were generated. 
•Change the rounding for 
analytically derived CO
2emission rates 
and target values from the nearest 0.1 g/ mile to the nearest 1 g/mile. •Clarify how manufacturers may 
amend an application for certification after the end of the model year. 
•Remove the general recordkeeping 
provisions from 40 CFR 1037.735 that are already described in 40 CFR 1037.825. 
•Clarify how EPA will conduct 
selective enforcement audits (SEAs) for engines (in 40 CFR 1036.301) and vehicles and components (in 40 CFR 1037.301–1037.320) with respect to GHG emissions. 
•Add provisions to provide a 
streamlined path for off-cycle credit for adding Phase 2 technologies to Phase 1 vehicles. See 40 CFR 1037.150. 
EPA proposed a different equation 
with a ratio of 0.8330 in 40 CFR 1037.525 for the case of full yaw sweep measurements to determine wind- averaged drag correction as an amendment to the Phase 1 program. Some commenters argued that this change would impact stringency, but we disagree because manufacturers are already subject to EPA compliance using both methods (full yaw sweep and ±6 degree measurements), and this Phase 1 flexibility was not used in setting the level of the Phase 1 standards. Nevertheless, we are adopting the final rule without this change to the Phase 1 standards. Other changes in the existing Phase 1 regulations for MY 2017 will serve to mitigate any impacts, and the agencies are no longer convinced the potential disruption to manufacturers’ compliance plan is warranted. 
B. Other Compliance Provisions for 
NHTSA 
(1) Standards and Credit Alignment 
In Phase 1, the agencies intended 
GHG and fuel consumption standards 
for segments of the National Program to be in alignment so that manufacturers will not be required to build vehicles to meet in equivalent standards. Despite the intent, NHTSA and EPA have identified several scenarios where credits and compliance to both sets of standards are not aligned. This misalignment can have various impacts on compliance with the National Program. 
For example, a manufacturer of 
tractors could have two vehicle families that with same number of vehicles but with opposite and equal compliance margins with standards. In this scenario, the first family will over-comply with the GHG standard while the second family will under-comply with the GHG standard by the same amount of grams CO
2/ton-mile. In calculating credits, the 
manufacturer will have a net of zero 
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GHG credits and exactly meet 
compliance; however, based on conversions and rounding of the standard and performance results that manufacturer could end up earning credits or having a credit deficit under NHTSA’s fuel efficiency program. 
In order to correct this misalignment, 
NHTSA proposed to amend the existing fuel consumption standards and the method for calculating performance values for all compliance categories by increasing the significant digits in these conversion values. Increasing the significant digits in these values will result in more precise alignment between final compliance credit balances. 
NHTSA proposed that the increase 
resolution would apply retroactively starting for the model year 2013 standard. However, because the Phase 1 fuel consumption standards created a difference in compliance margins which could potentially have an adversely impact for certain manufacturers who have already developed engineering plans considering previous credit balance, NHTSA sought comments on whether optional to allow manufacturer to continue using the Phase 1 standards. No comments were received in response. 
NHTSA is finalizing its standards and 
performances for the Phase 1 and 2 programs with increased significant digits as the only option for compliance. Retaining the previous accuracy does not maintain a single national program and aligning credit balances is more 
important because it ensures the same compliance outcome. Manufacturers who may have planned their compliance strategies using the previous approach would not be able to take advantage of any relaxations in in the NHTSA program because the national program requires one single compliance fleet and manufacturers would still need to comply with the more stringent EPA standards. 
(2) Off-Road Exemption Petition Process 
for Tractors and Vocational Vehicles 
In the Phase 1 final rule, the agencies 
added provisions for certain types of vocational tractors and vocational vehicles that operate off-road to be exempt from standards, although standards will still apply to the engines installed in these vehicles. An exemption was warranted because these vehicles operate in a manner essentially making them incompatible with fuel saving and emission reduction technologies, such as performing work in an off-road environment, being speed restricted, or having off-road components or other features making them incompatible for roadways. For 
the Phase 1 program, off-road vehicle manufacturers meeting the exemption provisions are required to provide EPA and NHTSA, through the EPA database, a report within 90 days after the end of each model year identifying its off-road vehicles. The report must provide a description of each excluded vehicle configuration, including an explanation of why it qualifies for the exclusion and the production volume. A manufacturer having an off-road vehicle that does not meet the criteria under the agencies’ off- road exemptions in 40 CFR 1037.631 and 49 CFR 535.5 is allowed to submit a petition under 40 CFR 1037.150(h) and 49 CFR 535.8 describing how and why its vehicles should qualify for exclusion based on criteria that are equivalent to those specified in 40 CFR 1037.631. 
Under Phase 1 compliance processes, 
manufacturers have not been using the petitioning process to get approval of an exemption for off-road vehicles that do not meet the specified criteria to qualify for an exemption. Instead, manufacturers have been submitting information to EPA during production for a given model year to determine whether or not these vehicles qualify for an exemption, or if they need to get certificates of conformity for the vehicles they already produced. EPA and NHTSA collaboratively determine whether manufacturers should qualify for an exemption under 40 CFR 1037.150(h) and 49 CFR 535.8, and EPA shares the decision with the manufacturer. 
For the Phase 1 and 2 standards, the 
agencies are revising the regulations to clarify the process for vehicle manufacturers to get approval for an exemption in unusual circumstances in which the vehicle should be exempt even though it does not automatically qualify for an exemption under the criteria specified in 40 CFR 1037.631 and 49 CFR 535.5. Most importantly, we now specify at 40 CFR 1037.150(h) and 49 CFR 535.8 that manufacturers must get approval for the exemption before producing the subject vehicles to avoid violating statutory prohibitions. EPA and NHTSA will continue to collaborate in making any final decisions on exemptions. 
Note that vehicles meeting the 
qualifying criteria under 40 CFR 
1037.631 and 49 CFR 535.5 are exempt without request; however, if manufacturers want to address any uncertainty by getting EPA and NHTSA to affirm that their vehicles do in fact meet the specified criteria, they may ask for preliminary approval under 40 CFR 1037.210. (3) Innovative Technology Request Documentation Specifications 
For vehicle and engine technologies 
that can reduce GHG and fuel consumption, but for which there is not yet an established method for quantifying reductions, the agencies encourage the development of such technologies through providing ‘‘innovative technology’’ credits. Manufacturers seeking innovative technology credits must quantify the reductions in fuel consumption and GHG emissions that the technology is expected to achieve, above and beyond those achieved on the existing test procedures. 
Manufacturers submitting innovative 
technology requests must send a detailed description of the technology and a recommended test plan to EPA as detailed in 40 CFR 1036.610 and 1037.610. The test plan must include whether the manufacturer is applying for credits using the improvement factor method or the separate-credit method. It is recommended that manufacturers not conduct testing until the agencies can collaboratively approve the test plan in which a determination is made on the qualification of the technology as innovative. EPA in consultation with NHTSA also makes the decision at that time whether to seek public comments on the test plan if there are unknown factors in the test methodology. 
The agencies have received feedback 
from manufacturers that the final approval process is not clearly defined, which has caused a substantial time commitment from manufacturers. To address this feedback, for the final rule, the agencies are adopting further clarification in 40 CFR 1036.610 and 1037.610 defining the steps manufacturers must follow after an approval is granted for a test plan. This includes specifications for submitting the final documentation to the agencies for final approval and for determining credit amounts. The agencies are adding the same level of detail as required for the final documentation required in EPA’s light duty off-cycle program in 40 CFR 86.1869–12(e)(2). These specifications should provide manufacturers with a clear understanding of the required documentation and approval process to reduce the time burden placed on manufacturers. 
NHTSA is also adding similar 
provisions from its light duty CAFE program specified in 49 CFR 531.6(b)(2) and 533.6(c)(2) for limiting the approval of innovative technologies under its program for those technologies related to crash-avoidance technologies, safety 
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critical systems or systems affecting 
safety-critical functions, or technologies designed for the purpose of reducing the frequency of vehicle crashes. NHTSA prohibited credits for these technologies under any circumstances in its CAFE program (see 77 FR 62730). NHTSA believes a similar strategy is warranted for heavy-duty vehicle as well. 
(4) Credit Acquisition Plan 
Requirements 
The National Program was designed 
to provide manufacturers with averaging, banking and trading (ABT) flexibilities for meeting the GHG and fuel efficiency standards to optimize the effectiveness of the program. As a part of these flexibilities, manufacturers generating a shortfall in fuel consumption credits for a given model year must submit a credit plan to NHTSA describing how it plans to resolve its deficits within 3 models year. To assist manufacturers, NHTSA is modify 49 CFR 535.9(a)(6) of its regulation to clarify and provide guidance to manufacturers on the requirements for a credit allocation plan which contains provisions to acquire credits from another manufacturer which will be earned in future model years. 
The current regulations do not specify 
if future credit acquisition is permitted or not and the revision is intended to clarity that it is, with respect to the 
limitation a credit shortfall can only be carried forward three years. Providing this clarification is intended to increase transparency within the program and ensure all manufacturers are aware of its available flexibilities. NHTSA is adopting the requirement that in order for a credit allocation plan to be approved, NHTSA will require an agreement signed by both manufacturers. This requirement will assist NHTSA with its determination that the credits will become available to the acquiring manufacturer when they are earned. 
(5) New Vehicle Field Inspections and 
Recordkeeping Requirements 
Previously, NHTSA decided not to 
include recordkeeping provisions in its regulations for the Phase 1 program. EPA regulations include recordkeeping requirements in 40 CFR 1036.250, 1036.735, 1036.825, 1037.250, 1037.735, and 1037.825. For the Phase 2 program, NHTSA is adding recordkeeping provisions to facilitate its compliance validation program for the final rule. For the Phase 1 and 2 programs, manufacturers test and conduct modeling to determine GHG emissions and fuel consumption performance, and EPA and NHTSA perform validation 
testing. EPA uses the results of the validation tests to create a finalized report that confirms the manufacturer’s final model year GHG emissions and fuel consumption results. Each agency will use this report to enforce compliance with its standards. 
NHTSA assesses compliance with fuel 
consumption standards each year, based upon EPA final verified data submitted to NHTSA for its heavy-duty vehicle fuel efficiency program established pursuant to 49 U.S.C. 32902(k). NHTSA may conduct verification testing throughout a given model year in order to validate data received from manufacturers and will discuss any potential issues with EPA and the manufacturer. See 49 CFR 535.9. After the end of the model year, NHTSA may also decide to conduct field inspections in order to confirm whether or not a new vehicle was manufactured as originally certified. NHTSA may conduct field inspections separately or in coordination with EPA. To facilitate inspections, the agencies will add additional provisions to the EPA recordkeeping provisions to require manufacturers to keep build documents for each manufactured tractor or vocational vehicle. Each build document will be required to contain specific information on the design, manufacturing, equipment and certified components for a vehicle. NHTSA will request build documents through EPA and the agencies will collaborate on the finding of all field inspections. Manufacturers will be required to keep records of build documents for a period of 8 calendar years. 
XIII. Other Regulatory Provisions 
In addition to the new GHG standards 
in these rules, EPA and NHTSA are 
amending various aspects of the regulations as part of the HD GHG Phase 
1 standards for heavy-duty highway engines and vehicles, as described in Section XII. EPA is also taking the opportunity to amend regulatory provisions for other requirements that apply for heavy-duty highway engines, and for certain types of nonroad engines and equipment. 
Most of the amendments described in 
this section represent minor technical issues and, as such, were not the subject of extensive comment. Two exceptions are the issues related to glider kits and to competition vehicles, as noted below. The rest of this section, for which we received fewer comments, generally includes only references to the more significant comments, such as comments that impacted our conclusions for the provisions adopted in the final rule. See the RTC for a more 
complete discussion of the comments. 
For the convenience of the reader, we 
are republishing some related text that is not being amended. We note, however, that we have not reopened the standards or other fundamental aspects of these programs that remain unchanged substantively. 
A. Amendments Related to Heavy-Duty 
Highway Engines and Vehicles 
This section describes a range of 
regulatory amendments for heavy-duty highway engines and vehicles that are not directly related to GHG emission standards. Note that Section XIII. B. describes new requirements for glider kits and Section XIII. F. describes additional changes related to test procedures that affect heavy-duty 
highway engines. 
(1) Alternate Emission Standards for 
Specialty Heavy-Duty Vehicles 
Motor vehicles conventionally 
comprise a familiar set of vehicles within a relatively narrow set of parameters—motorcycles, cars, light trucks, heavy trucks, buses, etc. The definition of ‘‘motor vehicle;’’ however, is written broadly to include a very wide range of vehicles. Almost any vehicle that can be safely operated on streets and highways is considered a motor vehicle under 40 CFR 85.1703. Development of EPA’s emission control programs is generally focused on a consideration of the technology, characteristics, and operating parameters of conventional vehicles, and typically includes efforts to address concerns for special cases. For example, the driving schedule for light-duty vehicles includes a variation for vehicles that are not capable of reaching the maximum speeds specified in the Federal Test Procedure. 
Industry innovation in some cases 
leads to some configurations that make it particularly challenging to meet regulatory requirements. We are aware that plug-in hybrid-electric heavy-duty vehicles are an example of this. An engine for such a vehicle is expected to have a much lower power rating and duty cycle of engine speeds and loads than a conventional heavy-duty engine. The costs of regulatory compliance and the mismatch to the specified duty cycle can make it cost-prohibitive for engine manufacturers to certify such an engine under the heavy-duty highway engine program. 
To address concerns about certifying 
atypical engines to highway heavy-duty standards for use in hybrid vehicles, we are therefore adopting a provision allowing manufacturers of heavy-duty 
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978Blue Sky standards are voluntary low- 
emission standards under 40 CFR part 1048. highway vehicles the option to install 
limited numbers of engines certified to alternate standards. Qualifying engines would be considered motor vehicle engines, but they may be certified to standards that are based on standards adopted for comparable nonroad engines. EPA’s nonroad emission standards have reached a point that involves near parity with the level of emission control represented by the emission standards for heavy-duty highway engines. EPA developed these provisions especially for vehicles with hybrid powertrains; however, the same principles apply for three other unusual vehicles types: amphibious vehicles, vehicles with maximum speed at or below 45 miles per hour, and as described below, certain all-terrain vehicles. We are therefore applying the same provisions to these additional vehicles. 
California ARB suggested that we 
limit relief to hybrid vehicles that have a series configuration, or to hybrid vehicles that have a minimum all- electric range. We chose not to adopt these limitations because these features are not fundamental to what we believe is the basis for accommodating special vehicle designs. For example, if a vehicle needs a 20-kW gasoline engine to recharge batteries used for propulsion, and provides a small amount of power directly to the wheels, we believe this should not be disqualified from using the specialty- vehicle provisions because there is no expectation that 20 kW engines will be certified to the conventional highway heavy-duty engine standards anytime in the foreseeable future. 
We proposed to offer this flexibility 
for hybrids, amphibious vehicles, and low-speed vehicles. We also received comment advocating that certain qualifying all-terrain vehicles are in a similar situation since they have unique engine-performance requirements that prevent them from finding compliant highway engines; we have modified the rule to also apply the specialty vehicle provisions to these all-terrain vehicles. The regulations will limit this allowance to vehicles that have portal axles, which are specialized axles that increase ground clearance. Cost and/or performance limits for such axles 
preclude their use for vehicles intended for use primarily on highways. Thus, we believe vehicles with such axles are designed primarily for off-road operation, while retaining the ability to occasionally operate on highways. 
Under approach being adopted for 
these various vehicles, compression- ignition engines could be certified to alternate standards that are equivalent to the emission standards under 40 CFR 
part 1039, and spark-ignition engines could be certified to alternate standards that are equivalent to the Blue Sky emission standards under 40 CFR part 1048.
978In response to a comment from 
California ARB, we are adopting a requirement that compression-ignition engines also meet a PM standard (Family Emission Limit) of 0.020 g/kW- hr corresponding to the PM standard that applies for heavy-duty highway engines. Similarly, we are adopting an N
2O standard of 0.1 g/kW-hr for SCR- 
equipped diesel-fueled engines that corresponds to the N
2O standard that 
applies for heavy-duty highway engines. This collection of standards aligns with our expectation that such engines would generally be expected to use the same technologies to control emissions as engines certified to the applicable emission standards for heavy-duty highway engines. (The regulation being finalized disallows this approach for compression-ignition engines below 56 kW since the nonroad standards for those engines are substantially less stringent than the standards that apply for heavy-duty highway engines). Also, since the nonroad duty cycles generally better represent the in-use operating characteristics of engines in these specialty vehicles, we expect the nonroad test procedures to be at least as effective in achieving effective in-use emission control. The regulations at 40 CFR part 1048 include a simplified form of diagnostic controls, and we are adopting in these rules a simplified diagnostic control requirement for 40 CFR part 1039. These engine-based diagnostic controls substitute for the diagnostic requirements specified in 40 CFR 86.010–18. Note that the diagnostic requirements apply for engine systems 
or components; as such, we generally apply those diagnostic requirements to 
hybrid powertrain systems and components only if the engine manufacturer includes those features or parameters as part of the certified configuration for their engines. We may revisit issues related to diagnostic requirements for hybrid systems in a future rulemaking. 
These alternate standards relate 
primarily to the engine certification- based emission standards and certification requirements. All vehicle- based requirements for evaporative emissions continue to apply as specified in the regulation. In addition, hybrid vehicles would still be subject to all the standards and requirements that apply to heavy-duty vehicles under 40 CFR part 1037. For example, manufacturers 
would need to perform powertrain testing and run GEM to determine the applicable g/ton-mile emission rate for hybrid vehicles. However, the agencies are not requiring vehicle certification for the three other types of specialty vehicles. Low-speed vehicles are already excluded from the vehicle requirements under Phase 1, while the amphibious and all-terrain vehicles would present significant challenges to the vehicle simulations. 
This allowance is intended to lower 
the barrier to introducing innovative technology for motor vehicles. It is not intended to provide a full alternative compliance path to avoid certifying to the emission standards and control requirements for highway engines and vehicles. To accomplish this, EPA will allow a manufacturer to produce no more than 1,000 hybrid vehicles in a single model year under this program, and no more than 200 amphibious vehicles, all-terrain vehicles, or speed- limited vehicles. In the case of hybrid vehicles, we are also acting on California ARB’s request that we adopt a sunset provision for hybrid vehicles; accordingly, the simplified certification applies only through model year 2027. In the meantime we will monitor implementation of the program and consider whether there is any long-term need for these or other streamlined certification provisions for hybrid vehicles. 
As described in the proposed rule, 
California ARB is in the process of developing similar provisions for a reduced compliance burden for qualifying highway vehicles toward the goal of incentivizing vehicles with hybrid powertrains and low-NO
X 
engines. The incentives generally consist of allowing specific OBD 
variances or deficiencies (for low-NO
X 
engines) or broadly waiving OBD requirements (for hybrid vehicles). To the extent that California ARB certifies vehicles based on approving OBD deficiencies, we would apply a similar discretion for 49-state certification of the same engine model to allow for nationwide sale of those products. If California ARB approves certification of hybrid systems in which the highway OBD requirements are mostly or entirely waived, we would expect to apply the provisions described in this section to allow vehicle manufacturers to produce up to 1000 such vehicles in a given year. 
(2) Chassis Certification of Class 4 
Heavy-Duty Vehicles 
In the HD Phase 1 rule, the agencies 
included a provision allowing manufacturers to certify Class 4 and 
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larger heavy-duty vehicles to the 
chassis-based emission standards in 40 CFR part 86, subpart S. This applied for greenhouse gas emission standards, but not criteria emission standards. EPA revisited this issue in the recent Tier 3 final rule, where we revised the regulation to allow this same flexibility relative to exhaust emission standards for criteria pollutants. However, this change to the regulation conflicted with our response to a comment in that rulemaking that EPA should not change the certification arrangement for criteria pollutants. 
EPA requested comment on how best 
to address this issue in a way that resolves the various and competing concerns. Commenters argued for and against allowing certification of the heavier vehicles to chassis-based emission standards. In the final rule, we are adopting a limited allowance to certify vehicles above 14,000 pounds GVWR using chassis-based certification procedures of 40 CFR part 86, subpart S. In particular, manufacturers may rely on chassis-based certification for heavier vehicles only if there is a family with vehicles at or below 14,000 pounds GVWR that can properly accommodate the bigger vehicles as part of the same family. As part of this arrangement, chassis-certified vehicles above 14,000 pounds GVWR may not rely on a work factor that is greater than the largest work factor that applies for vehicles at or below 14,000 pounds GVWR from the same family. 
(3) Nonconformance Penalties (NCPs) 
The Clean Air Act requires that 
heavy-duty standards for criteria 
pollutants such as NO
Xreflect the 
greatest degree of emission reduction achievable through the application of technology that EPA determines will be available. Such ‘‘technology-forcing’’ standards create the risk that one or 
more manufacturers may lag behind in the development of their technology to meet the standard and, thus, be forced out of the marketplace. Recognizing this risk, Congress enacted CAA section 206(g) (42 U.S.C. 7525(g)), which requires EPA to establish ‘‘nonconformance penalties’’ to protect these technological laggards by allowing them to pay a penalty for engines that temporarily are unable to meet the applicable emission standard, while removing any competitive advantage those technological laggards may have. 
On September 5, 2012, EPA adopted 
final NCPs for heavy heavy-duty diesel engines, which were available to manufacturers of heavy-duty diesel engines unable to meet the current oxides of nitrogen (NO
X) emission standard. On December 11, 2013, the 
U.S. Court of Appeals for the District of Columbia Circuit issued an opinion vacating that Final Rule. It issued its mandate for this decision on April 16, 2014, ending the availability of the NCPs for the current NO
Xstandard, as 
well as vacating certain amendments to the NCP regulations, due to concerns about inadequate notice. In particular, the amendments revised the text explaining how EPA determines when NCPs should be made available. In the NPRM for this rulemaking, EPA proposed to remove the vacated regulatory text specifying penalties, and re-proposed most of the other vacated amendments. Having now provided this additional notice and a full opportunity for comment, we believe that it is appropriate to finalize the proposed 
changes. EPA is also adopting the proposed new 40 CFR 86.1103–2016 to replace the existing 40 CFR 86.1103–87. 
(a) Vacated Penalties 
In EPA’s regulations, NCP penalties 
are calculated from inputs specific to 
the standards for which NCPs are available. The input values are specified in 40 CFR 86.1105–87. EPA is removing paragraph (j) of this section which specifies the vacated inputs for the 2010 NO
Xemission standard. Since all 
manufacturers are currently complying with these standards, and the court vacated the text in question, it no longer has any purpose. 
(b) Re-Proposed Text 
The 2012 rule made amendments to 
four different sections in 40 CFR part 
86. The amendments to 40 CFR 86.1104–91 and 86.1113–87 were supported during the rulemaking and were not questioned in the Court’s decision. Nevertheless, these revisions were vacated along with the rest of the rule. In the NPRM, EPA re-proposed these changes, even though we had already provided full notice and opportunity for public comment for these changes. Since we are adopting text that is already in the CFR, the final rule consists of leaving these sections of the regulations unchanged. 
(i) Upper Limits 
The changes to 40 CFR 86.1104–91 
affect the upper limit. The upper limit 
(UL) is the emission level established by regulation above which NCPs are not available. A heavy duty engine cannot use NCPs to be certified for a level above the upper limit. CAA section 206(g)(2) refers to the upper limit as a percentage above the emission standard, set by regulation, that corresponds to an emission level EPA determines to be ‘‘practicable.’’ The upper limit is an 
important aspect of the NCP regulations not only because it establishes an emission level above which no engine may be certified using NCPs, but it is also a critical component of the cost analysis used to develop the penalty rates. The regulations specify that the relevant costs for determining the COC50 and the COC90 factors are the difference between an engine at the upper limit and one that meets the applicable standards (see 40 CFR 86.1113–87). 
The regulatory approach adopted 
under the prior NCP rules set the upper limit at the prior emission standard when a prior emission standard exists and is then changed to become more stringent. EPA concluded that this upper limit should be reasonably achievable by all manufacturers with engines or vehicles in the relevant class. It should be within reach of all manufacturers of HD engines or HD vehicles that are currently allowed so 
that they can continue to sell their engines and vehicles while finishing their development of fully complying engines. A manufacturer of a previously certified engine or vehicle should not be forced to immediately remove a HD engine or vehicle from the market when an emission standard becomes more stringent. The prior emission standard generally meets these goals because manufactures have already certified their vehicles to that standard. 
One of EPA’s changes to the 
regulations in 40 CFR 86.1104–91 clarifies that EPA may set the upper limit at a level below the previous standard if we determine that the lower level is achievable by all engines or vehicles in the relevant subclass. This was the case for the vacated NCP rule. Another change allows us to set the upper limit at a level above the previous standard in unusual circumstances, such as where a new standard for a different pollutant, or other requirement, effectively increases the stringency of the standard for which NCPs would apply. This occurred for heavy heavy-duty engines with the 2004 standards. 
(ii) Payment of Penalties 
The changes to 40 CFR 86.1113–87 
correct EPA organizational units and 
mail codes to which manufacturers must send information. The previous information is no longer valid. 
(c) Criteria for the Availability of NCPs 
Since the promulgation of the first 
NCP rule in 1985, subsequent NCP rules 
generally have been described as continuing ‘‘phases’’ of the initial NCP 
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97942 U.S.C. 7525(g)(3)(E). rule. The first NCP rule (Phase 1), 
sometimes referred to as the ‘‘generic’’ NCP rule, established three basic criteria for determining the eligibility of emission standards for nonconformance penalties in any given model year (50 FR 35374, August 30, 1985). (For regulatory language, see 40 CFR 86.1103–87). The first criterion is that the emission standard in question must become more difficult to meet. This can occur in two ways, either by the emission standard itself becoming more stringent, or due to its interaction with another emission standard that has become more stringent. Second, substantial work must be required in order to meet the emission standard. EPA considers ‘‘substantial work’’ to mean the application of technology not previously used in that vehicle or engine class/subclass, or a significant modification of existing technology, in order to bring that vehicle/engine into compliance. EPA does not consider minor modifications or calibration changes to be classified as substantial work. Third, EPA must find that a manufacturer is likely to be 
noncomplying for technological reasons (referred to in earlier rules as a ‘‘technological laggard’’). Prior NCP rules have considered such a technological laggard to be a manufacturer who cannot meet a particular emission standard due to technological (not economic) difficulties and who, in the absence of NCPs, might be forced from the marketplace. During the 2012 rulemaking, some commenters raised issues relating to EPA’s interpretation of these criteria: 
•The extent to which the criteria are 
intended to constrain EPA’s ability to set NCPs 
•The timing for evaluating the 
criteria 
•The meaning of technological 
laggard 
As its primary finding in the 2013 
decision, the Court stated that EPA had not provided sufficient notice or opportunity for comment regarding its interpretation of these criteria. To address the Court’s notice and comment concern, EPA solicited comments in the Phase 2 NPRM on our proposed revisions to these criteria. Note that we proposed changes that are different from those at issue during the court case. 
(i) Constraints on EPA 
Several commenters on the 2012 rule 
argued (implicitly or explicitly) that 
EPA cannot establish NCPs unless all of the regulatory criteria for NCPs (in 40 CFR 86.1103–87) are met. Some went further to argue that EPA must demonstrate that the criteria are met. However, the actual regulatory text has 
never stated that EPA may establish NCPs only if all criteria are met, but rather that EPA shall establish NCPs ‘‘provided that EPA finds’’ the criteria are met. These criteria were included in the regulations to clarify that manufacturers should not expect EPA to initiate a rulemaking to establish NCPs where these criteria were not met. Moreover, the regulations clearly defer to EPA’s judgment for finding that the criteria are met. While EPA must explain the basis of our finding, the regulatory language does not require us to prove or demonstrate that the criteria are met. 
This interpretation is consistent with 
the text of the Clean Air Act, which places no explicit restrictions on when EPA can set NCPs. In fact, it seems to create a presumption that NCPs will be available. The Act actually requires EPA to allow certification of engines that do not meet the standard unless EPA determines the practicable upper limit to be equal to the new emission standard. 
To address this confusion, the revised 
regulatory text explicitly states that where EPA cannot determine if all of the criteria have been met, we may presume that they have. In other words, EPA does not have the burden to prove they have been met. This policy was opposed by Volvo in its comments to this current rulemaking. It stated that EPA findings ‘‘must be subject to public review and scrutiny’’ to ‘‘adequately protect complying manufacturers’ competitive interests.’’ However, EPA sees no basis in the Act to believe that 
Congress intended EPA to protect complying manufacturers by denying a request for NCPs. Rather, Congress directed EPA to set the penalty at a level 
that would ‘‘remove any competitive disadvantage to manufacturers whose engines or vehicles achieve the required degree of emission reduction.’’
979 
Under the changes being adopted here, compliant manufacturers would retain the ability to challenge whether or not EPA had set penalties at a level that protects them. 
(ii) Timing for Evaluating Criteria 
In order to properly understand the 
appropriate timing for evaluating each 
of the NCP criteria, it is necessary to understand the purpose of each. When considered together, these criteria evaluate the likelihood that a manufacturer will be technologically unable to meet a standard on time. However, when EPA initially proposed the NCP criteria, we noted that the first two criteria addressed whether there 
was a possibility for a technological laggard to develop. When the first criterion (that there be a new standard) is met, it creates the possibility for a technological laggard to exist. When manufacturers must perform substantial work (as required for the second criterion), it is possible that at least one will be unsuccessful and will become a laggard. Thus, when evaluating these first two criteria, the purpose is to determine whether the standard created the possibility for a laggard to exist. The third criterion is different because it asks whether that possibility has turned 
into a likelihood that a technological 
laggard has developed. For example, a standard may become significantly more stringent and substantial effort might be required for compliance, but all manufacturers may be meeting the applicable standard. In that situation, a technological laggard is not likely and penalties would be unnecessary. 
In this context, it becomes clear that 
since the first two of these criteria are intended to address the question of whether a given standard creates the possibility for this to occur, they are evaluated before the third criterion that addresses the likelihood that the possibility will actually happen. In most cases, it is possible to evaluate these criteria at the point a new standard is adopted. This is the value of these criteria, that they can usually be evaluated long before there is enough information to know whether a technological laggard is actually likely. For example, where EPA adopts a new standard that is not technology-forcing, but rather merely an anti-backsliding standard, EPA could determine at the time it is adopted that the second criterion is not met so that manufacturers would know in advance that no NCPs will be made available for that standard. 
One question that arose in the 2012 
rule involved how to evaluate the second criterion if significant time has passed and some work toward meeting the standard has already been completed. To address this question, the revised text clarifies that this criterion is to be evaluated based on actual work needed to go from meeting the previous standard to meeting the current standard, regardless of the timing of such changes. EPA looks at whether ‘‘substantial work’’ is or was required to meet the revised standard at any time after the standard was issued—the important question is whether manufacturers who were using technology that met the previous 
standard would need to build upon that technology to meet the revised standard. 
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Other interpretations would seem to be 
directly contrary to the purpose of the statute, which is designed to allow technological laggards to be able to certify engines even if other manufacturers have met the standard. 
(iii) Technological Laggards 
Questions also arose in 2012 about the 
meaning of the term ‘‘technological 
laggard.’’ While the regulations do not define ‘‘technological laggard,’’ EPA has previously interpreted this as meaning a manufacturer who cannot meet the emission standard due to technological difficulties, not merely economic difficulties (67 FR 51464–51465, August 8, 2002). Some have interpreted this to mean that NCPs cannot be made available where a manufacturer tries and fails to meet a standard with one technology but knew that another technology would have allowed them to meet the standard. In other words, that it made a bad business decision. However, EPA’s reference to ‘‘economic difficulties’’ applies where a technological path exists—at the time 
EPA is evaluating the third criterion— that would allow the manufacturer to meet the standard on time, but the manufacturer chooses not to use it for economic reasons. The key question is whether or not the technological path exists at the time of the evaluation. To address this confusion, the revised text clarifies that where there is uncertainty about whether a failure to meet the standards is a technological failure, EPA may presume that it was. Note that this does not mean that EPA might declare any failure to meet standards as a technological failure. The change would only apply where it is not clear. 
(4) In-Use Testing 
EPA and manufacturers have gained 
substantial experience with in-use 
testing over the last four or five years. This has led to important insights in ways that the test protocol can be adjusted to be more effective. EPA is accordingly making the following changes to the regulations in 40 CFR part 86, subparts N and T: 
•Revise the NTE exclusion based on 
aftertreatment temperature to associate the exclusion with the specific aftertreatment device that does not meet the temperature criterion. For example, there should be no NO
Xexclusion if a 
diesel oxidation catalyst is below the temperature threshold. EPA is also revising the exclusion to consider accommodation of CO emissions when there is a problem with low temperatures in the exhaust. 
•Clarify that exhaust temperatures 
should be measured continuously to evaluate whether those temperatures stay above the 250 °C threshold. 
•Add specifications to describe 
where to measure temperatures for exhaust systems with multiple aftertreatment devices. 
•Include a provision to add 0.00042 
g/hp-hr to the PM measurement to account for PM emissions vented to the atmosphere through the crankcase vent. 
•Increase the time allowed for 
submitting quarterly reports from 30 to 45 days after the end of the quarter. 
(5) Miscellaneous Amendments to 40 
CFR Part 86 
As described elsewhere, EPA is 
making several changes to 40 CFR part 86. This includes primarily the GHG standards for Class 2b and 3 heavy-duty vehicles in subpart S. EPA is also making regulatory changes related to hearing procedures, adjustment factors for infrequent regeneration of aftertreatment devices, and the testing program for heavy-duty in-use vehicles. 
EPA is making several minor 
amendments to 40 CFR part 86, including the following: 
•Revise 40 CFR 86.1811–17 to clarify 
that the Tier 2 SFTP for 4,000 mile testing applies to MDPVs, alternative fueled vehicles, and flexible fueled vehicles when operated on a fuel other than gasoline or diesel fuel, even though these vehicles were not subject to SFTP standards under the Tier 2 program. We described this in the Preamble to the Tier 3 final rule, and we are now making this explicit in the regulations. 
•Revise 40 CFR 86.1813–17 to clarify 
that gaseous-fueled vehicles are not subject to the bleed emission test or standard. 
•Revise 40 CFR 86.1823 to extend 
the default catalyst thermal reactivity coefficient for Tier 2 vehicles to also apply for Tier 3 vehicles. This change was inadvertently omitted from the recent Tier 3 rulemaking. EPA will also be interested in a broader review of the appropriate default value for the catalyst thermal reactivity coefficient in some future rulemaking. EPA will be interested in reviewing any available data related to this issue. 
•Establish a minimum maintenance 
interval of 1500 hours for DEF filters for heavy-duty engines. This reflects the technical capabilities for filter durability and the expected maintenance in the field. 
•Add crankcase vent filters to the list 
of maintenance items for heavy-duty engines. This allows manufacturers to specify a maintenance interval of 50,000 miles, or request a shorter interval under § 86.004–25. We are also revising consolidating regulatory provisions in § 86.004–25 to allow us to remove § 86.007–25; this reorganization does not change any regulatory requirements. 
•Remove the idle CO standard from 
40 CFR 86.007–11 and 40 CFR 86.008– 10. This standard no longer applies, since all engines are now subject to diagnostic requirements instead of the idle CO standard. 
•Revise 40 CFR 86.094–14 to 
consolidate the streamlined certification procedures for small-volume manufacturers. The consolidated section reduces potential confusion by listing only the provisions that do not apply, rather than trying to create (and maintain) a comprehensive list of all the provisions that apply, in addition to the provisions that do not apply. Except for removing obsolete content, the revised regulation does not include substantive changes to the specified procedures. 
•Revise 40 CFR 86.1301 to remove 
obsolete content. 
EPA is also adopting several 
amendments to remove obsolete text, update cross references, and streamline redundant regulatory text. For example, paragraph (f)(3) of Appendix I includes a duty cycle for heavy-duty spark- ignition engines that is no longer specified as part of the certification process. 
(6) Applying 40 CFR Part 1068 to 
Heavy-Duty Highway Engines and Vehicles 
As part of the Phase 1 standards, EPA 
applied the exemption and importation provisions from 40 CFR part 1068, subparts C and D, to heavy-duty highway engines and vehicles. EPA also specified that the defect reporting provisions of 40 CFR 1068.501 were optional. In an earlier rulemaking, EPA applied the selective enforcement auditing under 40 CFR part 1068, subpart E (75 FR 22896, April 30, 2010). EPA is in this rule adopting the rest of 40 CFR part 1068 for heavy-duty highway engines and vehicles, with certain exceptions and special provisions. 
40 CFR part 1068 captures a range of 
compliance provisions that are common across our engine and vehicle programs. These regulatory provisions generally provide the legal framework for implementing a certification-based program. 40 CFR part 1068 works in tandem with the standard-setting part for each type of engine/equipment. This allows EPA to adopt program-specific provisions for emission standards and certification requirements for each type of engine/equipment while taking a uniform approach to the compliance provisions that apply generally. 
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Many of the provisions in 40 CFR part 
1068 were originally written to align 
with the procedures established in 40 CFR part 85 and part 86. EPA expects the following provisions from 40 CFR part 1068 to not involve a substantive change for heavy-duty highway engines and vehicles: 
•Part 1068, subpart A, describes how 
EPA handles confidential information, how the Administrator may delegate decision-making within the agency, how EPA may enter manufacturers’ facilities for inspections, what information manufacturers must submit to EPA, how manufacturers are required to use good engineering judgment related to certification, and how EPA may require testing or perform testing. There is also a description of labeling requirements that apply uniformly for different types of engines/equipment. 
•The prohibited acts, penalties, 
injunction provisions, and related requirements of 40 CFR 1068.101 and 1068.125 correspond to what is specified in Clean Air Act sections 203 
through 207 (also see section 213(d)). 
•40 CFR 1068.103 describes how a 
certificate of conformity applies on a model-year basis. With the exception of the stockpiling provisions in paragraph (g), as described below, these provisions generally mirror what already applies for heavy-duty highway engines. 
•40 CFR 1068.120 describes 
requirements that apply for rebuilding engines. This includes more detailed provisions describing how the rebuild requirements apply for cases involving a used engine to replace a certified engine. 
•40 CFR part 1068, subpart F, 
describes procedural requirements for voluntary and mandatory recalls. As noted below, EPA is modifying these regulations to eliminate a few instances where the part 1068 provisions differ from what is specified in 40 CFR part 86, subpart S. 
•40 CFR part 1068, subpart G, 
describes how EPA would hold a hearing to consider a manufacturer’s appeal of an adverse compliance decision from EPA. These procedures apply for penalties associated with violations of the prohibited acts, recall, nonconformance penalties, and generally for decisions related to certification. As noted below, EPA is migrating these procedures from 40 CFR part 86, including an effort to align with EPA-wide regulations that apply in the case of a formal hearing. 
EPA is adopting a requirement for 
manufacturers to comply with the defect-reporting provisions in 40 CFR 1068.501. Defect reporting under 40 CFR 1068.501 involves a more detailed approach for manufacturers to track 
possible defects and establishes thresholds to define when manufacturers must perform an investigation to determine an actual rate of emission-related defects. These thresholds are scaled according to production volumes, which allows us to adopt a uniform protocol for everything from locomotives to lawn and garden equipment. Manufacturers that also produce nonroad engines have already been following this protocol for several years. These defect-reporting requirements are also similar to the rules that apply in California. 
40 CFR part 1068 includes a 
definition of ‘‘engine’’ to clarify that an engine becomes subject to certification requirements when a crankshaft is installed in an engine block. At that point, a manufacturer may not ship the engine unless it is covered by a certificate of conformity or an exemption. Most manufacturers have opted into this definition of ‘‘engine’’ as part of the replacement engine exemption as specified in 40 CFR 85.1714. We are making this mandatory for all manufacturers. A related provision is the definition of ‘‘date of manufacture,’’ which we use to establish that an engine’s model year is also based on the date of crankshaft installation. To address the concern that engine manufacturers might install a large number of crankshafts before new emission standards start to apply as a means of circumventing those standards, we state in 40 CFR 1068.103(g) that manufacturers must follow their normal production plans and schedules for building engines in anticipation of new emission standards. In addition to that broad principle, we state that we will consider engines to be subject to the standards for the new model year if engine assembly is not complete within 30 days after the end of the model year with the less stringent standards. 
40 CFR part 1068 also includes 
provisions related to vehicle manufacturers that install certified engines. EPA states in 40 CFR 1068.105(b) that vehicle manufacturers are in violation of the tampering prohibition if they do not follow the engine manufacturers’ emission-related 
installation instructions, which we approve as part of the certification process. 
40 CFR part 1068 also establishes that 
vehicles have a model year and that installing certified engines includes a requirement that the engine be certified to emission standards corresponding to the vehicle’s model year. An exception to allow for normal production and build schedules is described in 40 CFR 1068.105(a). This ‘‘normal-inventory’’ allowance is intended to allow for installation of previous-tier engines that are produced under a valid certificate by the engine manufacturer shortly before the new emission standards start to apply. Going beyond normal inventory is considered to be ‘‘stockpiling.’’ Stockpiling such engines will be considered an unlawful circumvention of the new emission standards. The range of companies and production practices is much narrower for heavy- duty highway engines and vehicles than for nonroad engines and equipment. EPA is therefore finalizing the proposed additional specifications to define or constrain engine-installation schedules that will be considered to fall within normal-inventory practices. In particular, vehicle manufacturers must follow their normal production schedules to use up their supply of ‘‘previous-tier’’ engines once new emission standards start to apply; the regulation further specifies that this allowance may not extend beyond three months into the year in which new standards apply. For any subsequent installation of previous-tier engines, EPA requires that vehicle manufacturers get EPA approval based on a demonstration that the excess inventory is a result of unforeseeable circumstances rather than circumvention of emission standards. EPA approval in those circumstances will be limited to a maximum of 50 engines to be installed for up to three additional months for a single vehicle manufacturer. 
We are finalizing these stockpiling 
provisions, although we received two comments that supported changes from the proposal. Daimler suggested a greater allowance of 1000 or more engines meeting the earlier tier of standards to correspond to prevailing production volumes. This comment appears to reflect an expectation that engine manufacturers would continue to produce these previous-tier engines after the new emission standards have started to apply; however, this is not the case. The inventory allowance is focused on vehicle manufacturers using up their normal inventories of engines that were built before the change in emission standards over some number of months into the New Year. Even high-volume vehicle manufacturers should not be buying large quantities of engines shortly before a change in emission standard. The inventory allowance rather allows for vehicle manufacturers to prudently plan to make a reasonable transition to the new 
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980Glider vehicles are motor vehicles produced to 
accept rebuilt engines (or other used engines) along 
with used axles and/or transmissions. The common commercial term ‘‘glider kit’’ is used here primarily to refer to a chassis into which the used/rebuilt engine is installed. See Figure I–1 in section I.E.1 of this Preamble, showing a picture of a glider kit. 
981The NODA requested comment on an EPA 
memorandum ‘‘Legal Memorandum Discussing Issues Pertaining to Trailers, Glider Vehicles, and Glider Kits under the Clean Air Act’’, February 2016, EPA–HQ–OAR–2014–0827–1627, 81 FR 10826. 
982Glider vehicles and glider kits are exempt 
from NHTSA’s Phase 1 fuel consumption standards. NHTSA did not propose revisions specific to glider vehicles in this rulemaking. engines in the months following the 
point at which the standards start to apply. 
Gillig also commented on the 
stockpiling provisions, advocating a June 30 date for using up their inventory of previous-tier engines. Their production schedule typically involves building a single bus in a day, with the transition to new standards depending on engine manufacturers to provide compliant engines in a timely manner. The proposed allowance was intended to accommodate current business practices that involved using up normal inventory of previous-tier engines within three months after new standards start to apply, with a possible extension to six months if the manufacturer needs additional time to use up the last few of its normal inventory of previous-tier engines. We believe this approach is consistent with Gillig’s recommendation. 
EPA considered applying 40 CFR part 
1068 broadly. It is relatively straightforward to apply the provisions of this part to all engines subject to the criteria emission standards in 40 CFR part 86, subpart A, and the associated vehicles. Manufacturers of comparable nonroad engines are already subject to all these provisions. However, highway motorcycles and Class 2b and 3 heavy- duty vehicles subject to criteria emission standards under 40 CFR part 86, subpart S, are covered by a somewhat different compliance program. EPA is therefore applying only the hearing procedures from 40 CFR part 1068 for highway motorcycles, light-duty vehicles, light-duty trucks, medium-duty passenger vehicles, and chassis-certified Class 2b and 3 heavy- duty vehicles. See Section XIII.D.(1) for a description of the hearing procedures from 40 CFR part 1068. 
Note that EPA is amending 40 CFR 
85.1701 to specify that the exemption provisions of 40 CFR part 85, subpart R, apply to heavy-duty engines subject to regulation under 40 CFR part 86, subpart A. This is intended to limit the scope of this provision so that it does not apply for Class 2b and 3 heavy-duty vehicles subject to standards under 40 CFR part 86, subpart S. This change corrects an inadvertently broad reference to heavy-duty vehicles in 40 CFR 85.1701. 
B. Amendments Affecting Glider 
Vehicles and Glider Kits 
(1) Background 
EPA proposed several amendments 
related to both criteria pollutant and 
GHG emissions from glider vehicles, as well as related provisions for glider kits.
980With respect to criteria pollutant 
emissions, EPA proposed that as of 
January 1, 2018, most donor engines installed in glider vehicles would have to meet criteria pollutant standards corresponding to the year of assembly of the glider vehicle. This would amend the provision allowing donor engines to meet the standards for the year of the engine. 40 CFR 1037.150(j). EPA further solicited comment on an earlier effective date for this provision. 80 FR 40529. 
With respect to GHG emissions, EPA 
proposed that all glider vehicles (whether produced by large or small manufacturers) meet the Phase 2 vehicle standards (which, among other things, would entail glider kit manufacturers generating fuel maps for each engine that would be used). This would remove a transition provision from the Phase 1 rules which allowed glider vehicles to use engines not certified to the Phase 1 standards. 40 CFR 1037.150(j). Glider vehicles produced by large manufacturers are presently subject to the Phase 1 vehicle standards, but those produced by small manufacturers are not. 40 CFR 1037.150(c). Put a different way, the combination of these two provisions means that non-small businesses could use pre-2013 engines in glider vehicles, but were required to meet (and certify to) the Phase 1 GHG vehicle standards. EPA proposed to require all glider vehicles to meet the applicable GHG standards as of January 1, 2018. See generally 80 FR 40528. 
In the March, 2016 Notice of Data 
Availability, EPA solicited further comment on possible exceptions to the proposal.
981Specifically, EPA solicited 
comment with respect to engines meeting 2010 criteria pollutant standards, and for engines still within their original regulatory useful life. 81 FR 10826.
982 
EPA received many comments from 
manufacturers of both glider kits and glider vehicles, many comments from manufacturers of engines meeting current criteria pollutant standards and dealers selling trucks containing those compliant engines, and comments from the NGO community and from CARB. Engine and vehicle manufacturers took opposing positions. Some supported the proposed approach, and urged an earlier effective date to avoid a pre-buy of glider vehicles with highly polluting engines. Others stated that the proposed provisions exceeded EPA’s authority to set emission standards for new engines and new vehicles, in addition to objecting to the proposed provisions as a matter of policy. See Section I.E.1 of this document and RTC Section 14.2. Some of the comments helped EPA target flexibility for glider vehicles that serve arguably legitimate purposes (such as reclaiming relatively new powertrains from vehicles chassis that fail prematurely), without causing substantial adverse environmental impacts. All of these comments are fully summarized and responded to in RTC Section 14.2. We set out here the actions we are taking in this Phase 2 rule, and then explain the basis for those actions. 
(2) Overview of Final Rule Provisions 
for Glider Kits and Glider Vehicles 
We are finalizing the proposed glider- 
related provisions but have made several revisions in recognition of the differences between glider vehicles produced to avoid the 2010 criteria pollutant emission standards and those manufactured for other more legitimate purposes. The provisions being finalized are intended to allow a transition to a long-term program in which manufacture of glider vehicles better reflects the original reason manufacturers began to offer these vehicles—to allow the reuse of relatively new powertrains from damaged vehicles. 
Under the provisions being finalized 
for the long-term program, all glider vehicles will need to be covered by both vehicle and engine certificates. The 
vehicle certificate will require compliance with the GHG vehicle standards of 40 CFR part 1037. The engine certificate will require compliance with the GHG engine standards of 40 CFR part 1036, plus the criteria pollutant standards of 40 CFR part 86. Used/rebuilt/remanufactured engines may be installed in the glider vehicles without meeting standards for the year of glider vehicle assembly, provided the engines are within their regulatory useful life (or meet similar criteria). These engines would still need to meet criteria pollutant standards corresponding to the year of the engine. 
EPA is also finalizing a transitional 
program that will allow glider vehicle manufacturers additional flexibility. The first step allows each 
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983Although discussed here as a limit on the 
number of glider vehicles that may be produced, 
these provisions are actually exemptions for manufacturers from the more generally applicable restrictions on the production of glider vehicles, as the following sentence in the text above makes clear. 984EPA has structured these regulations for glider 
vehicles to lay out a general requirement that treats glider vehicles (and the engines installed in them) the same as other new vehicles (and new engines), but also includes several exemptions from this general requirement. 985Although discussed here as a limit on the 
number of glider vehicles that may be produced, these provisions are actually exemptions for manufacturers from the more generally applicable restrictions on the production of glider vehicles. 
986The NO Xand PM standards for MY 2007 and 
later engines are 0.20 g/hp-hr and 0.01 g/hp-hr, manufacturer’s combined production of 
glider kits and glider vehicles with higher polluting engines to be at the manufacturer’s highest annual production of glider kits and glider vehicles for any year from 2010 to 2014.
983Any glider vehicles produced 
in greater volumes would need to meet the engine standards corresponding to the year of the assembly of the glider vehicle. With respect to GHG standards, all vehicles within this allowance will remain subject to the existing Phase 1 requirements for both engines and vehicles, so that small manufacturers would still be exempt from these provisions up to the allowance. Any glider kits and glider vehicles produced beyond this allowance will be subject to all requirements applicable to new engines and new vehicles for MY 2017. Other than the 2017 production limit, EPA will continue the Phase 1 approach until January 1, 2018. This allows small 
businesses to produce glider kits and glider vehicles up to the production limit without new constraints. Large manufacturers producing complete glider vehicles remain subject to the 40 CFR part 1037 GHG vehicle standards, as they have been since the start of Phase 1. However large manufacturers may provide exempted glider kits to small businesses during this time frame. 
Effective January 1, 2018, the long- 
term program begins generally, but with certain transitional flexibilities. In other words, except for the following allowances, glider vehicles will need to comply with the long-term program. The exceptions are: 
•Small businesses may produce a 
limited number of glider vehicles without meeting either the engine or vehicle standards of the long-term program. Larger vehicle manufacturers may provide glider kits to these small businesses without the assembled vehicle meeting the applicable vehicle standards. This number is limited to the small vehicle manufacturer’s highest annual production volume in 2010 through 2014 or 300, whichever is less. 
•Model year 2010 and later engines 
are not required to meet the Phase 1 GHG engine standards. 
•Used/rebuilt/remanufactured 
engines may be installed in the glider vehicles without meeting standards for the year of glider vehicle assembly, provided the engines are within their regulatory useful life (this provision continues from the transitional 
program). 
These 2018 allowances mostly 
continue after 2020, but effective January 1, 2021, all glider vehicles will need to meet the Phase 2 GHG vehicle standards. This means that large manufacturers providing glider kits to small manufacturers will need to meet the GHG vehicle standards for the completed vehicle (pursuant to the delegated assembly provisions), or ship the glider kit to the final glider vehicle manufacturer pursuant to the incomplete vehicle provisions (where the final glider vehicle manufacturer would be the certificate holder). 
EPA is thus discontinuing both 40 
CFR 1037.150(c) and (j) in this Phase 2 rulemaking. As finalized, the Phase 2 regulations will therefore generally treat glider vehicles the same as other new vehicles.
984As a result, glider vehicles 
must be certified to the Phase 2 vehicle GHG standards, which (among other things) require a fuel map for the actual engine in order to run GEM. In other words, manufacturers producing glider kits need to meet the applicable GHG vehicle standards and, as part of their compliance demonstration, need to have a fuel map for each engine used. Alternatively, the final assembler could be the entity to obtain the certificate, provided it had substantial control of the overall emissions performance of the completed vehicle. In either case, manufacturers unable to obtain a fuel map for an engine may ask to use a default map, consistent with good engineering judgment. 
EPA is also providing a limited 
allowance for small business manufacturers as described in 40 CFR 1037.150(t), and also providing a generally-applicable allowance that is conditioned on the age of the reused engine as described in 1037.635. See Section XIII.B.(4) below. EPA is also adopting new definitions of ‘‘glider vehicle’’ and ‘‘glider kit’’ in 40 CFR 1037.801 that are generally consistent with the common understanding of these terms as meaning new chassis with a rebuilt or other used engine and 
new chassis designed to accept a rebuilt or other used engine/powertrain. EPA is also clarifying its requirements for certification and revising its definitions for glider manufacturers, as described below, to ensure that affected manufacturers understand their responsibilities under the regulations. It is important to emphasize that EPA 
is not banning gliders. Rather, as 
described below, EPA is requiring that glider vehicles meet the standards that all other new trucks are required to meet, unless eligible for certain limited exemptions that provide flexibility for small businesses and for certain other specific applications. Moreover, the provisions being finalized are more flexible than those proposed, but focus the additional flexibility on vehicles using relatively clean engines, and on engines within their regulatory useful life, consistent with the original purpose of glider kits and vehicles.
985 
EPA proposed to begin these 
requirements January 1, 2018, but requested comment on beginning the requirements sooner. Since the NPRM, production of gliders has surged and now likely exceeds 10,000 per year. We are concerned that by finalizing restrictions for 2018 in this rule we risk causing a pre-buy scenario where production surges further in 2017. This would be both very harmful to the environment and disruptive to the market. To avoid these problems and to ensure a smoother transition, we are finalizing a glider kit and glider vehicle production limit for calendar year 2017 for glider vehicles using high polluting engines. The allowable production is 
based on past sales for all large and small manufacturers. Specifically, each manufacturer’s combined 2017 production of glider kits and glider vehicles using high polluting engines will be capped at the manufacturer’s highest annual production of glider kits and glider vehicles for any year from 2010 to 2014. All vehicles within this allowance will remain subject to the existing Phase 1 GHG provisions as they presently apply. Any glider kits or glider vehicles produced beyond this allowance will be subject to all requirements applicable to new engines and new vehicles for MY 2017. 
(3) Impacts of Current Glider Market 
Current standards for NO
Xand PM 
(which began in 2007 and took full 
effect in 2010) are at least 90 percent lower than the most stringent previously applicable standards, so the NO
Xand 
PM emissions of any glider vehicles using pre-2007 engines are at least ten times higher than emissions from equivalent vehicles being produced with brand new engines.
986However, 
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respectively. The standards for MY 2004 through 
2006 engines were ten times these levels, and earlier standards were even higher. 
987See, e.g. http://www.truckinginfo.com/article/ 
story/2013/04/the-return-of-the-glider.aspx, describing the engines used by a leading manufacturer of glider vehicles (‘‘1999 to 2002- model diesels were known for reliability, longevity and good fuel mileage. Fitzgerald favors Detroit’s 12.7-liter Series 60 from that era, but also installs pre-EGR 14-liter Cummins and 15-liter Caterpillar diesels. All are rebuilt ....  ’’) (emphasis added). 
See also additional documentation of this point in RTC Section 14.2. 
988‘‘Industry Characterization of Heavy Duty 
Glider Kits,’’ MacKay & Company, September 30, 2013. 
989Frequently Asked Questions about Heavy- 
Duty ‘‘Glider Vehicles’’ and ‘‘Glider Kits,’’ EPA– 420–F–15–904, July 2015. 990http://www.truckinginfo.com/article/story/
2013/04/the-return-of-the-glider.aspx ., accessed 
July 16, 2016. most gliders being produced today use 
engines originally manufactured before 2002.
987Since these pre-2002 engines 
lack both EGR and exhaust aftertreatment, they would have NO
X 
and PM emissions 20–40 times higher than current engines. If miscalibrated, emissions could be even higher. Thus, each glider vehicle using an older engine that is purchased instead of a 
new vehicle with a current MY engine results in significantly higher in-use emissions of air pollutants associated with a host of adverse human health effects, including premature mortality (see Section VIII above). 
These emission impacts have been 
compounded by the increasing sales of these vehicles. Estimates provided to EPA indicate that production of glider vehicles has increased by an order of magnitude from what it was in the 2004–2006 time frame—from a few hundred each year to thousands.
988 
Glider vehicle production is not currently being reported to EPA, but EPA estimates that current production is close to 10,000 each year based on comments—including comments from manufacturers of glider vehicles. While the few hundred glider vehicles produced annually in the 2004–2006 timeframe may have been produced for arguably legitimate purposes, such as salvaging powertrains from vehicles otherwise destroyed in crashes, EPA believes (as did many commenters) that the more than tenfold increase in glider kit production since the MY 2007 criteria pollutant emission standards took effect reflects an attempt to avoid these more stringent standards and (ultimately) the Clean Air Act. 
At proposal, EPA estimated the 
environmental impact of 5,000 glider vehicles per year, which would be roughly 2 percent of the Class 8 vehicles manufactured annually.
989We 
estimated that at that rate, these gliders could account for as much as one-half of total NO
Xand PM emissions from all new Class 8 vehicles. Several 
commenters supported EPA’s assessment of the environmental impacts of glider vehicles. Volvo suggested the impacts were even greater, estimating that 2014 glider sales were ‘‘on the order of 6,000’’ and that they emit twice as many tons of PM as the rest of the 2014 vehicles. In later supplemental comments, Volvo provided evidence that current sales have grown to 10,000 or more per year. Even some commenters opposing EPA’s proposal acknowledged that glider sales are now over 10,000 units annually. No commenters disagreed with EPA’s previous (understated) assessment of NO
Xand PM impacts. 
For the final rule, EPA has updated its 
analysis of the environmental impacts of gliders. The updated analysis used the same emissions modeling tool used to estimate the other emissions impacts of the rule, described in Section VII of the Preamble. The modeling of gliders assumed annual glider sales of 10,000 for 2015 and later, consistent with the comments received on the proposal. The modeling also assumed that these gliders emit at the level equivalent to the engines meeting the MY 1998–2001 standards, since most glider vehicles currently being produced use remanufactured engines of this vintage, and projects them to have the same usage patterns/lifetimes as similar new vehicles. (We did not attempt to account for any miscalibration of these engines). This analysis shows that without the new restrictions, glider vehicles on the road in 2025 would emit nearly 300,000 tons of NO
Xand nearly 8,000 tons of PM 
annually. Although glider vehicles would make up only 5 percent of heavy- duty tractors on the road, their emissions would represent about one third of all NO
Xand PM emissions from 
heavy-duty tractors in 2025. By restricting the number of glider vehicles with high polluting engines on the road, these excess PM and NO
Xemissions 
will decrease dramatically, leading to substantial public health-related benefits. Put into monetary terms using 
PM-related benefit-per-ton values described in Section IX.H, the removal of all unrestricted glider vehicle emissions from the atmosphere would yield between $6 to $14 billion in benefits annually (2013$). It is clear that removing even a fraction of these glider vehicles with high polluting engines from the road will yield substantial health-related benefits. 
(4) EPA Engine Standards 
EPA is thus amending its rules to 
generally require that glider vehicles 
produced on or after January 1, 2017 use engines certified to the standards applicable to the calendar year in which assembly of the glider vehicle is completed, with an exception in 2017 that provides a larger number of glider vehicles under the transitional production allowance. (Other exceptions to this general requirement are discussed later). This requirement applies to all pollutants, and thus encompasses criteria pollutant standards as well as the separate GHG standards. Used or rebuilt engines may be used, as long as they have been certified to the same standards that apply for the calendar year of glider vehicle assembly. For example, if assembly of a glider vehicle is completed in calendar year 2020, the engine must generally meet standards applicable for MY 2020. (If the engine standards for model year 2020 are the same as for model years 2017 through 2019, then any model year 2017 or later engine may be used). 
EPA is amending these rules because, 
with the advent in MY 2007 of more stringent HD diesel engine criteria pollutant standards, continuation of provisions allowing unlimited use of rebuilt and reused engines meeting much earlier MY criteria pollutant standards results in unnecessarily high in-use emissions. See Section XII.B.(3) above. As stated there, these emissions form an increasingly high percentage of the vehicular inventory for such dangerous pollutants as NO
Xand diesel 
exhaust PM (a likely human carcinogen), all of which are associated with the most serious adverse health effects up to and including premature mortality. GHG emissions from these engines also are controllable. As more glider vehicles are produced, EPA believes these emissions should be controlled to the same levels as other new engines. 
The older engines currently being 
used in most glider vehicles could be retrofitted with exhaust aftertreatment to meet current standards. However, the primary reason these engines have been used is because they do not include 
aftertreatment.
990Thus, we believe 
retrofitting these engines would not be a preferred path. The more likely compliance path would be to install a used 2010 or later engine, since such engines are presently available and it would be probably be much simpler and less expensive to use a 2010 engine than to retrofit an older engine to meet current standards. Manufacturers will 
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991EPA’s authority to craft different provisions 
for engines within their useful life, and provisions 
allowing continued production of glider vehicles using pre-2010 engines comes from CAA authority to consider costs under section 202(a)(2) and 202(a)(3)(D), as well as the broad authority in section 202(a)(3)(D) over engine rebuilding. Thus, many of these flexibilities are tailored to avoid significant and disproportionate economic impacts on small business glider vehicle manufacturers by allowing most small businesses to continue to produce glider vehicles consistent with current levels of production, consistent with the recommendations of the Small Business Advocacy Review panel. See RIA section 12.7.3. Allowing continued use of engines within their original useful life is also consistent with one purpose of the engine rebuilding provisions, which is to find some legitimate means of salvaging heavy duty engines without backsliding from those engines’ original certified condition. See 62 FR 54702. likely also seek to qualify under other 
flexibilities provided in the Final Rule. 
Recognizing that the environmental 
impacts of gliders using newer engines will generally be much smaller, EPA requested comment on whether we should treat such gliders differently than gliders using older engines. 80 FR 40528; 81 FR 10826. Based on comments received on the NODA, EPA is finalizing additional flexibilities for newer engines and for engines with very low mileage. More specifically, EPA will allow engines meeting any of the following criteria to be used in glider vehicles without meeting current engine standards for either criteria pollutants or GHGs: 
(1) Engines still within their original 
useful life in terms of both miles and years. 
(2) Engines of any age with less than 
100,000 miles of engine operation, provided the engines’ miles are properly documented. 
(3) Engines less than three years old 
with any number of accumulated miles of engine operation.
991 
Engines covered by these three 
criteria are consistent with the original intended use of glider kits—the salvaging of relatively new powertrains from vehicle chassis that have been damaged or have otherwise failed prematurely. Most of these engines would be covered by the first criterion. While nearly all of these engines would be model year 2010 or later, this criterion would theoretically allow use of model year 2008 or 2009 engines in calendar years before 2020. 
Nevertheless, such engines would have been certified to the same PM standards as the 2010 engines, and would likely have NO
Xemissions at or below 1.2 g/ 
hp-hr (i.e., the typical certification level 
for engines of that vintage). EPA is adopting the second criterion to address very rare cases that were identified in comments in which annual VMT is so low that engines would not reach 100,000 miles within ten years (the 
useful life in years). These engines could be higher emitting, but would necessarily be in applications with very low usage, such as a small town fire truck. As such, the total emissions from such vehicles would be very small. The third criterion would address other rare cases such as where an engine is just outside the useful life in miles, or the miles cannot be determined. These engines would necessarily be model year 2015 or later, and would thus all meet the 2010 standards. Considered together, this additional flexibility would have little adverse emission impact because there would be relatively few engines covered by these exceptions and the vast majority would be 2010 or later. 
Several commenters supported 
allowing unlimited production of glider vehicles if they use engines certified to 2010 or later NO
Xand PM standards, 
without regard to whether the engines were still within their useful life. EPA sees merit in this concept, but is concerned that it may not be appropriate in perpetuity. Obviously, reuse of engines originally certified to the 2010 standards for criteria pollutants would not have the same adverse environmental impacts as the current practice of reusing pre-2002 engines that have NO
Xand PM 
emissions 20–40 times higher than current engines (or using post-2002 but pre-2007 engines, which remain an order of magnitude more polluting). However, they would not necessarily be as clean for GHG or criteria pollutants as brand new engines with all new aftertreatment components. The Phase 1 and Phase 2 engine standards mean that brand new engines will have lower GHG emissions than pre-Phase 1 engines. See RIA Chapter 8 and RTC Section 14.2. And used 2010 aftertreatment components may be less effective at reducing NO
Xor PM than when new. 
Moreover, EPA has been petitioned to adopt more stringent NO
Xand/or PM 
standards in the future. See Section I.F.(1) above. Thus, while using 2010 engines in glider vehicles would greatly reduce the most serious concerns about NO
Xand PM emissions relative to 
current gliders, it would not eliminate all adverse environmental impacts. 
To balance these factors, EPA is 
finalizing an interim provision—a provision which may sunset if EPA adopts new more stringent NO
Xor PM 
standards for heavy duty engines—that will treat gliders using MY 2010 and later engines the same as those using engines within their useful life. This 
would avoid most of the adverse impacts, especially for NO
Xand PM. Not requiring these engines to meet the latest GHG standards could have some impacts, but they would likely be small, especially if glider vehicle sales return to pre-2007 levels. EPA will continue to monitor sales patterns and may rescind this flexibility in a future rulemaking. 
Several commenters expressed 
concern about the impact of the proposed changes on small businesses that produce glider vehicles. However, commenters opposing the proposed requirements/clarifications did not address the very significant adverse environmental impacts of the huge increase in glider vehicle production over the last several years. EPA recognized at the time of the proposal that production of a smaller number of other gliders by small manufacturers may be appropriate, at least as an interim allowance. 80 FR 40529. To allow this, EPA is adopting the proposed provision that will somewhat preserve the regulatory status quo for existing small businesses, allowing limited production using highly polluting engines based on recent sales. This means a limited number of glider vehicles produced by small businesses may use older rebuilt or used engines, provided those engines were certified to standards from the year of the engine’s manufacture. (Note that beginning in MY 2021, these vehicles will have to meet the GHG vehicle standards, although they would not be required to meet current criteria pollutant standards.) For example, an existing small business that produced glider vehicles between 2010 and 2014, with a peak production of 200 in 2013, may produce up to 200 glider vehicles per year under without having to certify them to the GHG standards, or re- certifying the engines to the now- applicable EPA standards for criteria pollutants (so long as the engine is certified to criteria pollutant standards for the year of its manufacture). To be eligible for this provision, 40 CFR 1037.150(t), the regulation specifies that no small entity may produce more than 300 glider vehicles (including any glider kits it sells to another assembler) using the older engines in any given model year without recertifying the engines to current EPA standards. EPA believes that this level reflects the upper end of the range of production that occurred before significant avoidance of the 2007 criteria pollutant standards began. EPA believes that, given this relief combined with the other changes being made into the final regulations, any small businesses that have been focused on producing gliders for legitimate purposes will not be significantly 
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impacted by the new requirements, 
since they can use donor engines within their regulatory useful life for either age or mileage. See generally RIA Chapter 12.7.3. Only those small businesses that have significantly increased production to create new trucks to avoid the 2010 NO
Xand PM standards will have their 
sales significantly restricted. 
This small business flexibility is 
intended for small entities for whom glider production is a substantial portion of their revenue to allow them to transition to the long-term program where they would generally install newer cleaner engines. (We recognize that the final regulations will allow some small businesses to produce a limited number of glider vehicles with higher polluting engines as a side business, but do not expect these manufacturers to produce very many glider vehicles.) We intend to monitor its use and may place additional restriction on this flexibility in the future consistent with this intended purpose. 
We are also adopting provisions to 
facilitate a smoother transition for small businesses that assemble glider vehicles from glider kits produced by larger manufacturers. Although the long-term program will require vehicle certificates for glider vehicles produced by small manufacturers using exempted engines, we are delaying the requirement for a vehicle certificate until 2021 for these glider vehicles. This means the large glider kit manufacturers may continue the Phase 1 allowance to sell exempted glider kits (i.e., uncertified glider kits) to 
small assemblers as previously allowed under Phase1 by 40 CFR 1037.620. However, beginning January 1, 2021, each glider kit sold to small assemblers will need to have a vehicle certificate the same as is required for other new Phase 1 and Phase 2 glider vehicles. 
Although we are allowing this 
flexibility for glider kit manufacturers, they remain responsible to take reasonable steps to ensure that their glider kits are not used to produce complete vehicles in violation of the regulations. Most importantly, the glider kit manufacturer must comply fully with the requirements of 40 CFR 1037.622, which specifies certain minimum requirements for shipping uncertified incomplete vehicles. If the 
glider kit manufacturer is the certificate holder, then the glider kit manufacturer would have to comply with the delegated assembly requirements of 40 CFR 1037.621. See 40 CFR 1037.635(d)(3). In addition, we would expect manufacturers of glider kits to have records to verify that the vehicle assembler to whom they are shipping an uncertified glider kit (which would remain permissible under Phase 1) is aware of the regulatory requirements and is eligible to produce glider vehicles with older engines that do not meet current criteria pollutant standards (i.e. is a small business within the volume limit, or is using engines within their regulatory useful life). For any assembler that is purchasing more than one hundred glider kits in a year from a kit manufacturer, the kit manufacturer should verify that they are not exceeding their allotted number. For smaller assemblers, it may be sufficient to verify that they are not requesting more glider kits from that kit manufacturer than they purchased in any year from 2010 to 2014. Failure to comply with these requirements, or shipping glider kits to an ineligible manufacturer which produces glider vehicles with non-compliant engines, may void the exemption granted pursuant to 40 CFR 1037.621 or 1037.622. For example, as explained in Section I.E.(1)(d) above, supplying glider kits to an ineligible manufacturer could result in causing a violation of the Act, and thus is itself a prohibited act under section 203(a)(1). 
Finally, we are adopting a new 
provision in 40 CFR 1036.150(o) that would allow an engine manufacturer to modify a used engine to be identical to a previously certified configuration. (This is similar to the allowance in 40 CFR 1068.201(i).) This allows the manufacturer to include the used engine in an existing certificate for the purposes of complying with the requirement to meet current standards when installing an engine into a glider vehicle. For example, if an engine manufacture modified a used 2009 engine to be identical to a certified 2017 engine, we would allow the 2009 engine to be covered by the 2017 certificate, which would allow it to be installed into a glider vehicle without restriction. 
(5) Lead Time for Amended Provisions 
Other than the production volume 
provision discussed at the beginning of 
this Section XIII.B, the requirement for gliders to meet engine and vehicle standards applicable to other new vehicles and engines do not take effect before January 1, 2018. With respect to the criteria pollutant engine standards, EPA believes this provides sufficient time to ‘‘permit the development and application of the requisite control measures’’ (CAA section 202(a)(3)(D)) because compliant engines are available today, although manufacturers will need several months to change business practices to comply. Some commenters argued that 
because some of these requirements 
relate to criteria pollutant standards, EPA must provide at least four years lead time pursuant to section 202(a)(3)(C) of the Clean Air Act. EPA addresses these comments in Section I.E.(1) and in the RTC Sections 1.3.1 and 14.2. With respect to the vehicle standards, EPA notes that the requirements already apply for vehicles not produced by small businesses. EPA believes that delaying the applicability of the vehicle standards to small businesses until 2021 when Phase 2 takes effect provides ample time to comply with vehicle GHG standards. See CAA section 202(a)(2) (standards to provide lead time sufficient to allow for ‘‘development and application of the requisite technology’’). 
(6) Legal Authority and Definitions 
Under the Clean Air Act 
With respect to statutory authority for 
the criteria pollutant standards under the Clean Air Act, EPA notes first that it has broad authority to control all pollutant emissions from ‘‘any’’ rebuilt heavy duty engines (including engines beyond their statutory useful life). See CAA section 202(a)(3)(D). EPA is to give ‘‘appropriate’’ consideration to issues of cost, energy, and safety in developing such standards, and to provide necessary lead time to implement those standards. If a used engine is placed in a new glider vehicle, the engine will be considered a ‘‘new motor vehicle engine’’ because it is being used in a new motor vehicle. See CAA section 216(3) and Section I.E.(1). With respect to the vehicle-based GHG standards, there is no question that the completed glider vehicle is a ‘‘motor vehicle’’ under the Clean Air Act. Some commenters have questioned whether a glider kit (without an engine) is a motor vehicle. However, EPA considers glider kits to be incomplete motor vehicles and entities manufacturing gliders to be manufacturers of those vehicles, and EPA has the authority to regulate incomplete motor vehicles and manufacturers thereof, including un- motorized chassis. See Section I.E.(1) 
Under the CAA, it is also important 
that ‘‘new’’ is determined based on legal 
title and does not consider prior use. Thus, glider vehicles that have a new vehicle identification number (VIN) and new title are considered to be ‘‘new motor vehicles’’ even if they incorporate previously used components. It is also the case that under the Clean Air Act, EPA does not consider the fact that a vehicle retained the VIN of the donor vehicle from which the engine was obtained determinative of whether or 
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not the vehicle is new. See Section 
I.E.(1) (responding to comment on this point). 
The CAA also defines ‘‘manufacturer’’ 
to include any person who assembles new motor vehicles. As proposed, EPA is revising its regulatory definitions of these terms in 40 CFR 1036.801 and 1037.801 to more clearly reflect these aspects of the CAA definitions. The revised definitions make clear that: 
•New glider kits are ‘‘new motor 
vehicles.’’ Manufacturers therefor must certify to the Phase 2 vehicle standards unless they are selling the glider kit to a secondary manufacturer that has its own certificate. 
•Previously used engines installed 
into glider kits are ‘‘new motor vehicle engines.’’ 
•Any person who completes 
assembly of a glider vehicle is a ‘‘manufacturer’’ thereof. 
EPA also notes that under existing 
regulations, glider kit assemblers (i.e. entities that assemble the glider vehicle by adding the donor engine to the kit) are already considered to be secondary vehicle manufacturers, who may receive incomplete vehicles (such as glider kits) 
from OEMs if they have a valid certificate or exemption (see 40 CFR 1037.622). Secondary vehicle manufacturers may also receive certified glider kits to complete in a delegated assembly agreement (see 40 CFR 1037.621). 
To further clarify that EPA considers 
both glider kits and completed glider vehicles to be motor vehicles, EPA is adding a clarification to our definition of ‘‘motor vehicle’’ in 40 CFR 85.1703 regarding vehicles such as gliders that clearly are intended for use on highways, consistent with the CAA definition of ‘‘motor vehicle’’ in CAA section 216(2). The regulatory definition previously contained a provision stating that vehicles lacking certain safety features required by state or federal law are not ‘‘motor vehicles.’’ EPA recognized that this caveat needed a proper context: Is the safety feature one that would prevent operation on highways? See 80 FR 40529. If not, absence of that feature does not result in the vehicle being other than a motor vehicle. The amendment will consequently make clear that vehicles that are clearly intended for operation on highways are motor vehicles, even if they do not have every safety feature. This clarifying provision takes effect with this rule. 
We note that NHTSA and EPA have 
separate definitions for motor vehicles under their separate statutory authorities. As such, EPA’s determination of how its statute and regulations apply to glider kits and glider vehicles has no bearing on how NHTSA may apply its safety authority with regard to them. 
(7) Summary of the Requirements for 
Glider Vehicles 
The provisions being finalized are 
intended to allow a transition to a long- term program in which use of glider kits is permissible consistent with the original reason manufacturers began to offer glider kits—to allow the reuse of relatively new powertrains from damaged vehicles. The long-term program as well as the transitional program are summarized below. 
(a) Long-Term Program for Gliders 
Ultimately all gliders will need to be 
covered by both vehicle and engine 
certificates. The vehicle certificate will require compliance with the GHG vehicle standards of 40 CFR part 1037. The engine certificate will require compliance with the GHG engine standards of 40 CFR part 1036, plus the criteria pollutant standards of 40 CFR part 86. Used/rebuilt engines may be installed in the glider vehicles, provided (1) they meet all standards applicable to the year in which the assembly of the glider vehicle is completed; or (2) meet all standards applicable to the year in which the engine was originally manufactured and also meet one of the following criteria: 
•The engine is still within its 
original useful life in terms of both miles and years. 
•The engine has less than 100,000 
miles of engine operation. 
•The engine is less than three years 
old. 
In most of these cases, the glider 
vehicles will need to have a vehicle certificate demonstrating compliance with the vehicle GHG standards that apply for the year of assembly. However, in the case of engines with less than 100,000 miles, glider vehicles conforming to the vehicle configuration of the donor vehicle do not need to be recertified to current vehicle standards. 
(b) Transitional Program for Gliders 
For calendar year 2017, each 
manufacturer’s combined production of 
glider kits and glider vehicles will be capped at the manufacturer’s highest annual production of glider kits and glider vehicles for any year from 2010 to 2014. All vehicles within this allowance will remain subject to the existing Phase 1 provisions, including its exemptions. Any glider kits or glider vehicles produced beyond this allowance will be subject to the long- term program. Other than the 2017 production limit, 
EPA will continue the Phase 1 approach 
until January 1, 2018. This allows small businesses to produce glider vehicles up to the allowance without other new constraints before 2018. Large manufacturers producing complete glider vehicles remain subject to the 40 CFR part 1037 GHG vehicle standards, as they have been since the start of Phase 1. However large manufacturers may provide exempted glider kits to small businesses during this time frame. 
Other than the 2017 production limit, EPA will continue the Phase 1 approach until January 1, 2018. This allows small businesses to produce glider vehicles up to the cap without other new constraints before 2018. Large manufacturers producing complete glider vehicles remain subject to the 40 CFR part 1037 GHG vehicle standards, as they have been since the start of Phase 1. However large manufacturers may provide exempted glider kits to small businesses during this time frame. 
Effective January 1, 2018, the 
permissible number of glider vehicles that may be produced without meeting the long-term program will be limited to two specific exceptions. The exceptions are: 
•Small businesses may produce a 
limited number of glider vehicles without meeting either the engine or vehicle standards of the long-term program. Larger vehicle manufacturers may provide glider kits to these small businesses without meeting the applicable vehicle standards. This number is limited to the small manufacturer’s highest annual production volume in 2010 through 2014 or 300, whichever is less. 
•Model year 2010 and later engines 
are not required to meet the Phase 1 GHG engine standards. 
These 2018 allowances mostly 
continue after 2020, but the following change takes effect January 1, 2021: 
•All glider kits provided by large 
manufacturers (including to small manufacturers or for use with 2010 engines) must meet the vehicle standards for the completed vehicle. 
EPA is not establishing an end to 
these transitional provisions at this time. We intend to monitor this industry and will reevaluate the appropriateness of these provisions in the future. 
C. Applying the General Compliance 
Provisions of 40 CFR Part 1068 to Light- Duty Vehicles, Light-Duty Trucks, Chassis-Certified Class 2
Band 3 Heavy- 
Duty Vehicles and Highway Motorcycles 
As described above, EPA is applying 
all the general compliance provisions of 40 CFR part 1068 to heavy-duty engines 
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and vehicles subject to 40 CFR parts 
1036 and 1037. EPA is also applying the amended hearing procedures from 40 CFR part 1068 to highway motorcycles and all vehicles subject to standards under 40 CFR part 86, subpart S. However, based on comments, we are not finalizing broader changes at this time. 
Volvo objected to extending the 
defect-reporting provisions of 40 CFR part 1068 to heavy-duty engines and vehicles. They stated that they have a robust approach to defect-reporting that is largely consistent with what applies under 40 CFR part 1068 (in addition to complying with CARB’s warranty- reporting requirements), but argued that it would be cost-prohibitive to comply nationwide with the new federal requirements. They commented that the higher reporting thresholds would lead to fewer reports. We understand and accept that there may be fewer defect reports; in fact, we count this as a positive development since industry and agency efforts toward documenting and addressing defects will be focused on cases that are worthy of greater attention. The defect threshold of 25 units under 40 CFR part 85 is not appropriate for the sales volumes associated with heavy-duty engines and vehicles. 
Light-duty automotive manufacturers 
also objected to the mandatory migration of defect-reporting provisions to 40 CFR part 1068 for heavy-duty vehicles they produce, emphasizing that their light-duty and heavy-duty vehicles should be subject to the same defect- reporting protocol to reduce complexity and risk of error. Although we are not applying the 40 CFR part 1068 defect- reporting requirements to heavy-duty vehicles subject to the requirements of 40 CFR part 86, subpart S, we are applying them to all other heavy-duty vehicles produced by these manufacturers. As noted below, we plan to eventually migrate the defect- reporting provisions for all light-duty and heavy-duty vehicles to 40 CFR part 1068, and see no harm in doing so in steps. These manufacturers also expressed three more detailed concerns about defect reporting under 40 CFR part 1068: (1) Twice-annual investigation reports may show no defects, which would add a paperwork burden for no benefit, (2) the reporting period covers the full useful life, rather than just the first five years, which is the time when most defects appear, and (3) tying defect reporting to warranty claims may discourage extended warranties. The idea behind the 
investigation reports is that a high rate of possible defects may or may not be associated with a substantial number of 
actual defects. The investigation reports are intended to address exactly that question. The burden arises only when the manufacturer has a high enough rate of possible defects to warrant further attention. We see no reason to disregard defect information between five years and the end of the useful life, since manufacturers are responsible for designing their products to last during that entire period. Specifying a shorter period would artificially and arbitrarily reduce the information available to reach a conclusion. If defects don’t occur after five years, then there is no additional burden associated with the longer period. EPA does not take a position on the manufacturers’ practices regarding extended warranties; however, we feel strongly that a manufacturer’s confidence as expressed in an extended warranty should correspond with the same level of confidence in the engines (or components) working to control emissions for that same period. 
EPA proposed to also apply the recall 
provisions from 40 CFR part 1068 for highway motorcycles and for all vehicles subject to standards under 40 CFR part 86, subpart S, and requested comment on applying the defect reporting from 40 CFR part 1068 for those same vehicles. Manufacturers objected to modifying the recall and defect-reporting provisions in this rulemaking. EPA is accordingly not finalizing these additional provisions; EPA intends rather to pursue these changes in a later rulemaking, which will allow both EPA and manufacturers and other stakeholders additional time to carefully consider the range of issues that may be involved. In particular, EPA anticipates the opportunity to apply 
some learning from the current focus on defeat devices, recall, and defect reporting in the effort to update the regulations. 
Note that EPA is amending 40 CFR 
85.1701 to specify that the exemption provisions apply to heavy-duty engines subject to regulation under 40 CFR part 86, subpart A. This is intended to limit the scope of this provision so that it does not apply for Class 2b and 3 heavy- duty vehicles subject to standards under 40 CFR part 86, subpart S. This change corrects an inadvertently broad reference to heavy-duty vehicles in 40 CFR 85.1701. 
D. Amendments to General Compliance 
Provisions in 40 CFR Part 1068 
The general compliance provisions in 
40 CFR part 1068 apply broadly too many different types of engines and equipment. This section describes how EPA is amending these procedures to 
make various corrections and adjustments. 
(1) Hearing Procedures 
EPA is updating and consolidating its 
regulations related to formal and 
informal hearings in 40 CFR part 1068, subpart G. This will allow us to rely on a single set of regulations for all the different categories of vehicles, engines, and equipment that are subject to emission standards. EPA also made an effort to write these regulations for improved readability. 
The hearing procedures specified in 
40 CFR part 1068 apply to the various categories of nonroad engines and equipment (along with the other provisions of part 1068). EPA is in these rules applying these hearing procedures also to heavy-duty highway engines, light-duty motor vehicles, and highway motorcycles. EPA believes there is no reason to treat any of these sectors differently regarding hearing procedures. Automotive and engine manufacturers expressed broad concerns about migrating the hearing procedures in this rulemaking; however, the migration makes no substantive changes to established procedures, and addresses various administrative concerns as noted below. 
EPA is adding an introductory section 
that provides an overview of requesting a hearing for all cases where a person or a company objects to an adverse decision by the agency. In certain circumstances, as spelled out in the regulations, a person or a company can request a hearing before a Presiding 
Officer. Statutory provisions require formal hearing procedures for administrative enforcement actions seeking civil penalties. The Clean Air Act does not require a formal hearing for other agency decisions; EPA is therefore specifying that informal hearing procedures apply for all such decisions. 
The introductory section also adds 
detailed provisions describing the requirements for submitting information to the agency in a timely manner. These provisions accommodate current practices for electronic submission, distinguish between postal and courier delivery and provide separate requirements for shipments made from inside and outside the United States. The specified deadlines are generally based on the traditional approach of a postmark determining whether a submission is timely or not. Fax, email and courier shipments are similarly specified as needing to be sent by close of business on the day of the deadline. A different approach applies for shipments originating from outside the 
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United States. Because time in transit 
can vary dramatically, we are specifying that foreign shipments need to be received in our office by the specified deadline to be considered timely. Given the option to send documents by email or by fax, EPA expects this approach will not pose any disadvantage to anyone making an appeal from outside the United States. 
EPA is replacing the current reference 
to 40 CFR 86.1853–01 for informal hearings with a full-text approach that captures this same material. EPA 
attempted to write these regulations in a way that does not change the underlying hearing protocol. 
The regulations currently reference 
the formal hearing procedures in 40 CFR 85.1807, which were originally drafted to apply to light-duty motor vehicles. After we adopted the hearing procedures in 40 CFR 85.1807, EPA’s Office of Administrative Law Judges finalized a set of regulations defining formal hearing procedures that were intended to apply broadly across the agency for appeals under every applicable statute. See 40 CFR part 22, 
‘‘Consolidated Rules of Practice Governing the Administrative Assessment of Civil Penalties and the Revocation/Termination or Suspension of Permits.’’ EPA is therefore revising the regulations in 40 CFR part 1068 to simply refer to these formal hearing procedures in 40 CFR part 22. 
(2) Additional Changes to General 
Compliance Provisions 
EPA is also making numerous changes 
across 40 CFR part 1068 to correct errors, to add clarification, and to make adjustments based on lessons learned from implementing these regulatory provisions. This includes the following changes: 
•§ 1068.1: Clarify applicability of 
part 1068 with respect to legacy parts (such as 40 CFR parts 89 through 94). 
•§ 1068.20: Clarify that EPA’s 
inspection activities do not depend on having a warrant or a court order. As noted in the standard-setting parts, EPA may deny certification or suspend or revoke certificates if a manufacturer denies EPA entry for an attempted inspection or other entry. 
•§ 1068.27: Clarify that EPA 
confirmatory testing may be performed before issuance of a certificate of conformity. We are also making an addition to state that we may require manufacturers to give us any special components that are needed for EPA testing. 
•§ 1068.30: Add definitions of 
‘‘affiliated companies,’’ ‘‘parent company,’’ and ‘‘subsidiaries’’ to clarify how small-business provisions apply for a range of business relationships. 
•§ 1068.30: Clarify that in the context 
of provisions that apply only for certificate holders, a manufacturer can be considered a certificate holder based on the current or previous model year (to avoid problems from having a gap between model years). 
•§ 1068.30: Spell out contact 
information for the ‘‘Designated Compliance Officer’’ to clarify how manufacturers should submit information to the agency. This includes email addresses for the various sectors. 
•§ 1068.32: Add discussion to 
establish the meaning of various terms and phrases for EPA regulations; for example, we distinguish between standards, requirements, allowances, prohibitions, and provisions. EPA is also clarifying terminology with respect to singular/plural, inclusive lists, notes and examples in the regulatory text, and references to ‘‘general’’ or ‘‘typical’’ circumstances. EPA also describes some of the approach to determining when ‘‘unusual circumstances’’ apply. 
•§ 1068.45: Allow manufacturers to 
use coded dates on engine labels; allow EPA to require the manufacturer to share information to read the coded information. 
•§ 1068.45: Clarify that engine labels 
are information submissions to EPA. 
•§§ 1068.101 and 1068.125: Update 
penalty amounts to reflect changes to 40 CFR part 19 (81 FR 43094, July 1, 2016). 
•§ 1068.101: Revise the penalty 
associated with the tampering prohibition to be an engine-based penalty, as opposed to assessing penalties per day of engine operation. This correction aligns with Clean Air Act section 205. 
•§ 1068.103: Clarify the process for 
reinstating certificates after suspending, revoking, or voiding. 
•§ 1068.103: Clarify that the 
prohibition against ‘‘offering for sale’’ uncertified engines applies only for engines already produced. It is not a violation to invite customers to buy engines as part of an effort to establish the economic viability of producing engines, as would be expected for market research. 
•§ 1068.105: Require documentation 
related to ‘‘normal inventory’’ for stockpiling provision. EPA is also clarifying that there is no specific deadline associated with producing ‘‘normal-inventory’’ engines under this section, but emphasizing that vehicle/ equipment manufacturers may not delay engine installation beyond their normal production schedules. EPA is also clarifying that the allowance related to building vehicles/equipment in the early part of a model year, before the 
start of a new calendar year corresponding to new emission standards, applies only in cases where vehicle/equipment assembly is complete before the start of the new calendar year. This is intended to prevent manufacturers from circumventing new standards by initiating production of large numbers of vehicles/equipment for eventual completion after new standards have started to apply. 
•§ 1068.210: Remove the 
requirement for companies getting approval for a testing exemption to send us written confirmation that they meet the terms and conditions of the exemption. We do not believe this submission is necessary for implementing the testing exemption. 
•§ 1068.220: Add a description of 
how we might approve engine operation under the display exemption. This is intended to more carefully address circumstances in which engine operation is part of the display function in question. We will want to consider a wide range of factors in considering such a request; for example, we may be more inclined to approve a request for a display exemption if the extent of operation is very limited, or if the engine/equipment has emission rates that are comparable to what would 
apply absent the exemption. EPA is also removing the specific prohibition against generating revenue with exempted engines/equipment, since this has an unclear meaning and we can take any possible revenue generation into account in considering whether to approve the exemption on its merits. 
•§ 1068.230: Add a provision 
allowing for engine operation under the export exemption only as needed to prepare it for export (this has already been in place in part 85, and in part 1068 for engines/equipment imported for eventual export). 
•§ 1068.235: Clarify that the 
standard-setting part may set conditions on an exemption for nonroad competition engines/equipment. 
•§ 1068.240: Clarify that 
manufacturers may export engines as an alternative to being destroyed if the engine was replaced with an engine covered by the exemption provisions of § 1068.240(b). 
•§ 1068.240: Describe the logistics 
for identifying the disposition of engines being replaced under the replacement engine exemption. In particular, manufacturers will need to resolve the disposition of each engine by the due date for the report under § 1068.240(c) to avoid counting them toward the production limit for 
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untracked replacement engines. We are 
delaying the due date for the report until September 30 following the production year to allow more time for manufacturers to make these determinations. 
•§ 1068.240: Clarify the relationship 
between paragraphs (d) and (e). 
•§ 1068.250: Simplify the deadline 
for requesting small-volume hardship. 
•§ 1068.255: Clarify that hardship 
provisions for equipment manufacturers are not limited to small businesses, and that a hardship approval is generally limited to a single instance of producing exempt equipment for up to 12 months. 
•§ 1068.260: State that manufacturers 
shipping engines without certain emission-related components need to identify the unshipped components either with a performance specification (where applicable) or with specific part numbers. We are also listing exhaust piping before and after aftertreatment devices as not being emission-related components for purposes of shipping engines in a certified configuration. 
•§§ 1068.260 and 1068.262: Revise 
the text to clarify that provisions related to partially complete engines have limited applicability in the case of equipment subject to equipment-based exhaust emission standards (such as recreational vehicles). These provisions are not intended to prevent the sale of partially complete equipment with respect to evaporative emission standards. We intend to address this in the future by changing the regulation in 40 CFR part 1060 to address this more carefully. 
•§ 1068.262: Revise text to align with 
the terminology and description adopted for similar circumstances related to shipment of incomplete heavy-duty vehicles under 40 CFR part 1037. 
•§ 1068.301: Revise text to more 
broadly describe importers’ responsibility to submit information and store records and explicitly allow electronic submission of EPA declaration forms and other importation documents. 
•§ 1068.305: Remove the provision 
specifying that individuals may need to submit taxpayer identification numbers as part of a request for an exemption or exclusion for imported engines/ equipment. We do not believe this information is necessary for implementing the exemption and exclusion provisions. 
•§ 1068.315: Allow for destroying 
engines/equipment instead of exporting them under the exemption for importing engines/equipment for repairs or alterations. •§ 1068.315: Remove the time 
constraints on approving extensions to a 
display exemption for imported engines/equipment. EPA will continue to expect the default time frame of one year to be appropriate, and extension of one to three years is sufficient for most cases; however, we are aware that there are occasional circumstances calling for a longer-term exemption. For example, an engine on display in a museum might appropriately be exempted indefinitely once its place in a standing exhibition is well established. 
•§ 1068.315: Specify that engines 
under the ancient engine exemption must be substantially in the original 
configuration. 
•§ 1068.360: Clarify the provisions 
related to model year for imported 
products by removing a circularity regarding ‘‘new’’ engines and ‘‘new’’ equipment. 
•§ 1068.401: Add explicit statement 
that SEA testing is at manufacturer’s expense. This is consistent with current practice and the rest of the regulatory text. 
•§ 1068.401: Allow for requiring 
manufacturers other than the certificate holder to perform selective enforcement audits in cases where multiple manufacturers are cooperatively producing certified engines. 
•§ 1068.401: State that SEA non- 
cooperation may lead to suspended or revoked certificate (like production-line testing). 
•§ 1068.415: Set up new criteria for 
lower SEA testing rate based on engine power to allow for a reduced testing rate of one engine per day only for engines with maximum engine power above 560 kW, but keep the allowance to approve a lower testing rate; that may be needed, for example, if engine break-in (stabilization) and testing are performed on the same dynamometer. EPA believes it is more appropriate to base reduced testing rates on engine characteristics rather than sales volumes, as has been done in the past. 
•§ 1068.415: Revise the service 
accumulation requirement to specify a maximum of eight days for stabilizing a test engine. This is necessary to address a situation where an engine operates only six hours per day to achieve stabilization after well over 50 hours. For such cases, we would expect manufacturers to be able to run engines much more than six hours per day. As with testing rates, manufacturers may ask for our approval to use a longer stabilization period if circumstances don’t allow them to meet the specified service accumulation targets. 
•§ 1068.501, and Appendix I: Clarify 
that ‘‘emission-related components’’ include components whose failure would commonly increase emissions (not might increase), and whose primary purpose is to reduce emissions (not sole purpose); current regulations are not consistent. 
•§ 1068.501: Add ‘‘in-use testing’’ to 
list of things to consider for investigating potential defects. 
•§ 1068.505: Clarify that 
manufacturers subject to a mandatory recall must remedy vehicles with an identified nonconformity without regard to their age or mileage at the time of repair, consistent with provisions that already apply under 40 CFR part 85. 
•§ 1068.505: Revise the requirement 
for submitting a remedial report from a 60-day maximum to a 45-day minimum (or 30-day minimum in the event of a hearing). This adjusted approach already applies to motor vehicles under 40 CFR part 85. 
•§ 1068.515: Clarify an ambiguity to 
require that manufacturers identify the facility where repairs or inspections are performed, and allow manufacturers to keep records of those facilities rather than including the information on the recall label. 
•§ 1068.530: Specify that recall 
records must be kept for five years, rather than three years. This is consistent with longstanding recall policy for motor vehicles and motor vehicle engines under 40 CFR part 85. 
In addition, EPA received a comment 
from Navy on behalf of the Defense Department requesting that we add a provision to allow for an automatic national security exemption in cases where a federal defense agency owns an engine that would need sulfur-sensitive technology to comply with emission standards if it is intended to be used in areas outside the United States where ultra-low sulfur fuel is unavailable. We are adopting this change as part of the final rule. This will reduce the agencies’ burden to process what has become a routine process for requesting and approving these exemptions. We are also taking the opportunity to include marine diesel engines in this same section, rather than treating them separately under 40 CFR 1042.635. 
We proposed to revise § 1068.201 to 
describe how someone may sell an engine under a different exemption than was originally intended or used as a result of unforeseen circumstances. However, we have decided to postpone those regulatory amendments to a future rule. This will give us opportunity to more thoroughly explore all relevant factors, such as: 
•Statutory authority and 
requirements. 
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•Business interests for managing 
distribution and inventories of 
exempted engines. 
•Environmental impacts. 
E. Amendments to Light-Duty Greenhouse Gas Program Requirements 
EPA is making minor changes to 
correct errors and clarify regulations in 40 CFR part 86, subpart S, and 40 CFR part 600 relating to EPA’s light-duty fuel economy and greenhouse gas emission standards. This includes the following changes: 
•§ 86.1818–12: Correct a reference in 
paragraph (c)(4) and clarify that CO
2- 
equivalent debits for N 2O and CH 4are 
calculated in Megagrams and rounded to the nearest whole Megagram. 
•§ 86.1838–01: Correct references in 
paragraph (d)(3)(iii). 
•§ 86.1866–12: Correct a reference in 
paragraph (b). 
•§ 86.1868–12: Clarify language in 
the introductory paragraph explaining the model years of applicability of different provisions for air conditioning efficiency credits. In paragraph (e)(5) clarify that the engine-off specification of 2 minutes is intended to be cumulative time. In paragraphs (f)(1), (g)(1), and (g)(3), clarify language by pointing to the definitions in § 86.1803– 01. 
•§ 86.1869–12: Make corrections to 
the language for readability in paragraph (b)(2). In paragraph (b)(4)(ii) delete the phrase ‘‘backup/reverse lights’’ because these lights were not intended to be part of the stated eligibility criteria for high- efficiency lighting credits. Correct references in paragraph (f). 
•§ 86.1870–12: Add language that 
clarifies that a manufacturer that meets the minimum production volume thresholds with a combination of mild and strong hybrid electric pickup trucks is eligible for credits. 
•§ 86.1871–12: Clarify that credits 
from model years 2010–2015 are not limited to a life of 5 model years. A recent rule extended the life of 2010– 2015 credits to model year 2021; thus, language referring to a 5-year life for emission credits generated in these model years is being removed or revised. 
•§ 600.113–12: Correct language in 
paragraph (m)(1), which relates to vehicles operating on LPG, that erroneously refers to methanol and methanol-fueled. 
•§ 600.113–12: Correct references in 
paragraph (n) and add a new paragraph (m) that reinstates language mistakenly dropped by a previous regulation. 
•§ 600.116–12: Correct description of 
physical quantity to refer to ‘‘energy’’ rather than ‘‘current,’’ and correct various paragraph references. 
•§ 600.208–12: Correct a reference in 
paragraph (a)(2)(iii). 
•§ 600.210–12: Correct a reference 
and text in paragraph (c)(2)(iv)(C). 
•§ 600.311–12: Revise fuel economy 
label instructions to (1) identify label ratings for model year 2017 and earlier standards certified early to the Tier 3 standards, (2) identify label ratings for Interim Tier 3 vehicles certified to interim bins for model years 2018 through 2024, and (3) clarify that the specified California emission standards determine label ratings only if vehicles are not subject to any EPA standards. All these changes are consistent with current implementation through guidance. 
•§ 600.510–12: Correct a reference in 
the equation in paragraph (c)(1)(ii) to apply the air conditioning, off-cycle, and pickup truck credits to the appropriate fleet average MPG value. Revise the regulation to accelerate the transition to fuel economy calculations using utility factors for natural gas vehicles, consistent with the methodology that applies for plug-in hybrid vehicles. This amendment was adopted by Congress as part of Fixing America’s Surface Transportation Act, H.R. 22, 114th Cong. § 24341 (2015). 
F. Amendments to Highway and 
Nonroad Test Procedures and Certification Requirements 
(1) Testing With Aftertreatment Devices 
Involving Infrequent Regeneration 
Manufacturers generally rely on 
selective catalytic reaction and diesel particulate filters to meet EPA’s emission standards for highway and nonroad compression-ignition engines. These emission control devices typically involve infrequent regeneration, which can have a significant effect on emission rates. EPA has addressed that for each engine type by provisions for infrequent regeneration factors; this is a calculation methodology that allows manufacturers to incorporate the effect of infrequent regeneration into reported emission values whether or not that regeneration occurs during an emission test. EPA adopted separate provisions for highway, locomotive, marine, and land- based nonroad compression-ignition engines. As proposed, EPA is harmonizing the common elements of these procedures in 40 CFR part 1065, and adding clarifying specifications in each of the standard-setting parts for sector-specific provisions. Commenters generally supported this revision. See Section II for a discussion of how IRAFs 
will apply for GHGs in Phase 2. 
(2) Mapping for Constant-Speed Engines 
Under 40 CFR Part 1065 
EPA is revising 40 CFR 1065.510 as it 
applies to the two-point mapping method for certain constant-speed engines. The regulations previously cited a performance parameter in ISO 8528–5 that does not apply for the design of these engines. 
It is common practice for engines that 
produce electric power to use an isochronous governor for stand-alone generator sets. In some parallel operations of multiple generator sets, droop is added as a method for load sharing. The amount of droop can be tuned by the generator set manufacturer or the site system integrator. Such engines are commonly tested on an engine dynamometer with the isochronous governor. 
Mapping with just two points works 
well for the case of 0 percent droop (i.e., isochronous governor). For this case, a persistent speed error is forced on the engine governor on the second point and this will cause the governor to wind up to its maximum command. The second point is effectively operating on the torque curve instead of the isochronous governor. So, the second point captures the full fueling torque (plus a small amount due to any rising torque curve). This measured torque is used as the maximum test torque for computing the emission test points. Since there is no designed-in droop, some target amount of speed error is needed for the second point. The regulation at 40 CFR 1065.510(d)(5)(iii) has a default target speed on the second point of 97.5 percent of the no-load speed measured on the first point. This results in a persistent speed error of 2.5 percent of the no-load speed. For an 1800 rpm no-load speed, this gives a target speed of 1755 rpm and a 45 rpm 
speed error on an isochronous governor. If the engine has a torque rise of 20 percent from 1800 to 1200 rpm (0.0333 percent torque rise per rpm), this 45 rpm error will cause a 1.5 percent-of- point error in the determination of the intended maximum test torque. This error is larger than desired for this type of testing. Fortunately, engines and test cells have sufficient speed resolution to select a lower speed error, which reduces this error in maximum test torque. In practice, testing with a speed error at or below 0.5 percent is more than adequate to cause the isochronous governor to wind up to maximum fueling. Using a target speed of 99.5 percent on the second point gives a target speed of 1791 rpm for an 1800 
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rpm no-load speed and reduces the error 
on the maximum test torque to a reasonable 0.3 percent of point for the 20 percent torque rise case described above. 
For governors with droop, if we 
attempt the two-point method, we would have to calculate a target speed for the second point based on a designed amount of droop. Unfortunately, the actual governor may not have the same amount of droop as the design droop, which may cause error in the measured torque versus the maximum test torque associated with a complete torque map. Also, the design droop may be based on a torque value that is different from the intended maximum test torque. Thus, the two- point method is not sufficient to yield a maximum test torque equivalent to the value obtained using a multi-point map. Also the allowed speed error on the second point is 20 percent of the speed droop, which allows an unacceptably large error in the maximum test torque. 
Thus, for the reasons listed, we are 
limiting the two-point mapping method 
to any isochronous governed engines, not just engines used to generate electric power. 
(3) Calculating Maximum and 
Intermediate Test Speeds Under 40 CFR Part 1065 
EPA is improving the method for 
calculating maximum and intermediate test speeds by applying a more robust calculation method. The new calculation method is consistent with the methodology used to determine maximum test torque, which we revised in the light-duty Tier 3 rulemaking. Under the previous regulations, the result was a measured maximum test torque at one of the map points. The new calculation method involves interpolation to determine the measured maximum test torque, yielding a more representative maximum value for test torque. 
(4) Excluding Ethane From Measure 
Emissions for Gaseous-Fueled Compression-Ignition Engines 
EPA proposed to allow manufacturers 
to use NMOG measurements to demonstrate compliance with NMHC standards. This was primarily intended to address concerns about ethane emissions from natural gas engines inappropriately impacting compliance determinations when the engines are tested using fuels that have relatively high ethane content. Commenters shared that the proposed approach would not accomplish the intended purpose. Some commenters also emphasized that ethane is a hydrocarbon and an organic compound that has a low ozone reactivity (i.e., ethane emissions do little to contribute to ozone), and that ethane emissions are hard to remove with a catalytic converter. We are finalizing a more direct approach in which engines designed to operate on gaseous fuels are subject to hydrocarbon standards in the form of nonmethane-nonethane hydrocarbons. This approach applies for all the different sectors of mobile compression-ignition engines—heavy- duty highway, land-based nonroad, marine, and locomotive. Excluding ethane from hydrocarbon measurements requires additional test specifications as noted in the following section. 
We are adopting an alternative 
provision that involves reduced test burden by selecting a low-ethane test fuel. In particular, EPA or manufacturers performing measurements with a test fuel containing 1.0 percent ethane or less may measure an engine’s NMHC emissions and multiple this value by 0.95 to determine its nonmethane- nonethane hydrocarbon emissions, without separately measuring ethane in the exhaust. 
(5) Additional Test Procedure 
Amendments 
EPA is adopting the following 
additional changes to test procedures in 40 CFR part 1065 and part 1066: 
•§ 1065.202: Revised to prevent 
specific data collection errors known as aliasing. More specifically, the revision will ensure that aliasing of data collection signal due to filtering or sampling rate does not happen. We believe that all labs are currently preventing aliasing, but this should be described in the regulations. 
•§ 1065.266: This new section allows 
the use of an FTIR for determination of NMHC or NMNEHC from engines fueled solely on LPG or natural gas. The measurement of methane and ethane is also allowed for engine fueled with LPG or natural gas, in combination with a liquid fuel, for determination of NMHC or NMNEHC when subtracting methane and/or ethane from a FID-derived THC value. The intent of the NMNEHC provision is to allow the subtraction of ethane from THC in cases where the certification fuel available to the testing lab is high in ethane content. 
•§ 1065.275: ASTM D6348 was 
added as a reference method for interpretation of spectra for N
2O 
determination by FTIR. 
•§ 1065.340 and 1065.341: These 
sections contain a collection of editorial corrections pertaining to CVSs intended to improve the understanding of the 
calibration and verification procedures. 
•§ 1065.366: This new section 
provides interference verification procedures for FTIR hydrocarbon analyzers allowed under § 1065.266. 
•§ 1065.640 and 1065.642: These 
sections contain a collection of editorial corrections pertaining to CVSs intended to improve the understanding of the calculation procedures. 
•§ 1065.655: Revised to separate out 
carbon mass fraction of fuel and fuel composition determinations into separate sections to improve readability. This section was also revised to include any fluids injected into the exhaust in the determination of the carbon mass fraction of fuel. This ensures that all fluids in the exhaust are accounted for. 
Provisions were also added to address how to determine properties when multiple fuel streams (e.g., gaseous and 
liquid) are used. 
•§ 1065.1001: Added a definition for 
diesel exhaust fluid. 
•§ 1066.110: Revised to allow a 
shortening of the tailpipe for connection to the CVS and to simultaneously conduct PM background sampling with propane recovery checks. This section was also revised to change the limit on filter face velocity from 100 cm/s to 140 cm/s. The purpose of this is to increase filter mass loading. This change is based on results obtained from the CRC E–99 Phase 1 test program, which showed that there was no loss of semi-volatile PM at this higher filter face velocity. Higher filter mass loadings will help to reduce uncertainty and lessen the impact of background variability on the final PM emission value. 
•§ 1066.210: Revise the 
dynamometer force equation to incorporate grade, consistent with the coastdown procedures we are adopting for heavy-duty vehicles. For operation at a level grade, the additional parameters cancel out of the calculation. 
•§ 1066.605: Adding an equation to 
the regulations to spell out how to calculate emission rates in grams per mile. This calculation is generally assumed, but we want to include the equation to remove any uncertainty about calculating emission rates from mass emission measurements and driving distance. We also added equations to vary sample extraction ratio instead of changing flow over the filter when performing single filter per test sampling for PM measurement. 
•§ 1066.815: Create an exception to 
the maximum value for overall residence time for PM sampling methods that involve collecting samples for combined bags over a duty cycle. This is needed to accommodate the 
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reduced sample flow rates associated 
with these procedures. We also added provisions to vary sample extraction ratio instead of changing flow over the filter when performing single filter per test sampling for PM measurement. 
G. Amendments Related to Locomotives 
in 40 CFR Part 1033 
EPA’s emission standards and 
certification requirements for locomotives and locomotive engines under the Clean Air Act are identified in 40 CFR part 1033. 
EPA is revising the engine mapping 
provisions in 40 CFR part 1033 for locomotive testing to denote that manufacturers do not have to meet the cycle limit values in 40 CFR 1065.514 when testing complete locomotives. Also, for engine testing with a dynamometer, while the validation criteria of CFR 1065.514 apply, EPA is allowing manufacturers the option to check validation using manufacturer- declared values for maximum torque, power, and speed. This option will allow them to omit engine mapping under 40 CFR 1065.510, which is already not required. These provisions reduce test burden and cost for the manufacturer, while preserving the integrity of the certification requirements. 
EPA is also adopting text that 
describes the alternate ramped-model cycle provisions in 40 CFR part 1033 as some of the notch setting and durations are inconsistent with the description of the duty cycle in Table 1 of 40 CFR 1033.520. EPA has determined that the table is correct as published and the error lies in the text describing how to carry out the ramped-modal test. 
We are also clarifying that 
locomotives operating on a combination of diesel fuel and gaseous fuel are subject to NMHC standards (or NMNEHC standards), which is the same as if the locomotives operated only on gaseous fuel. With respect to in-use fuels, we are adopting a clarification in 40 CFR 1033.815 regarding allowable fuels for certain Tier 4 and later locomotives. Specifically, we note that locomotives certified on ultra-low sulfur diesel fuel, but that do not include sulfur-sensitive emission controls, may use low sulfur diesel fuel instead of ultra-low sulfur diesel fuel, consistent with good engineering judgment. For example, an obvious case where this would be appropriate (but not the only possible case), is if a railroad had emission data showing the locomotive still met the applicable standards/FELs while operating on the higher sulfur fuel. We also requested comment on 
whether EPA should consider notch- 
specific engine/alternator efficiencies to be confidential business information. However commenters did not support making this change in the regulations. 
We requested comment on extending 
the provisions of 40 CFR 1033.101(i) involving a less stringent CO standard in combination with a more stringent PM standard to Tier 4 locomotives. The existing provisions were developed to provide a compliance path for natural gas locomotives that reflected both the technological capabilities of natural gas locomotives and the relative environmental significance of CO and PM emissions. This provision was not 
applied to Tier 4 locomotives, because the applicable Tier 4 p.m. standard is already very low (0.03 g/hp-hr). Engine manufacturers commented in favor of adopting alternate standards for Tier 3 and Tier 4 locomotives. We are extending the alternate 10.0 g/bhp-hr CO standard to Tier 3 and Tier 4 locomotives; manufacturers would qualify for the less stringent CO standard by meeting a PM standard of 0.01 g/bhp-hr. 
EPA is making numerous additional 
changes across 40 CFR part 1033 to correct errors, to add clarification, and to make adjustments based on lessons learned from implementing these regulatory provisions. This includes the following changes: 
•§§ 1033.30, 1033.730, and 1033.925: 
Consolidate information-collection provisions into a single section. 
•§ 1033.101: Allow manufacturers to 
certify Tier 4 and later locomotives using Low Sulfur Diesel fuel instead of Ultra-Low Sulfur Diesel fuel. Manufacturers may wish to do this to show that their locomotives do not include sulfur-sensitive technology. 
•§ 1033.120: Reduce extended- 
warranty requirements to warranties that are actually provided to customers, rather than to any published warranties that are offered. The principle is that the emission-related warranty should not be less effective for emission-related items than for items that are not emission- related. 
•§ 1033.150: Correct the URL 
associated with price index information for calculating current costs. 
•§ 1033.201: Clarify that 
manufacturers may amend their application for certification after the end of the model year in certain circumstances, but they may not produce locomotives for a given model year after December 31 of the named year. 
•§ 1033.201: Establish that 
manufacturers may deliver to EPA for testing a locomotive/engine that is 
identical to the test locomotive/engine used for certification. This may be necessary if the test locomotive/engine has accumulated too many hours, or if it is unavailable for any reason. 
•§ 1033.235: Add an explicit 
allowance for carryover engine families to include the same kind of within- family running changes that are currently allowed over the course of a model year. The original text may have been understood to require that such running changes be made separate from certifying the engine family for the new model year. 
•§§ 1033.235, 1033.245, and 
1033.601: Describe how to demonstrate compliance with dual-fuel and flexible- 
fuel locomotives. This generally involves testing with each separate fuel, or with a worst-case fuel blend. 
•§ 1033.245: Add instructions for 
calculating deterioration factors for sawtooth deterioration patterns, such as might be expected for periodic maintenance, such as cleaning or replacing diesel particulate filters. 
•§ 1033.250: Remove references to 
routine and standard tests, and remove the shorter recordkeeping requirement for routine data (or data from routine tests). All test records must be kept for eight years. With electronic recording of test data, there should be no advantage to keeping the shorter recordkeeping requirement for a subset of test data. EPA also notes that the eight-year period restarts with certification for a new model year if the manufacturer uses carryover data. 
•§ 1033.255: Clarify that rendering 
information false or incomplete after submitting it is the same as submitting false or incomplete information. For example, if there is a change to any corporate information or engine parameters described in the manufacturer’s application for certification, the manufacturer must amend the application to include the new information. 
•§ 1033.255: Clarify that voiding 
certificates for a recordkeeping or reporting violation would be limited to certificates that relate to the particular recordkeeping or reporting failure. 
•§ 1033.501: Clarify how testing 
requirements apply differently for locomotive engines and for complete locomotives. 
•§ 1033.501: Add paragraph (a)(4) to 
remove proportionality verification for discrete-mode tests if a single batch fuel measurement is used to determine raw exhaust flow rate. This verification involves statistical assessment that is not valid for the single data point. Requiring manufacturers instead to 
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simply ensure constant sample flow 
should adequately address the concern, 
•§ 1033.515: Provide the option to 
carry out smoke testing separate from criteria pollutant measurement with a reduced time-in-notch of 3 minutes. This change reestablishes a provision that was previously allowed in 40 CFR 92.124(f). 
•§§ 1033.515 and 1033.520: Update 
terminology by referring to ‘‘test intervals’’ instead of ‘‘phases.’’ This allows us to be consistent with terminology used in 40 CFR part 1065. 
•§ 1033.520: Correct the example 
given to describe the testing transition after the second test interval. 
•§§ 1033.701 and 1033.730: Describe 
the process for retiring emission credits. This may be referred to as donating credits to the environment. 
•§ 1033.710: Clarify that it is not 
permissible to show a proper balance of credits for a given model by using emission credits from a future model year. 
•§ 1033.730: Clarify terminology for 
ABT reports. 
•§ 1033.815: Add consideration of 
periodic locomotive inspections in 184- day intervals. 
•§ 1033.901: Update the contact 
information for the Designated Compliance Officer. 
•§ 1033.915: Migrate provisions 
related to confidential information to 40 CFR part 1068. 
We proposed to disallow amending 
certified configurations after the end of the model year. However, manufacturers shared in their comments that this would change the field-fix policy that has long since allowed for making such changes. We have retracted the proposed change and replaced it with a new paragraph that describes how manufacturers may amend the application for certification during and after the model year, consistent with the current policy regarding field fixes. 
H. Amendments Related to Nonroad 
Diesel Engines in 40 CFR Part 1039 
EPA is adopting two changes to 40 
CFR 1039.5 to clarify the scope and applicability of standards under 40 CFR part 1039. First, EPA is stating that engines using the provisions of 40 CFR 1033.625 for non-locomotive-specific engines remain subject to certification requirements as nonroad diesel engines under 40 CFR part 1039. Such engines will need to be certified as both locomotive engines and as nonroad diesel engines. Second, EPA is revising the statement about how manufacturers may certify under 40 CFR part 1051 for engines installed in recreational vehicles (such as all-terrain vehicles or snowmobiles). EPA is removing text that 
might be interpreted to mean that there are circumstances in which certification under neither part is required. The proper understanding of EPA’s policy in that regard is that certification under one part is a necessary condition for being exempted from the other part. 
In 2008, EPA adopted a requirement 
in 40 CFR part 1042 for manufacturers to design marine diesel engines using selective catalytic reduction with basic diagnostic functions to ensure that these systems were working as intended (73 FR 37096, June 30, 2008). EPA is applying those same diagnostic control requirements to nonroad diesel engines regulated under 40 CFR part 1039. This addresses the same fundamental concern that engines will not be controlling emissions consistent with the certified configuration if the engine is lacking the appropriate quantity and quality of reductant. While some lead time is needed to make the necessary modifications, we believe it will be 
straightforward to apply the same designs from marine diesel engines to land-based nonroad diesel engines. EPA is accordingly requiring that manufacturers meet the new diagnostic specifications starting with model year 2018. These diagnostic controls will not affect the current policy related to adjustable parameters and inducements related to selective catalytic reduction. 
EPA is making numerous changes 
across 40 CFR part 1039 to correct errors, to add clarification, and to make adjustments based on lessons learned from implementing these regulatory provisions. This includes the following changes: 
•§ 1039.2: Add a clarifying note to 
say that something other than a conventional ‘‘manufacturer’’ may need to certify engines that become new after being placed into service (such as engines converted from highway or stationary use). This is intended to address a possible assumption that only conventional manufacturers can certify engines. 
•§§ 1039.30, 1039.730, and 1039.825: 
Consolidate information-collection provisions into a single section. 
•§ 1039.107: Remove the reference to 
deterioration factors for evaporative emissions, since there are no deterioration factors for demonstrating compliance with evaporative emission standards. 
•§ 1039.104(g): Correct the specified 
FEL cap for an example scenario illustrating how alternate FEL caps work. 
•§ 1039.120: Reduce extended- 
warranty requirements to warranties that are actually provided to the consumer, rather than to any published warranties that are offered. The principle is that the emission-related warranty should not be less effective for emission-related items than for items that are not emission-related. 
•§ 1039.125: Add crankcase vent 
filters to the list of maintenance items. 
•§ 1039.125: Allow for special 
maintenance procedures that address low-use engines. For example, owners of recreational marine vessels may need to perform engine maintenance after a smaller number of hours than would otherwise apply based on the limited engine operation over time. 
•§ 1039.125: Establish a minimum 
maintenance interval of 1500 hours for DEF filters. This reflects the technical capabilities for filter durability and the expected maintenance in the field. 
•§ 1039.125: Add fuel-water 
separator cartridges as an example of a maintenance item that is not emission- related. 
•§ 1039.125: Add a clearer cross 
reference to clarify that particulate traps are subject to the same maintenance intervals that apply for catalysts, consistent with the originally adopted maintenance provisions for the Tier 4 standards. 
•§ 1039.135: Allow for including 
optional label content only if this does not cause the manufacturer to omit other information based on limited availability of space on the label, and identify counterfeit protection as an additional item that manufacturers may include on the label. We modified the proposed amendment in response to comments to allow for including optional labeling content as long as the additional content doesn’t cause the space limitations that prevent inclusion of other optional information. 
•§ 1039.201: Clarify that 
manufacturers may amend their application for certification after the end of the model year in certain circumstances, but they may not produce engines for a given model year after December 31 of the named year. 
•§ 1039.201: Establish that 
manufacturers may deliver to EPA for testing an engine that is identical to the test engine used for certification. This may be necessary if the test engine has accumulated too many hours, or if it is unavailable for any reason. 
•§ 1039.205: Replace the requirement 
to submit data from invalid tests with a requirement to simply notify EPA in the application for certification if test was invalidated. 
•§ 1039.205: Add a requirement for 
manufacturers to include in their application for certification a description of their practice for 
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importing engines, if applicable. Note 
that where a manufacturers’ engines are imported through a wide variety of means, EPA will not require this description to be comprehensive. In such cases, a short description of the predominant practices will generally be sufficient. As noted in comments from the Truck and Engine Manufacturers Association, engine manufacturers whose primary method of importing engines is by selling them to foreign- based equipment manufacturers for eventual importation into the United States may simply state that these products may be imported at the discretion of the equipment manufacturer. We are also adding a requirement for manufacturers of engines below 560 kW to name a test lab in the United States for the possibility of us requiring tests under a selective enforcement audit. We have adopted these same requirements in many of our other nonroad programs. 
•§ 1039.235: Add an explicit 
allowance for carryover engine families to include the same kind of within- family running changes that are currently allowed over the course of a model year. The original text may have been understood to require that such running changes be made separate from certifying the engine family for the new 
model year. 
•§§ 1039.235, 1039.240, and 
1039.601: Describe how to demonstrate compliance with dual-fuel and flexible- fuel engines. This generally involves testing with each separate fuel, or with a worst-case fuel blend. 
•§ 1039.240: Add instructions for 
calculating deterioration factors for sawtooth deterioration patterns, such as might be expected for periodic maintenance, such as cleaning or replacing diesel particulate filters. 
•§ 1039.240: Remove the instruction 
related to calculating NMHC emissions from measured THC results, since this is addressed in 40 CFR part 1065. 
•§ 1039.250: Remove references to 
routine and standard tests, and remove the shorter recordkeeping requirement for routine data (or data from routine tests). All test records must be kept for eight years. With electronic recording of test data, there should be no advantage to keeping the shorter recordkeeping requirement for a subset of test data. EPA also notes that the eight-year period restarts with certification for a new model year if the manufacturer uses carryover data. 
•§ 1039.255: Clarify that rendering 
information false or incomplete after submitting it is the same as submitting false or incomplete information. For example, if there is a change to any corporate information or engine parameters described in the manufacturer’s application for certification, the manufacturer must amend the application to include the new information. 
•§ 1039.255: Clarify that voiding 
certificates for a recordkeeping or reporting violation will be limited to certificates that relate to the particular recordkeeping or reporting failure. 
•§ 1039.505: Correct the reference to 
the ISO C1 duty cycle for engines below 19 kW. 
•§ 1039.515: Correct the citation to 
40 CFR 86.1370. 
•§§ 1039.605 and 1039.610: Revise 
the reporting requirement to require detailed information about the previous year, rather than requiring a detailed projection for the year ahead. The information required in advance will be limited to a notification of plans to use the provisions of these sections. 
•§ 1039.640: Migrate engine branding 
to § 1068.45. 
•§ 1039.701 1039.730: Describe the 
process for retiring emission credits. This may be referred to as donating credits to the environment. 
•§ 1039.705: Change terminology for 
counting engines from ‘‘point of first retail sale’’ to ‘‘U.S.-direction production volume.’’ This conforms to the usual approach for calculating emission credits for nonroad engines. 
•§ 1039.710: Clarify that it is not 
permissible to show a proper balance of credits for a given model by using emission credits from a future model year. 
•§ 1039.730: Clarify terminology for 
ABT reports. 
•§ 1039.740: Clarify that the 
averaging-set provisions apply for credits generated by Tier 4 engines, not for credits generated from engines subject to earlier standards that are used with Tier 4 engines. 
•§ 1039.801: Update the contact 
information for the Designated Compliance Officer. 
•§ 1039.801: Revise the definition of 
‘‘model year’’ to clarify that the calendar year relates to the time that engines are produced under a certificate of conformity. 
•§ 1039.815: Migrate provisions 
related to confidential information to 40 CFR part 1068. 
We proposed to disallow amending 
certified configurations after the end of the model year. However, manufacturers shared in their comments that this would change the field-fix policy that has long since allowed for making such changes. We have retracted the proposed change and replaced it with a new paragraph that describes how manufacturers may amend the 
application for certification during and after the model year, consistent with the current policy regarding field fixes. 
We requested comment on removing 
regulatory provisions for Independent Commercial Importers from 40 CFR part 1039. These provisions, copied from highway regulations many years ago, generally allow for small businesses to modify small numbers of uncertified products to be in a certified configuration using alternative demonstration procedures, but they have not been used for nonroad engines for at least the last 15 years. We consider these to be obsolete. Commenters supported removal of these provisions, so we are including this change in the final rule. 
I. Amendments Related to Marine Diesel 
Engines in 40 CFR Parts 1042 and 1043 
EPA’s emission standards and 
certification requirements for marine diesel engines under the Clean Air Act are identified in 40 CFR part 1042. 
(1) Continuous NO
XMonitoring and On- 
Off Controls 
Manufacturers may produce certain 
marine diesel engines with on-off 
features that disable NO Xcontrols when 
the ship is operating outside of a designated Emission Control Area (ECA) as long as certain conditions are met (§ 1042.115(g)). This provision, which applies to Category 3 engines meeting EPA Tier 3 standards, is intended to address the special operating conditions posed by an ECA and allows a ship that operates in and out of designated ECAs to downgrade engine NO
Xemission 
controls while the ship is operating outside of a designated ECA. This provision also applies for Tier 4 NO
X 
standards for those Category 1 and Category 2 auxiliary engines on Category 3 vessels covered by § 1042.650(d); this provision does not apply to any other auxiliary engines or to any non-Category 3 propulsion engines. Engines with allowable on-off controls must be certified to meet the previous tier of NO
Xstandards when the 
advanced NO Xcontrol strategies are 
disabled. 
Engines with on-off NO Xcontrols are 
required to be equipped to continuously monitor NO
Xconcentrations in the 
exhaust (§ 1042.110(d)). EPA has been asked to clarify what ‘‘continuous’’ means in the context of this requirement. Because the purpose of this requirement is to show that the engine complies with the NO
Xemission 
limits on a continuous basis, continuous monitoring must be frequent enough to demonstrate that the NO
Xcontrols are 
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on and are properly functioning from 
the time the ship enters the ECA until it leaves, which, depending on the ECA and the ship’s itinerary, could be a matter of hours or days. Since many manufacturers equip their emission control systems with NO
Xsensors to 
monitor and log the performance of the combined engine and emission control system, we are clarifying that continuous monitoring means measuring NO
Xemissions at least every 
60 seconds. EPA is also specifying that a manufacturer may request approval of an alternative measurement period if that is necessary for sufficiently accurate measurements. With regard to the functioning of continuous NO
X 
monitoring, the continuous emission measurement device must be included as part of the engine system for EPA certification. Continuous NO
X 
monitoring must be engaged before the ship enters an ECA and continue until after it exits the ECA. Verification of operation of the system will be included in required periodic vessel surveys and certification that cover nearly all commercial U.S. vessels. Enforcement is expected to be performed on a periodic basis by appropriate authorities when a ship is in port. 
It should be noted that the above 
provisions with respect to on-off controls and continuous emission monitoring do not apply for the 40 CFR part 1042 PM standards. Engines certified to standards under 40 CFR part 1042 must meet the PM limits at all times, except when the operator has applied for and received permission to disable Tier 4 PM controls while operating outside the United States pursuant to any of the provisions of 40 CFR 1042.650(a) through (c). 
(2) Category 1 and Category 2 Auxiliary 
Engines on Category 3 Vessels 
The regulation at 40 CFR 1042.650(d) 
exempts auxiliary Category 1 and 
Category 2 engines installed on U.S.-flag Category 3 vessels from the part 1042 standards if those auxiliary engines meet certain conditions. This provision is intended to facilitate compliance with MARPOL Annex VI by certain qualified Category 3 vessels engaged in international trade and to simplify compliance demonstrations while those vessels are operating in foreign ports and foreign waters. EPA is adopting two revisions to make clear that the engines on the Category 3 vessel must remain in compliance with Annex VI, and EPA is adding clarifying language relating to engines with a power output of 130 kW or less. 
First, EPA is revising the regulations 
to clarify that the urea reporting requirements in § 1042.660(b) (which 
requires an owner or operator of any vessel equipped with SCR to report to EPA within 30 days of any operation of such vessel without the appropriate reductant) also apply to Category 1 and Category 2 auxiliary engines on Category 3 vessels that are covered by § 1042.650(d). This will extend the urea reporting requirements to engines between 130 and 600 kW if they rely on SCR to meet the Annex VI Tier III NO
X 
limits. Engines covered by § 1042.650(d) are subject to emission standards and testing requirements under MARPOL Annex VI and the NO
XTechnical Code. 
Second, EPA is revising 40 CFR 
1042.650(d) to clarify that, while these Category 1 and Category 2 auxiliary engines may be designed with on-off NO
Xcontrols, Annex VI requires that 
the engines have an EIAPP certificate demonstrating compliance with the applicable NO
Xstandards of Annex VI. 
This includes certification to demonstrate compliance with IMO Tier II NO
Xstandards anytime the IMO Tier 
III NO Xconfiguration is disabled. 
EPA has become aware that there is 
some uncertainty about how the scope of EPA’s implementation of Annex VI through 40 CFR part 1043 relates to engines with a power output of 130 kW or less. The existing regulations at § 1043.30 state that an EIAPP certificate is required for engines with a power output above 130 kW, but the standards described in § 1043.60 might be interpreted to apply to engines of all sizes. EPA did not intend to appear to create additional requirements or authority under 40 CFR part 1043 that is not contained in Annex VI or its implementing legislation (the Act to Prevent Pollution from Ships). EPA is therefore adding clarifying language to § 1043.60, consistent with Regulation 13 
of Annex VI and APPS, to indicate that the international NO
Xlimits do not 
apply to engines with a power output of 130 kW or less. Note that EPA therefore may not issue EIAPP certificates for engines with a power output of 130 kW or less even if manufacturers request it; this also means that such auxiliary engines are not eligible for an exemption under § 1042.650(d). 
(3) Natural Gas Marine Engines 
EPA is also expanding provisions that 
apply for marine engines designed to 
operate on both diesel fuel and natural gas. Test requirements apply separately for each ‘‘fuel type.’’ EPA generally considers an engine with a single calibration strategy that combines an initial pilot injection of diesel fuel to burn natural gas to be a single fuel type. This applies even if the natural gas portion must be substantially reduced or eliminated to maintain proper engine operation at light-load conditions. If the engine has a different calibration allowing it to run only on diesel fuel, or on continuous mixtures of diesel fuel and natural gas, we would consider it to be a dual-fuel engine or a flexible-fuel engine, respectively. These terms are used consistently across EPA programs for highway and nonroad applications. There is an effort underway to revise the definition of ‘‘dual-fuel’’ in MARPOL Annex VI, which may be different than EPA’s definition. It should be noted that the 40 CFR part 1042 certification testing requirement differs from that specified in MARPOL Annex VI and the NO
XTechnical Code. While the 
international protocol involves testing only on the engine calibration with the greatest degree of diesel fuel, EPA certification requires manufacturers to perform testing on each separate fuel type. This would involve one set of tests with natural gas (with or without a diesel pilot fuel, as appropriate), and an additional set of tests with diesel fuel alone. This has been required since we first adopted standards, and this is the same policy that applies across all our emission control programs. EPA is also including amended regulatory language to more carefully describe these testing requirements, and to specify how this applies differently for dual-fuel and flexible-fuel engines. 
(4) Additional Marine Diesel 
Amendments 
EPA is making numerous changes 
across 40 CFR part 1042 to correct errors, to add clarification, and to make adjustments based on lessons learned from implementing these regulatory provisions. This includes the following changes: 
•§ 1042.1: Correct the tabulated 
applicability date for engines with per- cylinder displacement between 7 and 15 liters; this should refer to engines ‘‘at or above’’ 7 liters, rather than ‘‘above 7 liters.’’ 
•§ 1042.1: Replace an incorrect 
reference to 40 CFR part 89 with a reference to 40 CFR part 94 for marine engines above 37 kW. 
•§ 1042.2: Add a clarifying note to 
say that something other than a conventional ‘‘manufacturer’’ may need to certify engines that become new after being placed into service (such as engines converted from highway or stationary use). This is intended to address a possible assumption that only conventional manufacturers can certify engines. 
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•§§ 1042.30, 1042.730, and 1042.825: 
Consolidate information-collection 
provisions into a single section. 
•§ 1042.101: Revise the text to more 
carefully identify engine subcategories and better describe the transition between Tier 3 and Tier 4 standards. These changes are intended to clarify which standards apply and are not intended to change the emission standards for any particular size or type of engine. 
•§ 1042.101 and Appendix III: More 
precisely define applicability of specific NTE standards for different types of engines and pollutants; correct formulas defining NTE zones and subzones; and add clarifying information to identify subzone points that could otherwise be derived from existing formulas. None of these changes are intended to change the standards, test procedures, or other policies for implementing the NTE standards. 
•§ 1042.101: Clarify the FEL caps for 
certain engines above 3700 kW. 
•§ 1042.101: Add a specification to 
define ‘‘continuous monitor’’ for parameters requiring repeated discrete measurements, as described above. The rule also includes further clarification on the relationship between on-off NO
X 
controls and engine diagnostic systems. 
•§ 1042.110: Remove the 
requirement to notify operators regarding an unsafe operating condition, since we can more generally rely on the broader provision in § 1042.115 that prohibits manufacturers from incorporating design strategies that introduce an unreasonable safety risk during engine operation. 
•§ 1042.110: Clarify that using a NO
X 
sensor as an alternative to monitoring DEF concentration applies only if the system includes an alert to inform operators when DEF quality is inadequate. This makes explicit what we believe should have already been understood from the requirement as originally drafted. 
•§ 1042.120: Reduce extended- 
warranty requirements to warranties that are actually provided to the consumer, rather than to any published warranties that are offered. The principle is that the emission-related warranty should not be less effective for emission-related items than for items that are not emission-related. 
•§ 1042.125: Add crankcase vent 
filters to the list of maintenance items. 
•§ 1042.125: Allow for special 
maintenance procedures that address low-use engines. For example, owners of recreational marine vessels may need to perform engine maintenance after a smaller number of hours than would otherwise apply based on the limited engine operation over time. 
•§ 1042.125: Establish a minimum 
maintenance interval of 1500 hours for DEF filters. This reflects the technical capabilities for filter durability and the expected maintenance in the field. 
•§ 1042.135: Clarify that ULSD 
labeling is required only for engines that use sulfur-sensitive technology. If an engine can meet applicable emission standards without depending on the use of ULSD, the manufacturer should not be required to state on the engine that ULSD is required. 
•§ 1042.135: Allow for including 
optional label content only if this does not cause the manufacturer to omit other information based on limited availability of space on the label. We modified the proposed amendment in response to comments to allow for including optional labeling content as long as the additional content doesn’t cause the space limitations that prevent inclusion of other optional information. 
•§ 1042.201: Clarify that 
manufacturers may amend their application for certification after the end of the model year in certain circumstances, but they may not produce engines for a given model year after December 31 of the named year. 
•§ 1042.201: Establish that 
manufacturers may deliver to EPA for testing an engine that is identical to the test engine used for certification. This may be necessary if the test engine has accumulated too many hours, or if it is unavailable for any reason. 
•§§ 1042.205 and 1042.840: Replace 
the requirement to submit data from invalid tests with a requirement to simply notify EPA in the application for certification if test was invalidated. 
•§ 1042.235: Add an explicit 
allowance for carryover engine families to include the same kind of within- family running changes that are currently allowed over the course of a model year. The original text may have been understood to require that such running changes be made separate from certifying the engine family for the new model year. 
•§§ 1042.235, 1042.240, and 
1042.601: Describe how to demonstrate compliance with dual-fuel and flexible- fuel engines. This generally involves testing with each separate fuel, or with a worst-case fuel blend. 
•§ 1042.240: Add instructions for 
calculating deterioration factors for sawtooth deterioration patterns, such as might be expected for periodic maintenance, such as cleaning or replacing diesel particulate filters. 
•§ 1042.250: Remove references to 
routine and standard tests, and remove the shorter recordkeeping requirement 
for routine data (or data from routine tests). All test records must be kept for eight years. With electronic recording of test data, there should be no advantage to keeping the shorter recordkeeping requirement for a subset of test data. EPA also notes that the eight-year period restarts with certification for a 
new model year if the manufacturer uses carryover data. 
•§ 1042.255: Clarify that rendering 
information false or incomplete after submitting it is the same as submitting false or incomplete information. For example, if there is a change to any corporate information or engine parameters described in the manufacturer’s application for certification, the manufacturer must amend the application to include the new information. 
•§ 1042.255: Clarify that voiding 
certificates for a recordkeeping or reporting violation will be limited to certificates that relate to the particular recordkeeping or reporting failure. 
•§ 1042.301: Clarify that the 
requirements to test production engines does not apply for engines that become new and subject to emission standards as remanufactured engines. 
•§ 1042.302: Clarify that 
manufacturers may fulfill the requirement to test each Category 3 production engine by performing the test before or after the engine is installed in the vessel. The largest Category 3 engines are assembled in the vessel, but some smaller Category 3 engines are assembled at a manufacturing facility where they can be more easily tested. Manufacturers must perform such testing on fully assembled production engines rather than relying on test results from test bed engines. 
•§ 1042.501: Provide instruction on 
how to verify proportional sampling for discrete mode testing where only one batch fuel measurement is made over the operating mode. This requires that manufacturers hold sampling constant over the sampling period. Manufacturers will verify proportionality either over a discrete mode by using average exhaust flow rate paired with each recorded sample flow rate, or over the entire duty cycle. 
•§ 1042.501: Remove test procedure 
specifications that are already covered in 40 CFR part 1065. 
•§ 1042.505: Correct the reference to 
the ISO C1 duty cycle in 40 CFR part 1039. 
•§ 1042.515: Remove an incorrect 
cite. 
•§§ 1042.605 and 1042.610: Revise 
the reporting requirement to require detailed information about the previous 
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year, rather than requiring a detailed 
projection for the year ahead. The information required in advance will be limited to a notification of plans to use the provisions of these sections. 
•§ 1042.630: Clarify that dockside 
examinations are not inspections. Vessels subject to Coast Guard inspection are identified in 46 U.S.C. 3301. 
•§§ 1042.601 and 1042.635: Migrate 
the national security exemption to § 1068.225, including the expanded automatic exemption related the standards that would otherwise require sulfur-sensitive technology. See Section XIII.D(2). 
•§ 1042.640: Migrate engine branding 
to § 1068.45. 
•§ 1042.650: Clarify that vessel 
operators may modify certified engines if they will be operated for an extended period outside the United States where ULSD will be unavailable. This does not preclude the possibility of vessel operators restoring engines to a certified configuration in anticipation of bringing the vessel back to the United States. 
•§ 1042.660: Identify the contact 
information for submitting reports related to operation without SCR reductant. 
•§ 1042.670: Specify that gas turbine 
engines are presumed to have an equivalent power density below 35 kW per liter of engine displacement; this is needed to identify which Tier 3 standards apply. 
•§ 1042.701: Clarify that emission 
credits generated under 40 CFR part 94 may be used for demonstrating compliance with the Tier 3 and Tier 4 standards in 40 CFR part 1042. 
•§§ 1042.701 and 1042.730: Describe 
the process for retiring emission credits. This may be referred to as donating credits to the environment. 
•§ 1042.705: Change terminology for 
counting engines from ‘‘point of first retail sale’’ to ‘‘U.S.-direction production volume.’’ This conforms to the usual approach for calculating emission credits for nonroad engines. 
•§ 1042.710: Clarify that it is not 
permissible to show a proper balance of credits for a given model by using emission credits from a future model year. 
•§ 1042.730: Clarify terminology for 
ABT reports. 
•§ 1042.810: Clarify that it is only the 
remanufacturing standards of subpart I, not the certification standards that are the subject of the applicability determination in § 1042.810. 
•§ 1042.830: Add a provision to 
specifically allow voluntary labeling for engines that are not subject to remanufacturing standards, and to clarify that the label is required for 
engines that are subject to remanufacturing standards. 
•§ 1042.901: Update the contact 
information for the Designated Compliance Officer. 
•§ 1042.901: Revise the definition of 
‘‘model year’’ to correct cites and clarify 
that the calendar year relates to the time that engines are produced under a certificate of conformity. 
•§§ 1042.901 and 1042.910: Update 
the reference documents for Annex VI and NO
XTechnical Code to include 
recent changes from the International Maritime Organization. 
•§ 1042.915: Migrate provisions 
related to confidential information to 40 CFR part 1068. 
We proposed to disallow amending 
certified configurations after the end of the model year. However, manufacturers shared in their comments that this would change the field-fix policy that has long since allowed for making such changes. We have retracted the proposed change and replaced it with a new paragraph that describes how manufacturers may amend the application for certification during and after the model year, consistent with the current policy regarding field fixes. 
J. Miscellaneous EPA Amendments 
EPA is clarifying that the cold NMHC 
standards specified in 40 CFR 86.1811– 
17 do not apply at high altitude. We intended in recent amendments to state that the cold CO standards apply at both low and high altitude, but inadvertently placed that statement where it also covered cold NMHC standards, which contradicts existing regulatory provisions that clearly describe the cold NMHC standards as applying only for low-altitude testing. The change simply moves the new clarifying language to apply only to cold CO standards. We are also restoring the cold NMHC standards in paragraph (g)(2), which were inadvertently removed as part of the earlier amendments. 
EPA is revising the specifications for 
Class 2b and Class 3 vehicles certifying early to the Tier 3 exhaust emission standards under 40 CFR 86.1816–18 to clarify that carryover values apply for formaldehyde. The Preamble to the earlier final rule described these standards properly, but the regulations inadvertently pointed to the Tier 3 values for these vehicles. 
EPA is making a minor correction to 
the In-Use Compliance Program under 40 CFR 86.1846–01. The Light-Duty Tier 3 final rule amended this section by describing how to use SFTP test results in the compliance determination in a way that inadvertently removed a reference to low-mileage SFTP testing. 
We are restoring the removed text. 
EPA is revising the instruction for 
creating road-load coefficients for cold 
temperature testing in 40 CFR 1066.710 to simply refer back to 40 CFR 1066.305 where this is described more generally. The text originally adopted in 40 CFR 1066.710 incorrectly describes the calculation for determining those coefficients. 
EPA is also adopting two minor 
amendments related to highway motorcycles. First, we are correcting an error related to the small-volume provisions for highway motorcycles. The regulation included an inadvertent reference to a small-volume threshold based on an annual volume of 3,000 motorcycles produced in the United States. As written, this would not consider any foreign motorcycle production for importation into the United States. This error is corrected by simply revising the text to refer to an annual production volume of motorcycles produced ‘‘for’’ the United States. This change properly reflects small-volume production as it relates to compliance with EPA standards. Second, we are clarifying the language describing how to manage the precision of emission results, both for measured values and for calculating values when applying a deterioration factor. This involves a new reference to the rounding procedures in 40 CFR part 1065 to replace the references to outdated ASTM procedures. 
K. Competition Vehicles 
The proposal included a clarification 
related to vehicles used for competition 
to ensure that the Clean Air Act requirements are followed for vehicles used on public roads. This clarification is not being finalized. EPA supports motorsports and its contributions to the American economy and communities all across the country. EPA’s focus is not (nor has it ever been) on vehicles built or used exclusively for racing, but on companies that violate the rules by making and selling products that disable pollution controls on motor vehicles used on public roads. These unlawful defeat devices lead to harmful pollution and adverse health effects. The proposed language was not intended to represent a change in the law or in EPA’s policies or practices towards dedicated competition vehicles. Since our attempt to clarify led to confusion, EPA has decided to eliminate the proposed language from the final rule. 
EPA will continue to engage with the 
racing industry and others in its support for racing, while maintaining the Agency’s focus where it has always 
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992Section 1319(b) (‘‘Accelerated Decision 
making in Environmental Reviews’’) of the Moving 
Ahead for Progress in the 21st Century Act (MAP– 21), Public Law 112–141, instructed a lead agency on an EIS, ‘‘to the maximum extent practicable,’’ to develop a ‘‘single document that consists of a final environmental impact statement and a record of decision.’’ DOT implemented this provision through guidance, clarifying that ‘‘[i]n the case of a NEPA review for a rulemaking where the final rule is the Record of Decision, the [DOT operating administration] should make the completed FEIS available to the decision maker simultaneously with the final rule, unless it is determined that statutory criteria or practicability considerations preclude issuance of the combined document.’’ See https:// 
www.transportation.gov/sites/dot.gov/files/docs/ 
MAP-21_ 1319_ Final_ Guidance.pdf. Section 1319 
was subsequently repealed by Section 1304(j)(2) of the Fixing America’s Surface Transportation Act (FAST Act), Public Law 114–94. However, in the same Act, Congress codified an identical provision at 49 U.S.C. 304a. FAST Act, Sec. 1311(a). Because the provision requiring, ‘‘to the maximum extent practicable . . . a single document’’ was not otherwise amended, the requirement and DOT’s implementation remain unchanged. 
993The agency’s FEIS is available at its Fuel 
Economy Web site (http://www.nhtsa.gov/fuel- economy/), as well as in Docket No. NHTSA–2014– 0074 on Regulations.gov (http://
www.regulations.gov/). 
994See 40 CFR 1505.2. 
99549 U.S.C. 304a(b)(1)–(2). 
99640 CFR 1502.3. 
99740 CFR 1502.1. 998The agency’s DEIS is available at its Fuel 
Economy Web site (http://www.nhtsa.gov/fuel- 
economy/), as well as in Docket No. NHTSA–2014– 0074 on Regulations.gov (http://
www.regulations.gov/). been: Reducing pollution from the cars 
and trucks that travel along America’s roadways and through our neighborhoods. 
L. Amending 49 CFR Parts 512 and 537 
To Allow Electronic Submissions and Defining Data Formats for Light-Duty Vehicle Corporate Average Fuel Economy (CAFE) Reports 
To improve efficiency and reduce the 
burden to manufacturers and the agencies, NHTSA proposed to amend 49 CFR part 537 to eliminate the option for manufacturers to submit pre-model, mid-model and supplemental reports on CD–ROMS, and require only one electronic submission (for each report) electronically via a method proscribed by NHTSA. NHTSA planned to introduce a new electronic format to standardize the method for collecting manufacturer’s information. NHTSA also proposed modifying 49 CFR part 512 to include and protect submitted CAFE data elements that need to be treated as confidential business information. For the final rule, NHTSA is not finalizing this proposal in this rulemaking but will consider electronic submission for CAFE reports in a future action. 
XIV. Statutory and Executive Order 
Reviews 
A. Executive Order 12866: Regulatory 
Planning and Review and Executive Order 13563: Improving Regulation and Regulatory Review 
This action is an economically 
significant regulatory action that was submitted to the Office of Management and Budget (OMB) for review. Any changes made in response to OMB recommendations have been documented in the docket. The agencies prepared an analysis of the potential costs and benefits associated with this action. This analysis, the ‘‘Regulatory Impact Analysis—Heavy-Duty GHG and Fuel Efficiency Standards,’’ is available in the docket. The analyses contained in this document are also summarized in Sections VII, VIII, and IX of this Preamble. 
B. National Environmental Policy Act 
This section describes NHTSA’s 
Environmental Impact Statement (EIS) 
process under the National Environmental Policy Act (NEPA), 42 U.S.C. 4321–4347, and implementing regulations issued by the Council on Environmental Quality (CEQ), 40 CFR parts 1500–1508, and NHTSA, 49 CFR part 520. Pursuant to 49 U.S.C. 304a(b) and DOT’s ‘‘Final Guidance on MAP–21 Section 1319 Accelerated Decision making in Environmental Reviews,’’
992 
NHTSA is issuing a Final 
Environmental Impact Statement (FEIS)
993concurrently with its final 
rule. This Preamble constitutes the Record of Decision (ROD) for NHTSA’s 
final rule establishing Phase 2 fuel efficiency standards for heavy-duty engines and vehicles.
994NHTSA has 
determined that concurrent issuance of the FEIS and ROD is not precluded by statutory criteria
995or practicability 
considerations. 
The first subsection below describes 
the agency’s NEPA process to date, including its scoping notice and Draft Environmental Impact Statement (DEIS). The second subsection describes the FEIS, and the third subsection discusses the ROD. The final subsection includes other regulatory notices related to environmental concerns. 
(1) Scoping Notice and Draft 
Environmental Impact Statement 
Under NEPA, a Federal agency must 
prepare an EIS on proposals for major Federal actions that significantly affect the quality of the human environment.
996The purpose of an EIS 
is to inform decision makers and the public of the potential environmental impacts of a proposed action and reasonable alternative actions the agency could take.
997The EIS is used by 
the agency, in conjunction with other relevant material, to plan actions and 
make decisions. 
On July 9, 2014, NHTSA published a 
notice of intent to prepare an EIS for this rulemaking and requested scoping comments (79 FR 38842). The notice invited Federal, State, and local agencies, Indian tribes, stakeholders, and the public to participate in the scoping process and to help identify the environmental issues and reasonable alternatives to be examined in the EIS. NHTSA considered the comments received on that notice as it prepared its DEIS. 
NHTSA released a DEIS for this 
rulemaking on June 19, 2015, concurrently with its release of the NPRM.
998NHTSA prepared the DEIS to 
analyze and disclose the potential environmental impacts of the HD fuel consumption standards and a reasonable range of alternatives. Environmental impacts analyzed in the DEIS included those related to fuel and energy use, air quality, and climate change. The DEIS also described potential environmental impacts to a variety of resource areas, including water resources, biological resources, land use and development, safety, hazardous materials and regulated wastes, noise, socioeconomics, and environmental justice. These resource areas were assessed qualitatively in the DEIS. 
The DEIS analyzed five alternative 
approaches to regulating HD vehicle fuel consumption, including a ‘‘preferred alternative’’ and a ‘‘no action alternative.’’ The DEIS evaluated a reasonable range of alternatives under NEPA, and analyzed the direct, indirect, and cumulative impacts of those alternatives in proportion to their significance. 
Because of the link between the 
transportation sector and GHG emissions, NHTSA recognizes the need to consider the possible impacts on climate and global climate change in the analysis of the effects of its fuel consumption standards. NHTSA also recognizes the difficulties and uncertainties involved in such an impact analysis. Accordingly, consistent with CEQ regulations on addressing incomplete or unavailable information in environmental impact analyses, NHTSA reviewed existing credible scientific evidence that was relevant to this analysis and summarized it in the DEIS. NHTSA also employed and summarized the results of research 
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99980 FR 36803 (Jun. 26, 2015). 
100080 FR 53513 (Sep. 4, 2015). 1001See CEQ implementing regulations at 40 CFR 
1506.9; EPA EIS filing guidance at 77 FR 51530 
(Aug. 24, 2012). 
100240 CFR 1505.2. 1003See 40 CFR 1502.2(e), 1502.14(d). CEQ has 
explained that ‘‘[T]he regulations require the analysis of the no action alternative even if the agency is under a court order or legislative command to act. This analysis provides a benchmark, enabling decision makers to compare the magnitude of environmental effects of the action alternatives. [See 40 CFR 1502.14(c).] * * * 
Inclusion of such an analysis in the EIS is necessary to inform Congress, the public, and the President as intended by NEPA. [See 40 CFR 1500.1(a).]’’ 
Forty Most Asked Questions Concerning CEQ’s National Environmental Policy Act Regulations, 46 FR 18026 (Mar. 23, 1981). models generally accepted in the 
scientific community. 
Although the alternatives have the 
potential to decrease GHG emissions substantially, the DEIS found they do not prevent climate change, but only result in reductions in the anticipated increases in CO
2concentrations, 
temperature, precipitation, and sea level. They will also, to a small degree, delay the point at which certain temperature increases and other physical effects stemming from increased GHG emissions will occur. As discussed in the DEIS, NHTSA presumes that these reductions in climate effects will be reflected in reduced impacts on affected resources. The EPA and the U.S. Department of Energy served as cooperating agencies in the preparation of the DEIS. The DEIS informed NHTSA decision makers in their preparation of the NPRM and in the ongoing rulemaking process. In the DEIS and NPRM, NHTSA invited comments on the DEIS from Federal, State, and local agencies, Indian tribes, stakeholders, and the public by August 31, 2015. NHTSA mailed (both electronically and through U.S. mail) notification of its availability to individuals and entities identified in Chapter 10 of the DEIS. In addition, EPA published a Notice of Availability of the DEIS on June 26, 2015, officially triggering the public comment period.
999NHTSA subsequently 
extended the comment period to October 1, 2015.
1000Comments on the 
EIS were also invited at the joint 
NHTSA/EPA public hearings held on the NPRM. 
(2) Final Environmental Impact 
Statement 
NHTSA received many written and 
oral comments to the NPRM and the DEIS. The written comments submitted to NHTSA and the transcripts from the public hearings are part of the administrative record and are available on the Federal Docket, available online at http://www.regulations.gov/ , 
Reference Docket Nos. NHTSA–2014– 0074 and NHTSA–2014–0132. NHTSA reviewed, analyzed, and considered all relevant comments it received during the public comment period. The agency then updated and revised the DEIS to prepare the FEIS, which is being released concurrently with this final rule and ROD. For a more detailed discussion of the comments NHTSA received, including the agency’s responses to those comments, see Chapter 9 of the FEIS. In developing the Phase 2 fuel 
efficiency standards for heavy-duty engines and vehicles adopted in this final rule, NHTSA has been informed by the analyses contained in the Final Environmental Impact Statement, Phase 2 Fuel Efficiency Standards for Medium- and Heavy-Duty Engines and Vehicles, Docket No. NHTSA–2014–0074. 
NHTSA will submit the FEIS to EPA, 
in accordance with CEQ NEPA implementing regulations and EPA guidance.
1001Prior to submission, 
NHTSA will post the FEIS on its Web site and in the public docket, as well as notify stakeholders and interested parties identified in Chapter 11 of the FEIS about its availability (both electronically and through U.S. mail). EPA will then publish a Notice of Availability of the FEIS in the Federal Register. 
(3) Record of Decision 
For Federal actions requiring an EIS, 
the CEQ regulations instruct the action 
agency to prepare a concise public ‘‘record of decision’’ at the time of its decision. The ROD must state: (1) The agency’s decision; (2) all alternatives considered by the agency in reaching its decision, specifying the alternative or alternatives that were considered to be environmentally preferable; (3) the agency’s preferences among alternatives based on relevant factors, including economic and technical considerations and agency statutory missions; (4) the factors balanced by the agency in making its decision, including any essential considerations of national policy; (5) how these factors and considerations entered into the agency’s decision; and (6) whether all practicable means to avoid or minimize environmental harm from the alternative selected have been adopted, and if not, why they were not.
1002As 
stated above, this Preamble constitutes the ROD for NHTSA’s final rule establishing Phase 2 fuel efficiency standards for heavy-duty engines and vehicles. 
(a) The Agency’s Decision 
In the DEIS and FEIS, NHTSA 
identified Alternative 3 as the Preferred 
Alternative. Alternative 3, as analyzed in the FEIS, is the regulation finalized by NHTSA in this rulemaking. The standards would result in significant improvements in fuel efficiency for heavy-duty engines and vehicles. These final standards are included at the end of this document, described extensively in this Preamble, and analyzed for economic and environmental impacts in the RIA and FEIS. 
In sum, after carefully reviewing and 
analyzing all of the information in the public record, RIA, FEIS, and public and agency comments submitted on the DEIS and NPRM, NHTSA has decided to finalize the Preferred Alternative. 
(b) Alternatives NHTSA Considered in 
Reaching Its Decision 
When preparing an EIS, NEPA 
requires an agency to compare the potential environmental impacts of its proposed action and a reasonable range of alternatives. In the DEIS and FEIS, NHTSA analyzed a No Action Alternative and four action alternatives, which represent a range of potential actions the agency could take. The environmental impacts of these alternatives, in turn, represent a range of potential environmental impacts that could result from NHTSA’s chosen action in setting fuel efficiency standards for heavy-duty engines and vehicles. 
The No Action Alternative in the 
DEIS and FEIS assumes that NHTSA would not issue a final rule regarding Phase 2 fuel efficiency standards for heavy-duty engines and vehicles. Instead, it assumes that NHTSA’s Phase 1 standards would continue indefinitely. The No Action Alternative therefore reflects the average fuel efficiency levels and GHG emissions performance that manufacturers would achieve without additional regulation. This alternative provided an analytical baseline against which to compare the environmental impacts of the other alternatives presented in the EIS. NEPA expressly requires agencies to consider a ‘‘no action’’ alternative in their NEPA analyses and to compare the effects of not taking action with the effects of action alternatives in order to demonstrate the environmental effects of the action alternatives.
1003 
In the DEIS, in addition to the No 
Action Alternative, NHTSA analyzed a reasonable range of action alternatives with fuel efficiency standards at various 
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1004The environmental impacts reported for these 
alternatives in the FEIS differ from those reported 
in the DEIS. These differences result from minor changes in modeling assumptions (such as VMT, fleet profile, upstream emission levels, etc.), technology penetration and effectiveness assumptions, and other incremental updates resulting from public comments and additional research. 
1005As a result of these changes, Alternative 3 is 
more stringent than Alternative 4 in some heavy- duty segments, and more stringent overall. NHTSA did not renumber the alternatives (to maintain increasing stringency from Alternative 2 to Alternative 5) in order to allow readers to more easily compare the DEIS to the FEIS, as well as to maintain Alternatives 2, 4, and 5 as benchmarks to which the Preferred Alternative may be compared. 
1006Although NHTSA is required to identify the 
Environmentally Preferable Alternative under the CEQ regulations (40 CFR 1505.2(b)), it is under no obligation to select that alternative in its decision. This ROD explains the agency’s preferences among alternatives, the factors balanced by the agency in making its decision (including environmental considerations), and how the factors and considerations balanced by the agency entered into its decision. 1007For some toxic air pollutants, Alternative 3 is 
the Environmentally Preferable Alternative because it results in the greatest reductions of emissions of those pollutants. However, the greater overall stringency of Alternative 5 results in greater overall emissions reductions among criteria and toxic air pollutants. As a consequence, Alternative 5 results in the greatest reductions of adverse health effects resulting from heavy duty vehicle emissions. 
100840 CFR 1505.2(c). 
100940 CFR 1508.20. levels of stringency, with Alternative 2 
the least stringent and Alternative 5 the most stringent. The exact levels of stringency for each alternative were described in Chapter 2 of the DEIS. As noted in the DEIS, based on the different ways the agency could weigh the various considerations, NHTSA believed that the ‘‘maximum feasible improvement’’ in heavy-duty vehicle and engine fuel efficiency fell within that range. In the FEIS, the levels of stringency for Alternatives 2, 4, and 5 are unchanged from the DEIS and are described in Chapter 2 of the FEIS.
1004 
However, Alternative 3 (the Preferred Alternative) was revised in response to public comments and additional research. The changes to Alternative 3 are explained extensively in this Preamble, and are reflected in the FEIS.
1005 
Alternatives 2 and 5 were intended to 
provide the lower and upper bounds of a reasonable range of alternatives. In the EIS, the agency provided environmental analyses of these points, as well as intermediate points, to enable decision makers and the public to determine the environmental impacts of other points that fall between Alternatives 2 and 5. The action alternatives evaluated in the EIS therefore provided decision makers with the ability to select from a wide variety of other potential alternatives with stringencies that fall between Alternatives 2 and 5. 
According to the FEIS, Alternative 5 
is the overall Environmentally Preferable Alternative because it would result in the largest overall reductions in fuel use and emissions of criteria air 
pollutants, toxic air pollutants, and GHGs among the alternatives considered.
1006Under each action alternative the agency considered, the 
reduction in fuel consumption resulting from greater fuel efficiency causes 
reductions in GHG emissions compared to the No Action Alternative. In addition, as fuel consumption declines, emissions that occur during fuel refining and distribution also decline. While there may be some increases in fuel consumption and associated tailpipe and upstream emissions resulting from increased driving due to the fuel efficiency rebound effect, these increases are more than offset by reductions resulting from the improved fuel efficiency of regulated heavy vehicles, leading to a net reduction in total emissions. The criteria air pollutant, toxic air pollutant, and GHG emissions reductions are anticipated to improve overall health outcomes and reduce the impacts of climate change on the human environment. As Alternative 5 would result in the greatest reductions in fuel consumption, it also results in the lowest total air pollutant and GHG emissions, and is therefore Environmentally Preferable.
1007 
The environmental impacts associated 
with the alternatives under consideration are described in Chapters 3–7 of the FEIS. NHTSA considered these environmental impacts in making its decision, and incorporates that analysis by reference here. 
(c) NHTSA’s Preferences Among 
Alternatives Based on Relevant Factors; Factors Balanced by NHTSA in Making Its Decision; and How These Factors and Considerations Entered Into NHTSA’s Decision 
NHTSA considered various relevant 
factors in setting Phase 2 fuel efficiency standards for heavy-duty engines and vehicles, including economic, technical, and environmental considerations, as well as safety considerations, consistent with the agency’s statutory mission. This Preamble, which constitutes the ROD for NHTSA’s final rule, provides a complete discussion of the agency’s preferences among alternatives based on relevant factors, the factors balanced by the agency in making its decision, and how the factors and considerations balanced by the agency entered into its decision. (d) Mitigation 
The CEQ regulations specify that a 
ROD must ‘‘state whether all practicable 
means to avoid or minimize environmental harm from the alternative selected have been adopted, and if not, why they were not.’’
1008In 
essence, this regulation requires NHTSA to address mitigation in the ROD.
1009 
The overwhelming majority of the environmental effects of NHTSA’s action are positive (i.e., beneficial 
environmental impacts) and would not raise issues of mitigation. Overall emissions of criteria and toxic air pollutants are generally projected to decrease under the final standards as compared to their levels under the No Action Alternative. However, analysis of the environmental trends reported in the FEIS for the Preferred Alternative indicates small emissions increases for some air pollutants in some near-term analysis years. The agency forecasts emissions increases for some alternatives because, under all the alternatives analyzed in the FEIS, increases in vehicle use due to improved fuel efficiency are projected to result in growth in total miles traveled by heavy-duty vehicles. The growth in VMT outpaces emissions reductions for some pollutants, resulting in projected increases for these pollutants. In addition, NHTSA’s NEPA analysis predicted increases in emissions of some air pollutants under certain alternatives based on assumptions about the type of technologies manufacturers will use to comply with the standards (particularly APU use). However, for the reasons described in Section 5.5.2.3 of the RIA, some of those air pollutant increases are no longer anticipated to occur. 
Although limited harmful impacts of 
the final standards are projected in some near-term analysis years in the FEIS, the overall environmental impacts of the final standards are anticipated to be overwhelmingly beneficial. NHTSA’s authority to promulgate new fuel efficiency standards for heavy-duty vehicles and engines does not allow the agency to regulate criteria or toxic air pollutants from vehicles or factors affecting those emissions, such as driving habits. Consequently, NHTSA must set fuel efficiency standards but is unable to take steps to mitigate the limited harmful impacts of those standards. However, EPA has taken additional action in this final rule to control PM emissions resulting from APU use that, for the reasons described 
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101016 U.S.C. 1451–1466 (as amended). in Section 5.5.2.3 of the RIA, would 
mitigate some of the projected harmful impacts. Further, Chapter 8 of the FEIS outlines a number of other initiatives across the government that could ameliorate the environmental impacts of motor vehicle use, including the use of heavy-duty vehicles. 
(4) Other Regulatory Notices Related to 
Environmental Concerns 
This section includes regulatory 
determinations related to environmental 
concerns that are not otherwise included in the FEIS. For example, NHTSA addresses the following in the FEIS: Conformity requirements under the Clean Air Act (Chapter 4.1.1.4), the National Historic Preservation Act (Chapter 7.2), and Environmental Justice (Chapter 7.5). 
(a) Coastal Zone Management Act 
(CZMA) 
The Coastal Zone Management 
Act
1010provides for the preservation, 
protection, development, and (where possible) restoration and enhancement of the nation’s coastal zone resources. Under the statute, States are provided with funds and technical assistance in 
developing coastal zone management programs. Each participating State must submit its program to the Secretary of Commerce for approval. Once the program has been approved, any activity of a Federal agency, either within or outside of the coastal zone, that affects any land or water use or natural resource of the coastal zone must be carried out in a manner that is consistent, to the maximum extent practicable, with the enforceable policies of the State’s program. 
NHTSA concludes that the CZMA is 
not applicable to the agency’s decision because it does not involve any activity within, or outside of, the nation’s coastal zones as intended by the statute. These standards would mitigate some of the anticipated impacts of global climate change, including potential impacts to coastal zones that would otherwise have occurred in the absence of agency action. However, the agency’s action will not directly affect any land or water use or natural resource of a coastal zone. 
The agency has conducted a 
qualitative review of the related direct, indirect, and cumulative impacts of the alternatives on potentially affected resources, including coastal zones, in the FEIS. See Chapter 5.5 of the FEIS. (b) Floodplain Management (Executive 
Orders 11988 and 13690; DOT Order 5650.2) 
These Orders require Federal agencies 
to avoid the long- and short-term adverse impacts associated with the occupancy and modification of floodplains, and to restore and preserve the natural and beneficial values served by floodplains. Executive Order 11988 also directs agencies to minimize the impact of floods on human safety, health, and welfare, and to restore and preserve the natural and beneficial values served by floodplains through evaluating the potential effects of any actions the agency may take in a floodplain and ensuring that its program planning and budget requests reflect consideration of flood hazards and floodplain management. DOT Order 5650.2 sets forth DOT policies and procedures for implementing Executive Order 11988. The DOT Order requires that the agency determine if a proposed action is within the limits of a base floodplain, meaning it is encroaching on the floodplain, and whether this encroachment is significant. If significant, the agency is required to conduct further analysis of the proposed action and any practicable alternatives. If a practicable alternative avoids floodplain encroachment, then the agency is required to implement it. 
In this rulemaking, the agency is not 
occupying, modifying, or encroaching on floodplains. The agency, therefore, concludes that the Orders are not applicable to NHTSA’s decision. The agency has, however, conducted a review of the alternatives on potentially affected resources, including floodplains, in the FEIS. See Chapter 5.5 
of the FEIS. 
(c) Preservation of the Nation’s 
Wetlands (Executive Order 11990 & DOT Order 5660.1A) 
These Orders require Federal agencies 
to avoid, to the extent possible, undertaking or providing assistance for new construction located in wetlands unless the agency head finds that there is no practicable alternative to such construction and that the proposed action includes all practicable measures to minimize harms to wetlands that may result from such use. Executive Order 11990 also directs agencies to take action to minimize the destruction, loss, or degradation of wetlands in ‘‘conducting Federal activities and programs affecting land use, including but not limited to water and related land resources planning, regulating, and licensing activities.’’ DOT Order 5660.1A sets forth DOT policy for interpreting Executive Order 11990 and 
requires that transportation projects ‘‘located in or having an impact on wetlands’’ should be conducted to assure protection of the Nation’s wetlands. If a project does have a significant impact on wetlands, an EIS must be prepared. 
The agency is not undertaking or 
providing assistance for new 
construction located in wetlands. In addition, the agency’s action will not affect land use in wetlands, nor is it a transportation project ‘‘located in or having an impact on wetlands.’’ Therefore, the agency concludes that these Orders do not apply to NHTSA’s decision. The agency has, however, conducted a review of the alternatives on potentially affected resources, including wetlands. See Section 5.5 of 
the FEIS. 
(d) Department of Transportation Act 
(Section 4(f)) 
Section 4(f) of the Department of 
Transportation Act of 1966 (49 U.S.C. 303), as amended, is designed to preserve publicly owned parklands, waterfowl and wildlife refuges, and significant historic sites. Specifically, Section 4(f) provides that DOT agencies cannot approve a transportation program or project that requires the use of any publicly owned land from a significant public park, recreation area, or wildlife and waterfowl refuge, or any land from a significant historic site, and results in a greater than de minimis impact unless a determination is made that: 
DThere is no feasible and prudent 
alternative that completely avoids the use of Section 4(f) property, and 
DThe program or project includes all 
possible planning to minimize harm to the Section 4(f) property resulting from the transportation use. 
This rulemaking is not a 
transportation program or project that requires the use of any publicly owned land. As a result, NHTSA concludes that Section 4(f) is not applicable to NHTSA’s decision. 
C. Paperwork Reduction Act 
The information collection activities 
in these final rules will be submitted for 
approval to the Office of Management and Budget (OMB) under the PRA. The Information Collection Request (ICR) document that EPA prepared has been assigned EPA ICR number 2394.05 and OMB Control Number 2060–0678. You can find a copy of the ICR in the docket for these final rules, and it is briefly summarized here. The burden estimates in this section account for the collective information collection burden imposed 
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by both agencies. The information 
collection requirements are not enforceable until OMB approves them. 
The agencies will collect information 
to ensure compliance with the provisions in these rules. This includes a variety of testing, reporting and recordkeeping requirements for vehicle and engine manufacturers. Section 208(a) of the CAA requires that manufacturers provide information the Administrator may reasonably require to determine compliance with the regulations; submission of the information is therefore mandatory. We will consider confidential all information meeting the requirements of section 208(c) of the CAA. 
Respondents/affected entities: 
Respondents are manufacturers of engines and vehicles within the North American Industry Classification System (NAICS) and use the coding structure as defined by NAICS. 336111, 336112, 333618, 336120, 541514, 811112, 811198, 336111, 336112, 422720, 454312, 541514, 541690, 811198, 333618, 336510, for Motor Vehicle Manufacturers, Engine and Truck Manufacturers, Truck Trailer Manufacturers, Commercial Importers of Vehicles and Vehicle Components, and Alternative Fuel Vehicle Converters and Manufacturers. 
Respondent’s obligation to respond: 
The information that is subject to this 
collection is collected whenever a manufacturer applies for a certificate of conformity. Under section 206 of the CAA (42 U.S.C. 7521), a manufacturer must have a certificate of conformity before a vehicle or engine can be introduced into commerce. 
Estimated number of respondents: It 
is estimated that this collection affects approximately 141 engine and vehicle manufacturers. 
Frequency of response: Annually. 
Total estimated burden: The burden 
to the manufacturers affected by these 
rules has a range based on the number of engines and vehicles a manufacturer produces. The estimated average annual respondent burden associated with the first three implementation years of the Phase 2 program is 61,800 hours (see Table XIV–1). This estimated burden for engine and vehicle manufacturers is an average estimate for both new and existing reporting requirements for calendar years 2017, 2018 and 2019, in which trailer manufacturers will prepare for and begin certifying for Phase 2 while Phase 1 will continue for the other affected manufacturers. Burden is defined at 5 CFR 1320.3(b). Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. 
TABLE XIV–1—B URDEN FOR REPORT -
ING AND RECORDKEEPING REQUIRE -
MENTS  
Number of Affected Engine 
and Vehicle Manufacturers.141. 
Annual Labor Hours for Each 
Manufacturer to Prepare 
and Submit Required In-formation.Varies. 
Total Annual Information 
Collection Burden.61,800 Hours. 
Total estimated cost: The estimated 
average annual cost associated with the 
first three implementation years of the Phase 2 program is approximately $8 million. This includes approximately $3 million in capital and operation & maintenance costs. This estimated cost for engine and vehicle manufacturers is an average estimate for both new and existing testing, recordkeeping, and reporting requirements for calendar years 2017, 2018 and 2019, in which trailer manufacturers will prepare for and begin certifying for Phase 2 while Phase 1 will continue for the other affected manufacturers. 
An agency may not conduct or 
sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control numbers for EPA’s regulations in title 40 are listed in 40 CFR part 9. When OMB approves this ICR, the Agency will announce that approval in the Federal Register and publish a technical 
amendment to 40 CFR part 9 to display the OMB control number for the approved information collection activities contained in this final rule. 
D. Regulatory Flexibility Act 
I certify that this action will not have 
a significant economic impact on a 
substantial number of small entities under the RFA. The small entities subject to the requirements of this action are small businesses. EPA has 
determined that less than 20 percent, and fewer than 100 regulated entities in each sector may experience an impact of greater than one percent of their annual revenue. Details of this analysis are presented in Chapter 12 of the Regulatory Impact Analysis located in the rulemaking docket (EPA–HQ–OAR– 2014–0827), and are summarized below. 
Pursuant to section 603 of the RFA, 
the agencies prepared an initial regulatory flexibility analysis (IRFA) for the proposed rule. Pursuant to section 609(b) of the RFA, the EPA convened a Small Business Advocacy Review (SBAR) Panel to obtain advice and recommendations from representatives of small entities that would potentially be regulated by the rule. A summary of the IRFA and the SBAR Panel’s recommendations is presented in the proposed rule (at 80 FR 40542, July 13, 2015). The Final Panel Report is also available in the rulemaking docket. 
The agencies identified four 
industries that would be potentially affected by this rulemaking: Alternative fuel engine converters, heavy-duty engine manufacturers, vocational vehicle chassis manufacturers, and trailer manufacturers. The agencies proposed and sought comment on the recommendations from the Panel. The flexibilities proposed for the engine manufacturers, engine converters, vocational vehicle manufacturers, and glider manufacturers are adopted in the final rule and fewer than 20 percent of the small entities in those sectors are estimated to incur a burden greater than one percent of their annual revenue. In addition to the flexibilities proposed for the trailer program, the agencies reduced the number of small entities regulated by the final rules by limiting the non-box trailer program to three 
distinct trailer types. As a result, 73 small business trailer manufacturers have zero burden from this rulemaking. Of the remaining small business trailer manufacturers, only 12 percent are estimated to have an economic impact greater than one percent of their annual revenue. As a result of these findings, EPA believes it can certify that these rules will not have a significant economic impact on a substantial number of small entities under the RFA. See Chapter 12.7 and 12.8 of the Regulatory Impact Analysis (RIA) of these rules for a more detailed description of the flexibilities adopted for and economic effects on the small businesses in these sectors. 
(1) Legal Basis for Agency Action 
Heavy-duty vehicles are classified as 
those with gross vehicle weight ratings 
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1011The Small Business Administration amended 
its classification criteria for trailer manufacturers 
between the NPRM and this final rule. The threshold for qualifying as a small business trailer manufacturer is now 1,000 employees. Previously the small business threshold for trailer manufacturers was 500 employees. 1012Although this discussion is written based on 
the assumption that no small businesses produce 
glider kits for others to assemble, the conclusions would also be valid with respect to small entities that produce glider kits for sale, should they exist. (GVWR) of greater than 8,500 lb. section 
202(a) of the Clean Air Act (CAA) allows EPA to regulate new vehicles and new engines by prescribing emission standards for pollutants which the 
Administrator finds ‘‘may reasonably be anticipated to endanger public health or welfare.’’ In 2009, EPA found that six greenhouse gases (GHGs) were anticipated to endanger public health or welfare, and new motor vehicles and new motor vehicle engines contribute to that pollution. This finding was upheld 
by the unanimous court in Coalition for Responsible Regulation v. EPA, 684 F. 
3d 102 (D.C. Cir. 2012). Acting under the authority of the CAA, EPA set the 
first phase of heavy-duty vehicle GHG standards (Phase 1) and specified certification requirements for emissions of four GHGs emitted by mobile sources: carbon dioxide (CO
2), nitrous oxide 
(N2O), methane (CH 4), and 
hydrofluorocarbons (HFC). (2) Summary of Potentially Affected 
Small Entities 
Table XIV–2 provides an overview of 
the primary SBA small business categories potentially affected by this regulation. EPA is not aware of any small businesses that manufacture complete heavy-duty pickup trucks and vans or Class 7 and 8 tractors. 
TABLE XIV–2—P RIMARY SMALL BUSINESS CATEGORIES POTENTIALLY AFFECTED BY THISREGULATION  
Industry expected in rulemaking Industry 
NAICSacode NAICS description Defined as small entity by SBA if 
less than or equal to: 
Alternative Fuel Engine Converters ........................... 333999 
811198 Misc. General Purpose Machinery 
All Other Automotive Repair & 
Maintenance.500 employees. $7.5 million (annual receipts). 
Voc. Vehicle Chassis, Class 7 & 8 Tractor Manufac-
turers.336120 Heavy-Duty Truck Manufacturing .. 1,500 employees. 
HD Trailer Manufacturers ........................................... 336212 Truck Trailer Manufacturing ........... 1,000 employees . 
HD Engine Manufacturers .......................................... 336310 Motor Vehicle Gasoline Engine & 
Engine Parts.1,000 employees. 
Note: 
aNorth American Industrial Classification System. 
EPA used the criteria for small 
entities developed by the Small 
Business Administration under the North American Industry Classification System (NAICS) as a guide. Information about these entities comes from sources including EPA’s certification data, trade association databases, and previous rulemakings that have affected these industries. EPA then found employment information for these companies using the business information database Hoover’s Online (a subsidiary of Dan and Bradstreet). These entities fall under the categories listed in the table. 
The agencies believe there are about 
178 trailer manufacturers and 147 of these manufacturers qualify as small entities with 1,000 employees or less.
1011EPA and NHTSA identified ten 
heavy-duty engine manufacturers that are currently certifying natural gas engines. Six of these companies are small businesses. Seventeen companies meet EPA requirements under 40 CFR part 85 as alternative fuel engine converters. We believe all 17 of the engine converters qualify as small businesses. Currently, 20 manufacturers that make chassis for vocational vehicles certify with EPA under the Phase 1 program and the agencies have identified an additional 19 small vocational chassis manufacturers that 
are not currently certifying under Phase 1. 
Glider kits and glider vehicles are a 
subset of tractor and vocational vehicles under the final Phase 2 rulemaking (including for regulation of criteria pollution emissions). Glider vehicle manufacturers traditionally purchase or manufacture new vehicle bodies (vocational vehicles or Class 7 and 8 tractors) for use with older powertrains and/or complete assembly of these vehicles by installing the powertrain. The agencies were aware of four glider vehicle manufacturers (for whom glider vehicle production was a primary business) at the time of the SBAR Panel and we identified three of these manufacturers as small entities. We are not aware of any small businesses that produce glider kits for others to 
assemble.
1012Public comments to the 
proposed rule indicated that nearly 1,200 purchasers of glider kits, and we presume they would all meet the Act’s definition of ‘‘manufacturer’’, which includes anyone who assembles motor vehicles. See Section I.E.(1)(c). We believe a majority of these manufacturers qualify as small businesses. However, it is likely that few of these entities that purchase glider kits do so as their primary business. It is likely that many (if not most) of these entities assemble gliders for their own 
use from glider kits produced by large heavy-duty vehicle manufacturers. NHTSA is not finalizing fuel efficiency regulations applicable to gliders or glider kits at this time. 
(3) Potential Reporting, Recordkeeping 
and Compliance Burdens 
For any emission control program, 
EPA must have assurances that the regulated products will meet the standards. The program that EPA is adopting for manufacturers subject to this rule will include testing, reporting, and recordkeeping requirements. Testing requirements for these manufacturers include use of EPA’s Greenhouse gas Emissions Model (GEM) vehicle simulation tool to obtain the overall CO
2emissions rate for 
certification of vocational chassis and trailers, aerodynamic testing to obtain aerodynamic inputs to GEM for some tractor and trailer manufacturers and engine dynamometer testing for alternative fuel engine converters to ensure their conversions meet the CO
2, 
CH 4and N 2O engine standards. 
Reporting requirements will likely include emissions test data or model inputs and results, technical data related to the vehicles, and end-of-year sales information. Manufacturers will have to keep records of this information. 
(4) Related Federal Rules 
The primary federal rule that is 
related to the Phase 2 rules under 
consideration is the 2011 Greenhouse 
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Gas Emissions and Fuel Efficiency 
Standards for Medium- and Heavy-Duty Engines and Vehicles (76 FR 57106, September 15, 2011). The Phase 1 program will continue to be in effect in the absence of these final rules. Small businesses are exempt under the Phase 1 program. California adopted its own greenhouse gas initiative, which places aerodynamic requirements on trailers used in long-haul applications. 
(5) Summary of SBREFA Panel Process 
and Panel Outreach 
(a) Significant Panel Findings 
The Small Business Advocacy Review 
Panel (SBAR Panel, or the Panel) 
considered regulatory options and flexibilities to help mitigate potential adverse effects on small businesses as a result of these rules. During the SBREFA Panel process, the Panel sought out and received comments on the regulatory options and flexibilities that were presented to SERs and Panel members. The recommendations of the Panel are described below and are also located in the SBREFA Final Panel Report, which is available in the public docket. 
(b) Panel Process 
As required by section 609(b) of the 
RFA, as amended by SBREFA, we also 
conducted outreach to small entities and convened an SBAR Panel to obtain advice and recommendations of representatives of the small entities that potentially will be subject to the rule’s requirements. On October 22, 2014, EPA’s Small Business Advocacy Chairperson convened a Panel under section 609(b) of the RFA. In addition to the Chair, the Panel consisted of the Division Director of the Assessment and Standards Division of EPA’s Office of Transportation and Air Quality, the Chief Counsel for Advocacy of the Small Business Administration, and the Administrator of the Office of Information and Regulatory Affairs within the Office of Management and Budget. 
As part of the SBAR Panel process, we 
conducted outreach with representatives of small businesses that will potentially be affected by the final rulemaking. We met with these Small Entity Representatives (SERs) to discuss the potential rulemaking approaches and potential options to decrease the impact of the rulemaking on their industries. We distributed outreach materials to the SERs; these materials included background on the rulemaking, possible regulatory approaches, and possible rulemaking alternatives. The Panel met with SERs from the industries that will be directly affected by the Phase 2 rules on November 5, 2014 (trailer manufacturers) and November 6, 2014 (engine converters and vocational vehicle chassis manufacturers) to discuss the outreach materials and receive feedback on the approaches and alternatives detailed in the outreach packet. The Panel also met with SERs on July 19, 2014 for an initial, introductory outreach meeting, and held a supplementary outreach meeting with the trailer manufacturer SERs on October 28, 2014. The Panel received written comments from the SERs following each meeting in response to discussions had at the meeting and the questions posed to the SERs by the agency. The SERs were specifically asked to provide comment on regulatory alternatives that could help to minimize the rule’s impact on small businesses. 
The Panel’s findings and discussions 
were based on the information that was available during the Panel process and issues that were raised by the SERs during the outreach meetings and in their comments. It was agreed that EPA should consider the issues raised by the SERs and discussions had by the Panel itself, and that EPA should consider comments on flexibility alternatives that would help to mitigate negative impacts on small businesses to the extent legally allowable by the Clean Air Act. 
Alternatives discussed throughout the 
Panel process included those offered in previous or current EPA rulemakings, as well as alternatives suggested by SERs and Panel members. A summary of these recommendations is detailed below, and a full discussion of the regulatory alternatives and hardship provisions discussed and recommended by the Panel can be found in the SBREFA Final Panel Report. A complete discussion of the provisions for which we are requesting comment and/or proposing in this action can be found in Sections IV.E and V.D of this Preamble with a summary in Chapter 12 of the RIA. Also, the Panel Report includes all comments received from SERs (Appendix B of the Report) and summaries of the two outreach meetings that were held with the SERs. In accordance with the RFA/SBREFA requirements, the Panel evaluated the aforementioned materials and SER comments on issues related to the IRFA. The Panel’s recommendations from the Final Panel Report are discussed below. 
(c) Panel Recommendations 
(i) Small Business Trailer Manufacturers 
Comments from trailer manufacturer 
SERs indicated that these companies are 
familiar with most of the technologies presented during our outreach, but have 
no experience with EPA certification and do not anticipate they could manage the accounting and reporting requirements without additional staff and extensive training. Performance testing, which is a common requirement for many of EPA’s regulatory programs, is largely unfamiliar to these small business manufacturers and the SERs believed the cost of testing would be a significant burden on their companies. In light of this feedback, the Panel recommended a combination of streamlined compliance and targeted exemptions for these small businesses based on the specific trailer types that they manufacture. The Panel believed these strategies would achieve many of the benefits for the environment by driving adoption of CO
2-reducing 
technologies, while significantly reducing the burden that these new regulations would introduce on small businesses. 
(ii) Box Trailer Manufacturers 
Box trailer manufacturers have the 
benefit of relying on the aerodynamic 
technology development initiated through EPA’s voluntary SmartWay program. The Panel was aware that EPA planned to propose a simplified compliance program for all manufacturers, in which aerodynamic device manufacturers have the 
opportunity to test and certify their devices with EPA as technologies that can be used by trailer manufacturers in their trailer certification. This pre- approved technology strategy was intended to provide all trailer manufacturers a means of complying with the standards without the burden of testing. In the event that this strategy is limited to the early years of the trailer program for all manufacturers, the Panel recommended that small manufacturers continue to be given the option to use pre-approved devices in lieu of testing. 
In the event that small trailer 
manufacturers adopt pre-approved aerodynamic technologies and the appropriate tire technologies for compliance, the Panel recommended an alternative compliance pathway in which small business trailer manufacturers could simply report to EPA that all of their trailers include approved technologies in lieu of collecting all of the required inputs for the GEM vehicle simulation. 
(iii) Non-Box Trailer Manufacturers 
The Panel recommended no 
aerodynamic requirements for non-box 
trailers. The non-box trailer SERs indicated that they had no experience installing aerodynamic devices and had 
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only seen them in prototype-level 
demonstrations. In terms of the aerodynamic devices currently in use, most non-box trailer SERs identified unique operations in which their trailers are used that preclude the use of those technologies. 
Some non-box trailer manufacturers 
had experience with LRR tires and ATI systems. However, the non-box trailer manufacturer SERs indicated that LRR tires are not currently available for some of their trailer types. The SERs noted that tire manufacturers are currently focused on box trailer applications and there are only a few LRR tire models that meet the needs of their customers. The Panel recommended EPA ensure appropriate availability of these tires in order for it to be deemed a feasible means of achieving these standards and recommended a streamlined compliance process based on the availability of technologies. The Panel suggested the best compliance option from a small business perspective would be for EPA to pre-approve tires, similar to the approach being proposed for aerodynamic technologies, and to maintain a list that could be used to exempt small businesses when no suitable tires are available. However, the Panel recognized the difficulties of maintaining an up-to-date list of 
certified technologies. The Panel recommended that, if EPA did not adopt the list-based approach, the agency consider a simplified letter-based compliance option that allows manufacturers to petition EPA for an exemption if they are unable to identify tires that meet the LRR performance requirements on a trailer family basis. 
(iv) Non-Highway Trailer Manufacturers 
The Panel recommended excluding 
all trailers that spend a significant 
amount of time in off-road applications. These trailers may not spend much time at highway speeds and aerodynamic devices may interfere with the vehicle’s intended purpose. Additionally, tires with lower rolling resistance may not provide the type of traction needed in off-road applications. 
(v) Compliance Provisions for all Small 
Trailer Manufacturers 
Due to the potential for reducing a 
small business’s competitiveness compared to the larger manufacturers, as well as the ABT recordkeeping burden, the Panel recommended that EPA consider small business flexibilities to allow small entities to opt out of ABT without placing themselves at a competitive disadvantage to larger firms that adopt ABT, such as a low volume exemption or requiring only LRR where appropriate. EPA was asked 
to consider flexibilities for small businesses that would ease and incentivize their participation in ABT, such as streamlined the tracking requirements for small businesses. In addition, the Panel recommended that EPA request comment on the feasibility and consequences of ABT for the trailer program and additional flexibilities that will promote small business participation. 
(vi) Lead Time Provisions for all Small 
Trailer Manufacturers 
For all trailer types that will be 
included in the rule, the Panel recommended a 1-year delay in implementation for small trailer manufacturers at the start of the program to allow them additional lead time to make the proper staffing adjustments and process changes and possibly add new infrastructure to meet these requirements. In the event that EPA is unable to provide pre-approved technologies for manufacturers to choose for compliance, the Panel recommended that EPA provide small business trailer manufacturers an additional 1-year delay for each subsequent increase in stringency. This additional lead time will allow these small businesses to research and market the technologies required by the new standards. 
(vii) Small Business Alternative Fuel 
Engine Converters 
To reduce the compliance burden of 
small business engine converters who convert engines in previously-certified complete vehicles, the Panel recommended allowing engine compliance to be sufficient for certification—meaning that the converted vehicle would not need to be 
recertified as a vehicle. This 
recommended flexibility would eliminate the need for these small manufacturers to gather all of the additional component-level information in addition to the engine CO
2 
performance necessary to properly certify a vehicle with GEM (e.g., transmission data, aerodynamic performance, tire rolling resistance, etc.). In addition, the Panel recommended that small engine converters be able to submit an engineering analysis, in lieu of measurement, to show that their converted engines do not increase N
2O 
emissions. Many of the small engine converters are converting SI-engines, and the catalysts in these engines are not expected to substantially impact N
2O production. Small engine 
converters that convert CI-engines could likely certify by ensuring that their 
controls require changes to the SCR dosing strategies. 
The Panel did not recommend 
separate standards for small business natural gas engine manufacturers. The Panel stated that it believes this would discourage entrance for small manufacturers into this emerging market by adding unnecessary costs to a technology that has the potential to reduce CO
2tailpipe emissions. In 
addition, the Panel noted that additional leakage requirements beyond a sealed crankcase for small business natural gas- fueled CI engines and requirements to follow industry standards for leakage could be waived for small businesses with minimal impact on overall GHG emissions. 
Finally, the Panel recommended that 
small engine converters receive a one- year delay in implementation for each increase in stringency throughout the program. This flexibility will provide small converters additional lead time to obtain the necessary equipment and 
perform calibration testing if needed. 
(viii) Emergency Vehicle Chassis 
Manufacturers 
Fire trucks, and many other 
emergency vehicles, are built for high level of performance and reliability in severe-duty applications. Some of the CO
2-reducing technologies listed in the 
materials could compromise the fire truck’s ability to perform its duties and many of the other technologies simply provide no benefit in real-world emergency applications. The Panel recommended proposing less stringent standards for emergency vehicle chassis manufactured by small businesses. The Panel suggested that feasible standards could include adoption of LRR tires at the baseline Phase 2 level and installation of a Phase 2-compliant engine. In addition, the Panel recommended a simplified certification approach for small manufacturers who make chassis for emergency vehicles that reduces the number of inputs these manufacturers must obtain for GEM. 
(ix) Off-Road Vocational Vehicle Chassis 
Manufacturers 
At the time of the Panel process, 
EPA’s intent was to continue the exemptions in Phase 1 for off-road and low-speed vocational vehicles (see generally 76 FR 57175). These provisions currently apply for vehicles that are defined as ‘‘motor vehicles’’ per 40 CFR 85.1703, but may conduct most of their operations off-road. Vehicles qualifying under these provisions must comply with the applicable engine standard, but need not comply with a 
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1013The Panel was unaware of the enormous 
incrase in glider vehicle production in recent years, 
and its attendant adverse environmental impacts. See section XIII.B.(3) and (4) and RTC Section 14.2. vehicle-level GHG standard. The Panel 
concluded this exemption is sufficient to cover the small business chassis manufacturers who design chassis for off-road vocational vehicles. 
(x) Custom Chassis Manufacturers 
The Panel concluded that chassis 
designed for specialty operations often 
have limited ability to adopt CO
2and 
fuel consumption-reducing technologies due to their unique use patterns. In addition, the manufacturers of these chassis have very small annual sales volumes. The Panel recommended that EPA propose a low volume exemption for these custom chassis manufacturers. The Panel did not receive sufficient information to recommend a specific sales volume, but recommended that EPA request comment on how to design a small business exemption by means of a volume exemption, and an appropriate annual sales volume threshold. 
(xi) Glider Manufacturers 
The Panel was aware that EPA would 
like to reduce the production of glider 
vehicles that have higher emissions of criteria pollutants like NO
Xand PM 
than current engines, and which could have higher GHG emissions than Phase 2 engines. However, the Panel estimated that the number of vehicles produced by the small businesses who manufacture glider kits is too small to have a substantial impact on the total heavy- duty GHG inventory and recommended that existing small businesses be allowed to continue assembling glider vehicles without having to comply with the GHG requirements.
1013The Panel 
recommended that EPA establish an allowance for existing small business glider manufacturers to produce some number of glider vehicles for legitimate purposes, such as for newer vehicles badly damaged in crashes. The Panel recommended that any other limitations on small business glider production be flexible enough to allow sales levels as high as the peak levels in the 2010–2012 timeframe. 
E. Unfunded Mandates Reform Act 
This action contains a federal 
mandate under UMRA, 2 U.S.C. 1531– 
1538, that may result in expenditures of $100 million or more for state, local and tribal governments, in the aggregate, or the private sector in any one year. Accordingly, the agencies have prepared a statement required under section 202 of UMRA. The statement is included in the docket for this action and briefly 
summarized here. 
The agencies have prepared a 
statement of the cost-benefit analysis as required by section 202 of the UMRA; this discussion can be found in this Preamble, and in the RIA. The agencies believe that this action represents the least costly, most cost-effective approach to achieve the statutory requirements of the rules. Section IX explains why the agencies believe that the fuel savings that will result from this action will lead to lower prices economy wide, improving U.S. international competitiveness. The costs and benefits associated with this action are discussed in more detail above in Section IX and in the Regulatory Impact Analysis, as required by the UMRA. 
This action is not subject to the 
requirements of section 203 of UMRA because it contains no regulatory 
requirements that might significantly or uniquely affect small governments. 
F. Executive Order 13132: Federalism 
This action does not have federalism 
implications. It will not have substantial 
direct effects on the states, on the relationship between the national government and the states, or on the distribution of power and responsibilities among the various levels of government. 
In the spirit of Executive Order 13132, 
and consistent with EPA policy to promote communications between EPA and State and local governments, EPA specifically solicited comment from State and local officials on the proposed rules. 
NHTSA notes that EPCA contains a 
provision (49 U.S.C. 32919(a)) that expressly preempts any State or local government from adopting or enforcing a law or regulation related to fuel economy standards or average fuel economy standards for automobiles covered by an average fuel economy standard under 49 U.S.C. Chapter 329. However, commercial medium- and heavy-duty on-highway vehicles and work trucks are not ‘‘automobiles,’’ as defined in 49 U.S.C. 32901(a)(3). In Phase 1 NHTSA concluded that EPCA’s express preemption provision will not reach the fuel efficiency standards to be established in this rulemaking. NHTSA is reiterating that conclusion here for the Phase 2 standards. 
NHTSA also considered the issue of 
implied or conflict preemption. The possibility of such preemption is dependent upon there being an actual conflict between a standard established by NHTSA in this rulemaking and a State or local law or regulation. See Spriestma v. Mercury Marine, 537 U.S. 51, 64–65 (2002). At present, NHTSA 
has no knowledge of any State or local law or regulation that will actually conflict with one of the fuel efficiency standards to be established in this rulemaking. 
G. Executive Order 13175: Consultation 
and Coordination With Indian Tribal Governments 
This action does not have tribal 
implications as specified in Executive Order 13175. These rules will be implemented at the Federal level and impose compliance costs only on vehicle and engine manufacturers. Tribal governments will be affected only to the extent they purchase and use regulated vehicles. Thus, Executive Order 13175 does not apply to this action. 
Although Executive Order 13175 does 
not apply to this action, EPA and NHTSA specifically solicited additional comment from tribal officials in developing this action. 
H. Executive Order 13045: Protection of 
Children From Environmental Health Risks and Safety Risks 
This action is subject to Executive 
Order 13045 because it is an 
economically significant regulatory action as defined by Executive Order 12866, and the agencies believe that the environmental health or safety risk addressed by this action may have a disproportionate effect on children. Accordingly, we have evaluated the environmental health or safety effects of these risks on children. The results of this evaluation are discussed below. 
A synthesis of the science and 
research regarding how climate change may affect children and other vulnerable subpopulations is contained in the Technical Support Document for Endangerment or Cause or Contribute Findings for Greenhouse Gases under section 202(a) of the Clean Air Act, which can be found in the public docket for this action. In making those findings, EPA Administrator placed weight on the fact that certain groups, including children, are particularly vulnerable to climate-related health effects. In those findings, EPA Administrator also determined that the health effects of climate change linked to observed and projected elevated concentrations of GHGs include the increased likelihood of more frequent and intense heat waves, increases in ozone concentrations over broad areas of the country, an increase of the severity of extreme weather events such as hurricanes and floods, and increasing severity of coastal storms due to rising sea levels. These effects can all increase 
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1014U.S. Environmental Protection Agency. 
(2009). Metabolically-derived ventilation rates: a 
revised approach based upon oxygen consumption rates. Washington, DC: Office of Research and Development. EPA/600/R–06/129F. http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=202543. 
1015Foos, B.; Marty, M.; Schwartz, J.; Bennet, W.; 
Moya, J.; Jarabek, A.M.; Salmon, A.G. (2008) Focusing on children’s inhalation dosimetry and health effects for risk assessment: an introduction. J Toxicol Environ Health 71A: 149–165. 
1016U.S. Environmental Protection Agency. 
(2005). Supplemental guidance for assessing susceptibility from early-life exposure to carcinogens. Washington, DC: Risk Assessment Forum. EPA/630/R–03/003F. http://www3.epa.gov/ 
raf/publications/pdfs/childrens _supplement_
final.pdf. mortality and morbidity, especially in 
vulnerable populations such as children, the elderly, and the poor. In addition, the occurrence of wildfires in North America have increased and are likely to intensify in a warmer future. PM emissions from these wildfires can contribute to acute and chronic illnesses of the respiratory system, including pneumonia, upper respiratory diseases, asthma, and chronic obstructive pulmonary disease, especially in children. 
The agencies have estimated 
reductions in projected global mean surface temperature and sea level rise as a result of reductions in GHG emissions associated with the standards finalized in this action (Section VII and NHTSA’s FEIS). Due to their vulnerability, children may receive disproportionate benefits from these reductions in temperature and the subsequent reduction of increased ozone and severity of weather events. 
Children are also more susceptible 
than adults to many air pollutants because of differences in physiology, higher per body weight breathing rates and consumption, rapid development of the brain and bodily systems, and behaviors that increase chances for exposure. Even before birth, the developing fetus may be exposed to air pollutants through the mother that affect development and permanently harm the individual. 
Infants and children breathe at much 
higher rates per body weight than adults, with infants under one year of age having a breathing rate up to five times that of adults.
1014In addition, 
children breathe through their mouths 
more than adults and their nasal passages are less effective at removing pollutants, which leads to a higher deposition fraction in their lungs.
1015 
Certain motor vehicle emissions 
present greater risks to children as well. Early life stages (e.g., children) are 
thought to be more susceptible to tumor development than adults when exposed to carcinogenic chemicals that act through a mutagenic mode of action.
1016 Exposure at a young age to these 
carcinogens could lead to a higher risk of developing cancer later in life. 
The adverse effects of individual air 
pollutants may be more severe for children, particularly the youngest age groups, than adults. The Integrated Science Assessments and Criteria Documents for a number of pollutants affected by these rules, including those for NO
2, SO 2, PM, ozone and CO, 
describe children as a group with greater susceptibility. Section VIII.A.8 
discusses a number of childhood health outcomes associated with proximity to roadways, including evidence for exacerbation of asthma symptoms and suggestive evidence for new onset asthma. In general, these studies do not identify the specific contaminants associated with adverse effects, instead addressing the near-roadway environment as one containing numerous exposures potentially associated with adverse health effects. 
There is substantial evidence that 
people who live or attend school near major roadways are more likely to be of a minority race, Hispanic ethnicity, and/ or low SES. Within these highly exposed groups, children’s exposure and susceptibility to health effects is greater than adults due to school-related and seasonal activities, behavior, and physiological factors. 
Section VIII.C and NHTSA’s FEIS 
describe the expected emissions reductions for non-GHG co-pollutants resulting from these standards. These emissions reductions will lead to reductions in ambient concentrations of PM
2.5, ozone and other non-GHG co- 
pollutants. Children are not expected to experience greater ambient concentrations of air pollutants than the general population. However, because of their greater susceptibility to air pollution and their increased time spent outdoors, it is likely that these standards will have particular benefits for children’s health. 
I. Executive Order 13211: Actions 
Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use 
This action is not a ‘‘significant 
energy action’’ because it is not likely to have a significant adverse effect on the supply, distribution or use of energy. In fact, these rules have a positive effect on energy supply and use. Because the combination of the fuel economy standards and the GHG emission standards will result in significant fuel savings, this action encourages more efficient use of fuels. Therefore, we have concluded that this action is not likely to have any adverse energy effects. Our energy effects analysis is described above in Section IX and NHTSA’s FEIS. 
J. National Technology Transfer and 
Advancement Act and 1 CFR Part 51 
This action involves technical 
standards. 
The agencies are using the following 
voluntary consensus standards from SAE International: 
•SAE J1025 (August 2012) is a 
voluntary consensus standard describing how to determine a tire’s characteristic value for revolutions per mile. This replaces the proposed approach in which we instructed manufacturers to determine and use tire diameter as an input for modeling vehicle emissions. 
•SAE J1252 (July 2012) is a voluntary 
consensus standards that describes aerodynamic measurement procedures for wind tunnels. Heavy-duty vehicle testing already relies on these reference standards under 40 CFR part 1066. 
•SAE J1263 (March 2010) and SAE 
J2263 (December 2008) are voluntary consensus standards that together establish a test protocol to determine road-load coefficients for properly testing vehicles on a chassis dynamometer to simulate in-use operating conditions. Heavy-duty vehicle testing already relies on these reference standards under 40 CFR part 1066. 
•SAE J1594 (July 2010) is a voluntary 
consensus standards that describes vehicle aerodynamics terminology. Heavy-duty vehicle testing already relies on these reference standards under 40 CFR part 1066. 
•SAE J1930 (October 2008) is a 
voluntary consensus standards that describes terms and abbreviations for engine and vehicle technologies. We are adopting an updated standard to reflect the current version. 
•SAE J2071 (Revised June 1994) is a 
voluntary consensus standards that describes specifications for wind tunnels. 
•SAE J2343 (July 2008). This 
voluntary consensus standard establishes a minimum hold time for LNG-fueled vehicles following a refueling event before the tank vents to relieve pressure. This is described further in Section XIII.A.3. 
•SAE J2452 (June 1999) is a 
voluntary consensus standards that describes a procedure for measuring tire rolling resistance as part of a coastdown procedure. 
•SAE J2966 (September 2013) is a 
voluntary consensus standards that 
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1017EPA 2009. Technical Support Document for 
Endangerment and Cause of Contribute Findings for 
Greenhouse Gases under section 202(a) of the Clean Air Act. Available at: http://www3.epa.gov/ climatechange/Downloads/endangerment/Endangerment_ TSD.pdf. describes a protocol for using 
computational fluid dynamics to determine aerodynamic drag. 
The regulations for the Phase 1 
standards included a reference to SAE J1526 as a test procedure for measuring in-use fuel consumption. An updated version of SAE J1526 was adopted in September 2015. As noted in the proposed rule, we are revising the regulations to reference the updated version of SAE J1526. All SAE documents are available from the publisher’s Web site at www.sae.org. 
We are adopting a standard to 
facilitate measurement with fourier transform infrared (FTIR) analyzers— ASTM D6348 (February 2012). We are also adopting an updated version of ASTM D4809–13, which specifies test methods for determining the heat of combustion of liquid hydrocarbon fuels for both Phase 1 and Phase 2 standards. 
We are referencing a new supplement 
to ANSI NGV1, which we already use for defining system requirements for compressed natural gas vehicles. The supplement from the same publisher is known as CSA IR–1–15, ‘‘Compressed Natural Gas Vehicle (NGV) High Flow Fueling Connection Devices.’’ This documents is available from the ANSI Web site at www.ansi.org. The supplement will eventually be incorporated into ANSI NGV1, at which point we would no longer need to reference to CSA IR–1–15. 
This action also involves technical 
standards for which there is no available voluntary consensus standard. First, the agencies are adopting greenhouse gas emission standards for heavy-duty vehicles that depend on computer modeling to predict an emission rate based on various engine and vehicle characteristics. Such a model is not available from other sources, so EPA has developed the Greenhouse Gas Emission Model as a simulation tool for demonstrating compliance with emission standards. See Section II for a detailed description of the model. A working version of this software is available for download at http://www3.epa.gov/otaq/climate/gem.htm. 
Second, 40 CFR part 1037 includes 
several test procedures involving calculation with numerous physical quantities. We are incorporating by reference NIST Special Publication 811 to allow for standardization and consistency of units and nomenclature. This standard, which already applies for 40 CFR parts 1065 and 1066, is published by the National Institute of Standards and Technology (Department of Commerce) and is available at no charge at www.nist.gov. Third, the amendments for marine 
diesel engines involve technical standards related to the requirements that apply internationally. There are no voluntary consensus documents that address these technical standards. In earlier rulemakings, EPA has adopted an incorporation by reference for MARPOL Annex VI and the NO
XTechnical code 
in 40 CFR parts 1042 and 1043. The International Maritime Organization adopted changes to these documents in 2013 and 2014, which need to be reflected in 40 CFR parts 1042 and 1043. EPA recently adopted the updated reference documents in 40 CFR part 1043. As noted in Section XIV.H.4, this rule includes the remaining step of incorporating the updated IMO documents by reference in 40 CFR part 1042. All these documents are available at www.imo.org. 
K. Executive Order 12898: Federal Actions To Address Environmental Justice in Minority Populations and Low-Income Populations 
The agencies believe the human 
health or environmental risk addressed by this action will not have potential disproportionately high and adverse human health or environmental effects on minority, low-income or indigenous populations. The results of this evaluation are discussed below. 
With respect to GHG emissions, the 
agencies have determined that these final rules will not have disproportionately high and adverse human health or environmental effects on minority, low-income or indigenous populations because they increase the level of environmental protection for all affected populations without having any disproportionately high and adverse human health or environmental effects on any population, including any minority, low-income or indigenous population. The reductions in CO
2and 
other GHGs associated with the standards will affect climate change projections, and the agencies have estimated reductions in projected global mean surface temperatures (Section VII and NHTSA’s FEIS). Within communities experiencing adverse impacts related to climate change, certain parts of the population may be especially vulnerable; these include the poor, the elderly, those already in poor health, the disabled, those living alone, and/or indigenous populations dependent on one or a few resources.
1017 For non-GHG co-pollutants such as 
ozone, PM 2.5, and toxics, the agencies 
have concluded that it is not practicable 
to determine whether there will be disproportionately high and adverse human health or environmental effects on minority, low income and/or indigenous populations from these rules. As discussed in Section VIII and NHTSA’s FEIS, however, based on the magnitude of the non-GHG co-pollutant emissions changes predicted to result from these standards, EPA and NHTSA expect that there will be improvements in ambient air quality that will likely help in mitigating the disparity in racial, ethnic, and economically-based exposures. 
L. Endangered Species Act (ESA) 
Section 7(a)(2) of the ESA requires 
federal agencies, in consultation with 
the National Oceanic and Atmospheric Administration Fisheries Service and/or the U.S. Fish and Wildlife Service (FWS), to ensure that actions they authorize, fund, or carry out are not likely to jeopardize the continued existence of federally listed endangered or threatened species or result in the destruction or adverse modification of 
designated critical habitat of such species. 16 U.S.C. 1536(a)(2). Under relevant implementing regulations, section 7(a)(2) applies only to actions where there is discretionary federal involvement or control. 50 CFR 402.03. Further, consultation is required only for actions that ‘‘may affect’’ listed species or critical habitat. 50 CFR 402.14. Consultation is not required where the action has no effect on such species or habitat. Under this standard, it is the federal agency taking the action that evaluates the action and determines whether consultation is required. See 51 
FR 19926, 19949 (June 3, 1986). Effects of an action include both the direct and indirect effects that will be added to the environmental baseline. 50 CFR 402.02. Indirect effects are those that are caused by the action, later in time, and that are reasonably certain to occur. Id. To 
trigger a consultation requirement, there must be a causal connection between the federal action, the effect in question, and the listed species, and the effect must be reasonably certain to occur. 
As discussed in this Preamble and the 
FEIS, the agencies note that the projected environmental effects of this rule are highly positive. However, the fact that the rule will have overall positive effects on the environment does not mean that the rule ‘‘may affect’’ any listed species or designated critical 
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1018See, e.g., 73 FR 28212, 28300 (May 15, 2008); 
73 FR 76249 (Dec. 16, 2008); Memorandum from 
David Longly Bernhardt, Solicitor, U.S. Department of the Interior re: ‘‘Guidance on the Applicability of the Endangered Species Act’s Consultation Requirements to Proposed Actions Involving the Emission of Greenhouse Gases’’ (Oct. 3, 2008). habitat within the meaning of ESA 
section 7(a)(2) or the implementing regulations or require ESA consultation. We have carefully considered various types of potential environmental effects, including emissions of GHGs and non- GHGs, in reaching the conclusion that ESA consultation is not required for this rule. 
With respect to the projected GHG 
emission reductions, we are mindful of significant legal and technical analysis undertaken by FWS and the U.S. Department of the Interior in the context of listing the polar bear as a threatened species under the ESA. In that context, in 2008, FWS and DOI expressed the view that the best scientific data available were insufficient to draw a causal connection between GHG emissions and effects on the species in its habitat.
1018The DOI Solicitor 
concluded that where the effect at issue is climate change, actions involving GHG emissions cannot pass the ‘‘may affect’’ test of the section 7 regulations and thus are not subject to ESA consultation. Similarly, for this action, in the absence of a causal connection between the final rules and an effect to listed species or critical habitat that is reasonably certain to occur, no consultation is required. 
The agencies have also previously 
considered issues relating to GHG emissions in connection with the requirements of ESA section 7(a)(2). Although the GHG emission reductions projected for this rule are large, EPA evaluated comparable or larger reductions in assessing this same issue in the context of the light duty vehicle 
GHG emission standards for model years 2012–2016 and 2017–2025. There the agency projected emission reductions comparable to, or greater than those projected here over the lifetimes of the model years in question and, based on air quality modeling of potential environmental effects, concluded that ‘‘EPA knows of no modeling tool which can link these small, time-attenuated changes in global metrics to particular effects on listed species in particular areas. Extrapolating from global metric to local effect with such small numbers, and accounting for further links in a causative chain, remain beyond current modeling capabilities.’’ EPA, Light Duty Vehicle Greenhouse Gas Standards and Corporate Average Fuel Economy Standards, Response to Comment 
Document for Joint Rulemaking at 4–102 
(Docket EPA–OAR–HQ–2009–4782). EPA reached this conclusion after evaluating issues relating to potential improvements relevant to both temperature and oceanographic pH outputs. EPA’s ultimate finding was that ‘‘any potential for a specific impact on listed species in their habitats associated with these very small changes in average global temperature and ocean pH is too remote to trigger the 
threshold for ESA section 7(a)(2).’’ Id. EPA and NHTSA believe that the same conclusion will apply to the present final rule, given that the projected CO
2 
emission reductions are comparable to or less than those projected for either of the light duty vehicle rules. See Section VII.D.2 and Table VII–41 of this Preamble; See also, e.g., Ground Zero 
Center for Non-Violent Action v. U.S. 
Dept. of Navy, 383 F. 3d 1082, 1091–92 (9th Cir. 2004) (where the likelihood of jeopardy to a species from a federal action is extremely remote, ESA does not require consultation). 
M. Congressional Review Act (CRA) 
This action is subject to the CRA, and 
the agencies will submit a rule report to 
each House of the Congress and to the Comptroller General of the United States. This action is a ‘‘major rule’’ as defined by 5 U.S.C. 804(2). 
XV. EPA and NHTSA Statutory 
Authorities 
As described below, the regulations 
being adopted are authorized separately for EPA and NHTSA under the agencies’ respective statutory authorities. See Section I for a discussion of these authorities. 
A. EPA 
Statutory authority for the vehicle 
controls is found in CAA section 202(a) 
(which authorizes standards for emissions of pollutants from new motor vehicles that emissions cause or contribute to air pollution which may reasonably be anticipated to endanger public health or welfare), and CAA sections 202(d), 203–209, 216, and 301 (42 U.S.C. 7521(a), 7521(d), 7522–7543, 7550, and 7601). 
EPA makes certain proposed rules 
available to the Science Advisory Board (SAB), including rules subject to 42 U.S.C. 4365 and rules which are not, but which EPA believes should be made available to the SAB. EPA provided information to the SAB about this rulemaking and on June 11, 2014, the chartered SAB discussed the recommendations of its work group on the planned action and agreed that no further SAB consideration of the rule or its supporting science was merited. We note further that the substantial NAS report to NHTSA and to Congress evaluating medium- and heavy-duty truck fuel efficiency improvement opportunities (see Section I.A.2 (g) above) would serve as a surrogate for SAB consultation. See American Petroleum Inst. v. EPA, 665 F. 2d 1176, 
1189 (D.C. Cir. 1981). 
B. NHTSA 
Statutory authority for the fuel 
consumption standards is found in 
section 103 of the Energy Independence and Security Act of 2007, 49 U.S.C. 32902(k). EISA authorizes a fuel efficiency improvement program, designed to achieve the maximum feasible improvement to be created for commercial medium- and heavy-duty on-highway vehicles and work trucks, to implement appropriate test methods, measurement metrics, fuel economy standards, and compliance and enforcement protocols that are appropriate, cost-effective and technologically feasible. To the extent motor vehicle safety is implicated, NHTSA’s authority to regulate it is also derived from the National Traffic and Motor Vehicle Safety Act, 49 U.S.C. 30101 et seq. 
List of Subjects 
40 CFR Part 9 
Reporting and recordkeeping 
requirements. 40 CFR Part 22 
Administrative practice and 
procedure, Air pollution control, 
Hazardous substances, Hazardous waste, Penalties, Pesticides and pests, Poison prevention, Water pollution control. 
40 CFR Part 85 
Confidential business information, 
Imports, Labeling, Motor vehicle 
pollution, Reporting and recordkeeping requirements, Research, Warranties. 
40 CFR Part 86 
Administrative practice and 
procedure, Confidential business 
information, Incorporation by reference, Labeling, Motor vehicle pollution, Reporting and recordkeeping requirements. 
40 CFR Part 600 
Administrative practice and 
procedure, Electric power, Fuel 
economy, Incorporation by reference, Labeling, Reporting and recordkeeping requirements. 
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40 CFR Part 1033 
Administrative practice and 
procedure, Air pollution control. 
40 CFR Parts 1036 and 1037 
Environmental protection, 
Administrative practice and procedure, 
Air pollution control, Confidential business information, Incorporation by reference, Labeling, Motor vehicle pollution, Reporting and recordkeeping requirements, Warranties. 
40 CFR Part 1039 
Environmental protection, 
Administrative practice and procedure, 
Air pollution control, Confidential business information, Imports, Labeling, Penalties, Reporting and recordkeeping requirements, Warranties. 
40 CFR Part 1042 
Environmental protection, 
Administrative practice and procedure, 
Air pollution control, Confidential business information, Imports, Incorporation by reference, Labeling, Penalties, Reporting and recordkeeping requirements, Vessels, Warranties. 
40 CFR Part 1043 
Environmental protection, 
Administrative practice and procedure, 
Air pollution control, Imports, Incorporation by reference, Vessels, Reporting and recordkeeping requirements. 
40 CFR Parts 1065 and 1066 
Administrative practice and 
procedure, Air pollution control, 
Incorporation by reference, Reporting and recordkeeping requirements, Research. 
40 CFR Part 1068 
Administrative practice and 
procedure, Confidential business 
information, Imports, Incorporation by reference, Motor vehicle pollution, Penalties, Reporting and recordkeeping requirements, Warranties. 
49 CFR Parts 523, 534, and 535 
Fuel economy, Reporting and 
recordkeeping requirements. 49 CFR Part 538 
Administrative practice and 
procedure, Fuel economy, Motor 
vehicles, Reporting and recordkeeping requirements. 
For the reasons set out in the 
Preamble, title 40, chapter I of the Code of Federal Regulations is amended as set forth below. 
PART 9—OMB APPROVALS UNDER 
THE PAPERWORK REDUCTION ACT 
■1. The authority citation for part 9 
continues to read as follows: Authority: 7 U.S.C. 135 et seq., 136–136y; 
15 U.S.C. 2001, 2003, 2005, 2006, 2601–2671; 
21 U.S.C. 331j, 346a, 31 U.S.C. 9701; 33 U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318, 
1321, 1326, 1330, 1342, 1344, 1345(d) and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 1971–1975 Comp. p. 973; 42 U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g–1, 300g–2, 300g–3, 300g–4, 300g–5, 300g–6, 300j–1, 300j–2, 300j–3, 300j–4, 300j–9, 1857 et seq., 6901–6992k, 7401–7671q, 7542, 9601–9657, 11023, 11048. 
■2. In § 9.1 the table is amended by: 
■a. Adding in numerical order by CFR 
designation a new undesignated center 
heading ‘‘Control of Emissions from New and In-Use Heavy-Duty Highway Engines’’ and its entry in numerical order for ‘‘1036.825’’; 
■b. Adding in numerical order by CFR 
designation a new undesignated center heading ‘‘Control of Emissions from New Heavy-Duty Motor Vehicles’’ and its entry in numerical order for ‘‘1037.825’’; and 
■c. Adding in numerical order by CFR 
designation a new undesignated center heading ‘‘Control of NO
XSO X, and PM 
Emissions from Marine Engines and Vessels Subject to the MARPOL Protocol’’ and its entries in numerical order for ‘‘1043.40–1043.95’’. 
The additions read as follows: 
§ 9.1 OMB approvals under the Paperwork 
Reduction Act. 
* * * * * 
40 CFR citation OMB control No. 
*******  
Control of Emissions From New and In-Use Heavy-Duty Highway Engines 
1036.825 ...................................................................................................................................................................................... 2060–0678 
Control of Emissions From New Heavy-Duty Motor Vehicles 
1037.825 ...................................................................................................................................................................................... 2060–0678 
*******  
Control of NO X, SO X, and PM Emissions From Marine Engines and Vessels Subject to the Marpol Protocol 
1043.40–1043.95 ......................................................................................................................................................................... 2060–0641 
*******  
* * * * * 
PART 22—CONSOLIDATED RULES OF 
PRACTICE GOVERNING THE ADMINISTRATIVE ASSESSMENT OF CIVIL PENALTIES AND THE REVOCATION/TERMINATION OR SUSPENSION OF PERMITS 
■3. The authority citation for part 22 
continues to read as follows: Authority: 7 U.S.C. 136(l); 15 U.S.C. 2615; 
33 U.S.C. 1319, 1342, 1361, 1415 and 1418; 
42 U.S.C. 300g–3(g), 6912, 6925, 6928, 6991e and 6992d; 42 U.S.C. 7413(d), 7524(c), 7545(d), 7547, 7601 and 7607(a), 9609, and 11045. 
Subpart A—General 
■4. Section 22.1 is amended by revising 
paragraph (a)(2) to read as follows: § 22.1 Scope of this part. 
(a) * * * 
(2) The assessment of any 
administrative civil penalty under 
sections 113(d), 205(c), 211(d) and 213(d) of the Clean Air Act, as amended (42 U.S.C. 7413(d), 7524(c), 7545(d) and 7547(d)), and a determination of nonconforming engines, vehicles or equipment under sections 207(c) and 
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213(d) of the Clean Air Act, as amended 
(42 U.S.C. 7541(c) and 7547(d)); 
* * * * * 
Subpart C—Prehearing Procedures 
■5. Section 22.34 is revised to read as 
follows: 
§ 22.34 Supplemental rules governing the 
administrative assessment of civil penalties under the Clean Air Act. 
(a) Scope. This section shall apply, in 
conjunction with §§ 22.1 through 22.32, 
in administrative proceedings to assess a civil penalty conducted under sections 113(d), 205(c), 211(d), and 213(d) of the Clean Air Act, as amended (42 U.S.C. 7413(d), 7524(c), 7545(d), and 7547(d)), and a determination of nonconforming engines, vehicles or equipment under sections 207(c) and 213(d) of the Clean Air Act, as amended (42 U.S.C. 7541(c) and 7547(d)). Where inconsistencies exist between this section and §§ 22.1 through 22.32, this section shall apply. 
(b) Issuance of notice. Prior to the 
issuance of a final order assessing a civil penalty or a final determination of nonconforming engines, vehicles or equipment, the person to whom the order or determination is to be issued shall be given written notice of the proposed issuance of the order or determination. Service of a complaint or a consent agreement and final order pursuant to § 22.13 satisfies these notice requirements. 
PART 85—CONTROL OF AIR 
POLLUTION FROM MOBILE SOURCES 
■6. The authority citation for part 85 
continues to read as follows: 
Authority: 42 U.S.C. 7401–7671q. 
Subpart F—Exemption of Clean Alternative Fuel Conversions from Tampering Prohibition 
■7. Section 85.525 is revised to read as 
follows: 
§ 85.525 Applicable standards. 
To qualify for an exemption from the 
tampering prohibition, vehicles/engines that have been converted to operate on a different fuel must meet emission standards and related requirements as described in this section. The modified vehicle/engine must meet the requirements that applied for the OEM vehicle/engine, or the most stringent OEM vehicle/engine standards in any allowable grouping. Fleet average standards do not apply unless clean alternative fuel conversions are specifically listed as subject to the standards. (a) If the vehicle/engine was certified 
with a Family Emission Limit for NO
X, 
NO X+HC, NO X+NMOG, or particulate 
matter, as noted on the vehicle/engine 
emission control information label, the modified vehicle/engine may not exceed this Family Emission Limit. 
(b) Compliance with greenhouse gas 
emission standards is demonstrated as follows: 
(1) Subject to the following exceptions 
and special provisions, compliance with light-duty vehicle greenhouse gas emission standards is demonstrated by complying with the N
2O and CH 4 
standards and provisions set forth in 40 CFR 86.1818–12(f)(1) and the in-use CO
2 
exhaust emission standard set forth in 40 CFR 86.1818–12(d) as determined by the OEM for the subconfiguration that is identical to the fuel conversion emission data vehicle (EDV): 
(i) If the OEM complied with the 
light-duty greenhouse gas standards using the fleet averaging option for N
2O 
and CH 4, as allowed under 40 CFR 
86.1818–12(f)(2), the calculations of the carbon-related exhaust emissions require the input of grams/mile values for N
2O and CH 4, and you are not 
required to demonstrate compliance with the standalone CH
4and N 2O 
standards. 
(ii) If the OEM complied with 
alternate standards for N 2O and/or CH 4, 
as allowed under 40 CFR 86.1818– 12(f)(3), you may demonstrate 
compliance with the same alternate standards. 
(iii) If the OEM complied with the 
nitrous oxide (N
2O) and methane (CH 4) 
standards and provisions set forth in 40 CFR 86.1818–12(f)(1) or (3), and the fuel conversion CO
2measured value is lower 
than the in-use CO 2exhaust emission 
standard, you also have the option to convert the difference between the in- use CO
2exhaust emission standard and 
the fuel conversion CO 2measured value 
into GHG equivalents of CH 4and/or 
N2O, using 298 g CO 2to represent 1 g 
N2O and 25 g CO 2to represent 1 g CH 4. 
You may then subtract the applicable converted values from the fuel conversion measured values of CH
4and/ 
or N 2O to demonstrate compliance with 
the CH 4and/or N 2O standards. 
(iv) Optionally, compliance with 
greenhouse gas emission requirements may be demonstrated by comparing emissions from the vehicle prior to the fuel conversion to the emissions after the fuel conversion. This comparison must be based on FTP test results from the emission data vehicle (EDV) representing the pre-conversion test group. The sum of CO
2, CH 4, and N 2O 
shall be calculated for pre- and post- conversion FTP test results, where CH
4 and N 2O are weighted by their global 
warming potentials of 25 and 298, 
respectively. The post-conversion sum of these emissions must be lower than the pre-conversion conversion greenhouse gas emission results. CO
2 
emissions are calculated as specified in 40 CFR 600.113–12. If statements of compliance are applicable and accepted in lieu of measuring N
2O, as permitted 
by EPA regulation, the comparison of the greenhouse gas results also need not measure or include N
2O in the before 
and after emission comparisons. 
(2) Compliance with heavy-duty 
engine greenhouse gas emission standards is demonstrated by complying with the CO
2, N2O, and CH 4standards 
(or FELs, as applicable) and provisions set forth in 40 CFR 1036.108 for the engine family that is represented by the fuel conversion emission data engine (EDE). The following additional provisions apply: 
(i) If the fuel conversion CO
2 
measured value is lower than the CO 2 
standard (or FEL, as applicable), you have the option to convert the difference between the CO
2standard (or FEL, as 
applicable) and the fuel conversion CO 2 
measured value into GHG equivalents of CH
4and/or N 2O, using 298 g/hp-hr CO 2 
to represent 1 g/hp-hr N 2O. Similarly, 
you may use 34 g/hp-hr CO 2to 
represent 1 g/hp-hr CH 4for model year 
2021 and later engines, and you may use 25 g/hp-hr CO
2to represent 1 g/hp-hr 
CH 4for earlier engines. You may then 
subtract the applicable converted values from the fuel conversion measured values of CH
4and/or N 2O to 
demonstrate compliance with the CH 4 
and/or N 2O standards (or FEL, as 
applicable). 
(ii) Small volume conversion 
manufacturers may demonstrate 
compliance with N 2O standards based 
on an engineering analysis. 
(iii) For conversions of engines 
installed in vocational vehicles subject to Phase 2 standards under 40 CFR 1037.105 or in tractors subject to Phase 2 standards under 40 CFR 1037.106, conversion manufacturers may omit a demonstration related to the vehicle- based standards, as long as they have a reasonable technical basis for believing that the modified vehicle continues to meet those standards. 
(3) Subject to the following exceptions 
and special provisions, compliance with greenhouse gas emission standards for heavy-duty vehicles subject to 40 CFR 86.1819 is demonstrated by complying with the N
2O and CH 4standards and 
provisions set forth in 40 CFR 86.1819 and the in-use CO
2exhaust emission 
standard set forth in 40 CFR 86.1819– 14(b) as determined by the OEM for the 
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subconfiguration that is identical to the 
fuel conversion emission data vehicle (EDV): 
(i) If the OEM complied with alternate 
standards for N
2O and/or CH 4, as 
allowed under 40 CFR 86.1819–14(c) you may demonstrate compliance with the same alternate standards. 
(ii) If you are unable to meet either the 
N
2O or CH 4standards and your fuel 
conversion CO 2measured value is lower 
than the in-use CO 2exhaust emission 
standard, you may also convert the difference between the in-use CO
2 
exhaust emission standard and the fuel conversion CO
2measured value into 
GHG equivalents of CH 4and/or N 2O, 
using 298 g CO 2to represent 1 g N 2O. 
Similarly, you may use 34 g CO 2to 
represent 1 g CH 4.for model year 2021 
and later vehicles, and you may use 25 g CO
2to represent 1 g CH 4for earlier 
vehicles. You may then subtract the applicable converted values from the fuel conversion measured values of CH
4 
and/or N 2O to demonstrate compliance 
with the CH 4and/or N 2O standards. 
(iii) You may alternatively comply 
with the greenhouse gas emission requirements by comparing emissions from the vehicle before and after the fuel conversion. This comparison must be based on FTP test results from the emission data vehicle (EDV) representing the pre-conversion test group. The sum of CO
2, CH 4, and N 2O 
shall be calculated for pre- and post- conversion FTP test results, where CH
4 
and N 2O are weighted by their global 
warming potentials as described in paragraph (b)(3)(ii) of this section. The post-conversion sum of these emissions must be lower than the pre-conversion greenhouse gas emission result. Calculate CO
2emissions as specified in 
40 CFR 600.113. If we waive N 2O 
measurement requirements based on a statement of compliance, disregard N
2O 
for all measurements and calculations under this paragraph (b)(3)(iii). 
(c) Conversion systems for engines 
that would have qualified for chassis certification at the time of OEM certification may use those procedures, even if the OEM did not. Conversion manufacturers choosing this option must designate test groups using the appropriate criteria as described in this subpart and meet all vehicle chassis certification requirements set forth in 40 CFR part 86, subpart S. 
Subpart O—Urban Bus Rebuild 
Requirements 
■8. Section 85.1406 is amended by 
revising paragraph (f)(2) to read as follows: § 85.1406 Certification. 
* * * * * 
(f) * * * 
(2) If the equipment certifier disagrees 
with such determination of 
nonconformity and so advises the Agency, the Administrator shall afford the equipment certifier and other interested persons an opportunity to present their views and evidence in support thereof at a public hearing conducted in accordance with procedures found in 40 CFR part 1068, subpart G. 
Subpart P—Importation of Motor 
Vehicles and Motor Vehicle Engines 
■9. Section 85.1508 is amended by 
revising paragraph (c) to read as follows: 
§ 85.1508 ‘‘In Use’’ inspections and recall 
requirements. 
* * * * * 
(c) A certificate holder will be notified 
whenever the Administrator has determined that a substantial number of a class or category of the certificate holder’s vehicles or engines, although properly maintained and used, do not conform to the regulations prescribed under section 202 when in actual use throughout their useful lives (as determined under section 202(d)). After such notification, the Recall Regulations at 40 CFR part 1068, subpart G, shall govern the certificate holder’s responsibilities and references to a manufacturer in the Recall Regulations shall apply to the certificate holder. 
■10. Section 85.1513 is amended by 
revising paragraph (e)(4) to read as follows: 
§ 85.1513 Prohibited acts; penalties. 
* * * * * 
(e) * * * 
(4) Hearings on suspensions and 
revocations of certificates of conformity 
or of eligibility to perform modification/ testing under § 85.1509 shall be held in accordance with 40 CFR part 1068, subpart G. 
* * * * * 
Subpart R—Exclusion and Exemption 
of Motor Vehicles and Motor Vehicle Engines 
■11. Section 85.1701 is amended by 
revising paragraph (a)(1) to read as follows: 
§ 85.1701 General applicability. 
(a) * * * 
(1) Beginning January 1, 2014, the 
exemption provisions of 40 CFR part 
1068, subpart C, apply instead of the provisions of this subpart for heavy- duty motor vehicle engines regulated under 40 CFR part 86, subpart A, except that the nonroad competition exemption of 40 CFR 1068.235 and the nonroad hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 1068.255 do not apply for motor vehicle engines. 
* * * * * 
■12. Section 85.1703 is amended by 
adding paragraph (b) to read as follows: 
§ 85.1703 Definition of motor vehicle. 
* * * * * 
(b) Note that, in applying the criterion 
in paragraph (a)(2) of this section, 
vehicles that are clearly intended for operation on highways are motor vehicles. Absence of a particular safety feature is relevant only when absence of that feature would prevent operation on highways. 
■13. Section 85.1706 is amended by 
revising paragraph (b) to read as follows: 
§ 85.1706 Pre-certification exemption. 
* * * * * 
(b) Any manufacturer that desires a 
pre-certification exemption and is in the business of importing, modifying or testing uncertified vehicles for resale under the provisions of 40 CFR 85.1501 through 85.1515, must send the request to the Designated Compliance Officer as specified in 40 CFR 1068.30. The Designated Compliance Officer may require such manufacturers to submit information regarding the general nature of the fleet activities, the number of vehicles involved, and a demonstration that adequate record-keeping procedures for control purposes will be employed. 
■14. Section 85.1711 is revised to read 
as follows: 
§ 85.1711 Submission of exemption 
requests. 
Requests for exemption or further 
information concerning exemptions 
and/or the exemption request review procedure should be addressed to the Designated Compliance Officer as specified at 40 CFR 1068.30. 
§§ 85.1713 and 85.1714 [Removed] 
■15. Remove and reserve §§ 85.1713 
and 85.1714. 
Subpart T—Emission Defect Reporting 
Requirements 
■16. Section 85.1901 is revised to read 
as follows: 
§ 85.1901 Applicability. 
(a) The requirements of this subpart 
shall be applicable to all 1972 and later model year motor vehicles and motor vehicle engines, except that the provisions of 40 CFR 1068.501 apply 
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instead for heavy-duty motor vehicle 
engines certified under 40 CFR part 86, subpart A, and for heavy-duty motor vehicles certified under 40 CFR part 1037 starting January 1, 2018. 
(b) The requirement to report 
emission-related defects affecting a given class or category of vehicles or engines shall remain applicable for five years from the end of the model year in which such vehicles or engines were manufactured. 
■17. Section 85.1902 is revised to read 
as follows: 
§ 85.1902 Definitions. 
For the purposes of this subpart and 
unless otherwise noted: 
(a) Act means the Clean Air Act, 42 
U.S.C. 7401–7671q, as amended. 
(b) Emission-related defect means: 
(1) A defect in design, materials, or 
workmanship in a device, system, or assembly described in the approved Application for Certification that affects any parameter or specification enumerated in appendix VIII of this part; or 
(2) A defect in the design, materials, 
or workmanship in one or more emission-related parts, components, systems, software or elements of design which must function properly to ensure continued compliance with emission standards. 
(c) Useful life has the meaning given 
in section 202(d) of the Act (42 U.S.C.7521(d)) and regulations promulgated thereunder. 
(d) Voluntary emissions recall means 
a repair, adjustment, or modification program voluntarily initiated and conducted by a manufacturer to remedy any emission-related defect for which direct notification of vehicle or engine owners has been provided, including programs to remedy defects related to emissions standards for CO
2,CH 4, N2O, 
and/or carbon-related exhaust emissions. 
(e) Ultimate purchaser has the 
meaning given in section 216 of the Act (42 U.S.C.7550). 
(f) Manufacturer has the meaning 
given in section 216 of the Act (42 U.S.C.7550). 
■18. Section 85.1906 is amended by 
revising paragraph (a) to read as follows: 
§ 85.1906 Report filing: Record retention. 
(a) The reports required by §§ 85.1903 
and 85.1904 shall be sent to the Designated Compliance Officer as specified at 40 CFR 1068.30. 
* * * * * Subpart V—Emissions Control System 
Performance Warranty Regulations and Voluntary Aftermarket Part Certification Program 
■19. Section 85.2109 is amended by 
revising paragraph (a)(6) to read as follows: 
§ 85.2109 Inclusion of warranty provisions 
in owners’ manuals and warranty booklets. 
(a) * * * 
(6) An explanation that an owner may 
obtain further information concerning 
the emission performance warranty or that an owner may report violations of the terms of the Emission Performance Warranty by contacting the Designated Compliance Officer as specified at 40 CFR 1068.30 (Attention: Warranty Claim). 
* * * * * 
■20. Section 85.2110 is amended by 
revising paragraph (b) to read as follows: 
§ 85.2110 Submission of owners’ manuals 
and warranty statements to EPA. 
* * * * * 
(b) All materials described in 
paragraph (a) of this section shall be 
sent to the Designated Compliance Officer as specified at 40 CFR 1068.30 (Attention: Warranty Booklet). 
PART 86 —CONTROL OF EMISSIONS 
FROM NEW AND IN–USE HIGHWAY VEHICLES AND ENGINES 
■21. The authority citation for part 86 
continues to read as follows: 
Authority: 42 U.S.C. 7401–7671q. 
■22. Section 86.1 is amended by adding 
paragraph (c)(2), revising paragraph (g)(4), and removing and reserving paragraph (g)(5). 
The addition and revision read as 
follows: 
§ 86.1 Incorporation by reference. 
* * * * * 
(c) * * * 
(2) CSA IR–1–15, Compressed Natural 
Gas Vehicle (NGV) High Flow Fueling 
Connection Devices—Supplement to NGV 1–2006, ANSI approved August 26, 2015, IBR approved for § 86.1813– 17(f), 
* * * * * 
(g) * * * 
(4) SAE J1877, Recommended Practice 
for Bar-Coded Vehicle Identification 
Number Label, July 1994, IBR approved for § 86.1807–01(f). 
(5) [Reserved] 
* * * * * 
■23. Revise the heading of subpart A to 
read as follows: Subpart A—General Provisions for Heavy-Duty Engines and Heavy-Duty Vehicles 
§ 86.001–35 [Removed] 
■24. Remove § 86.001–35. 
■25. Section 86.004–2 is amended by 
revising the definition of ‘‘Emergency vehicle’’ to read as follows: 
§ 86.004–2 Definitions. 
* * * * * 
Emergency vehicle has the meaning 
given in 40 CFR 1037.801. 
* * * * * 
■26. Section 86.004–25 is amended as 
follows: 
■a. By revising the introductory text 
and paragraph (b)(3)(iii)(A). 
■b. By removing paragraph (b)(3)(vi). 
■c. By revising paragraphs (b)(4)(i), 
(b)(4)(iii)(D), (b)(4)(iii)(F), and 
(b)(6)(i)(E). 
■d. By adding paragraph (i). 
The addition and revisions read as 
follows: 
§ 86.004–25 Maintenance. 
Section 86.004–25 includes text that 
specifies requirements that differ from § 86.094–25. Where a paragraph in § 86.094–25 is applicable to § 86.004– 25, this may be indicated by specifying the corresponding paragraph and the statement ‘‘[Reserved]. For guidance see § 86.094–25.’’. 
* * * * * 
(b) * * * 
(3) * * * (iii) * * * (A) Crankcase ventilation valves and 
filters. 
* * * * * 
(4) * * * 
(i) For diesel-cycle heavy-duty 
engines, the adjustment, cleaning, repair, or replacement of the following items shall occur at 50,000 miles (or 1,500 hours) of use and at 50,000-mile (or 1,500-hour) intervals thereafter: 
(A) Exhaust gas recirculation system 
related filters and coolers. 
(B) Crankcase ventilation valves and 
filters. 
(C) Fuel injector tips (cleaning only). (D) DEF filters. 
* * * * * 
(iii) * * * (D) Particulate trap or trap oxidizer 
systems including related components (adjustment and cleaning only for filter element, replacement of the filter element is not allowed during the useful life). 
* * * * * 
(F) Catalytic converter (adjustment 
and cleaning only for catalyst beds, 
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replacement of the bed is not allowed 
during the useful life). 
* * * * * 
(6)(i) * * * 
(E) Crankcase ventilation valves and 
filters. 
* * * * * 
(i) Notwithstanding the provisions of 
paragraph (b)(4) and (6) of this section, 
manufacturers may schedule replacement or repair of particulate trap (or trap oxidizer) systems or catalytic converters (including NO
Xadsorbers), 
provided that the manufacturer demonstrates to the Administrator’s satisfaction that the repair or replacement will be performed according to the schedule and the manufacturer pays for the repair or replacement. 
■27. Section 86.004–28 is amended by 
revising paragraph (i) introductory text and adding paragraph (j) to read as follows: 
§ 86.004–28 Compliance with emission 
standards. 
* * * * * 
(i) This paragraph (i) describes how to 
adjust emission results from model year 
2020 and earlier heavy-duty engines equipped with exhaust aftertreatment to account for regeneration events. This provision only applies for engines equipped with emission controls that are regenerated on an infrequent basis. For the purpose of this paragraph (i), the term ‘‘regeneration’’ means an event during which emission levels change while the aftertreatment performance is being restored by design. Examples of regenerations are increasing exhaust gas temperature to remove sulfur from an adsorber or increasing exhaust gas temperature to oxidize PM in a trap. For the purpose of this paragraph (i), the term ‘‘infrequent’’ means having an expected frequency of less than once per transient test cycle. Calculation and use of adjustment factors are described in paragraphs (i)(1) through (5) of this section. If your engine family includes engines with one or more AECDs for emergency vehicle applications approved under paragraph (4) of the definition of defeat device in § 86.004– 2, do not consider additional regenerations resulting from those AECDs when calculating emission factors or frequencies under this paragraph (i). 
* * * * * 
(j) For model year 2021 and later 
engines using aftertreatment technology 
with infrequent regeneration events that may occur during testing, take one of the following approaches to account for the emission impact of regeneration: (1) You may use the calculation 
methodology described in 40 CFR 1065.680 to adjust measured emission results. Do this by developing an upward adjustment factor and a downward adjustment factor for each pollutant based on measured emission data and observed regeneration frequency as follows: 
(i) Adjustment factors should 
generally apply to an entire engine family, but you may develop separate adjustment factors for different configurations within an engine family. Use the adjustment factors from this section for all testing for the engine family. 
(ii) You may use carryover or carry- 
across data to establish adjustment factors for an engine family as described in § 86.001–24(f), consistent with good engineering judgment. 
(iii) Identify the value of F in each 
application for the certification for which it applies. 
(2) You may ask us to approve an 
alternate methodology to account for regeneration events. We will generally limit approval to cases where your engines use aftertreatment technology with extremely infrequent regeneration and you are unable to apply the provisions of this section. 
(3) You may choose to make no 
adjustments to measured emission results if you determine that regeneration does not significantly affect emission levels for an engine family (or configuration) or if it is not practical to identify when regeneration occurs. If you choose not to make adjustments under paragraph (j)(1) or (2) of this section, your engines must meet emission standards for all testing, without regard to regeneration. 
§ 86.004–30 [Removed] 
■28. Remove § 86.004–30. 
■29. Section 86.007–11 is amended by 
■a. Revising the introductory text and 
paragraphs (a)(1)(ii) and (iii), (2)(ii), and (g). 
■b. Adding and reserving paragraph (i). 
■c. Adding paragraph (j). 
The revisions and addition read as 
follows: 
§ 86.007–11 Emission standards and 
supplemental requirements for 2007 and later model year diesel heavy-duty engines and vehicles. 
This section applies to new 2007 and 
later model year diesel heavy-duty 
engines and vehicles. Starting in model year 2021, this section also applies to all heavy HDE, regardless of fuel or combustion cycle (see 40 CFR 1036.140(a) and 1036.150(c)). Section 86.007–11 includes text that specifies requirements that differ from § 86.004– 11. Where a paragraph in § 86.004–11 is identical and applicable to § 86.007–11, this may be indicated by specifying the corresponding paragraph and the statement ‘‘[Reserved]. For guidance see § 86.004–11.’’ 
(a)(1) * * * 
(ii)(A) Nonmethane hydrocarbon 
(NMHC) for engines fueled with diesel 
fuel. 0.14 grams per brake horsepower- 
hour (0.052 grams per megajoule). 
(B) Nonmethane-nonethane 
hydrocarbon (NMNEHC) for engines fueled with natural gas or liquefied petroleum gas. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule). 
(C) Nonmethane hydrocarbon 
equivalent (NMHCE) for engines fueled with methanol. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule). 
(iii) Carbon monoxide. 15.5 grams per 
brake horsepower-hour (5.77 grams per megajoule). 
* * * * * 
(2) * * * 
(ii) Shut down the engine after 
completing the test interval and allow 
20±1 minutes to elapse. This is the hot soak. 
* * * * * 
(g) Model year 2018 and later engines 
at or above 56 kW that will be installed 
in specialty vehicles as allowed by 40 CFR 1037.605 may meet alternate emission standards as follows: 
(1) The engines must be of a 
configuration that is identical to one that is certified under 40 CFR part 1039, and meet the following additional standards using the same duty cycles that apply under 40 CFR part 1039: 
(i) The engines must be certified with 
a Family Emission Limit for PM of 0.020 g/kW-hr. 
(ii) Diesel-fueled engines using 
selective catalytic reduction must meet an emission standard of 0.1 g/kW-hr for N
2O. 
(2) Except as specified in this 
paragraph (g), engines certified under this paragraph (g) must meet all the requirements that apply under 40 CFR part 1039 instead of the comparable provisions in this subpart A. Before shipping engines under this section, you must have written assurance from the vehicle manufacturers that they need a certain number of exempted engines under this section. In your annual production report under 40 CFR 1039.250, count these engines separately and identify the vehicle manufacturers that will be installing them. Treat these engines as part of the corresponding engine family under 40 
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CFR part 1039 for compliance purposes 
such as selective enforcement audits, in- use testing, defect reporting, and recall. 
(3) The engines must be labeled as 
described in § 86.095–35, with the following statement instead of the one specified in § 86.095–35(a)(3)(iii)(H): ‘‘This engine conforms to alternate standards for specialty vehicles under 40 CFR 86.007–11(g)’’. Engines certified under this paragraph (g) may not have the label specified for nonroad engines in 40 CFR part 1039 or any other label identifying them as nonroad engines. 
(4) In a separate application for a 
certificate of conformity, identify the corresponding nonroad engine family, describe the label required under this paragraph (g), state that you meet applicable diagnostic requirements under 40 CFR part 1039, and identify your projected U.S.-directed production volume. 
(5) No additional certification fee 
applies for engines certified under this paragraph (g). 
(6) Engines certified under this 
paragraph (g) may not generate or use emission credits under this part or under 40 CFR part 1039. The vehicles in which these engines are installed may generate or use emission credits as described in 40 CFR part 1037. 
(7) Engines may instead meet 
standards for heavy-duty highway engines in California, as demonstrated by an Executive Order issued by the California Air Resources Board. 
* * * * * 
(i) [Reserved] 
(j) Engines installed in new glider 
vehicles are subject to the standards of 
this section as specified in 40 CFR part 1037. 
§ 86.007–25 [Removed] 
■30. Remove § 86.007–25. 
§ 86.007–30 [Amended] 
■31. Section 86.007–30 is amended by 
removing and reserving paragraph (d). 
§ 86.007–35 [Removed] 
■32. Remove § 86.007–35. 
■33. Section 86.008–10 is amended by: 
■a. Adding introductory text. 
■b. Revising paragraphs (a)(1)(ii) and 
(iii); 
■c. Removing and reserving paragraph 
(f); and 
■d. Revising paragraph (g). 
The revisions read as follows: 
§ 86.008–10 Emission standards for 2008 
and later model year Otto-cycle heavy-duty engines and vehicles. 
This section applies to new 2008 and 
later model year Otto-cycle heavy-duty 
engines and vehicles. Starting in model year 2021, this section applies to light HDE and medium HDE, but it no longer applies to heavy HDE (see 40 CFR 1036.140(a) and 1036.150(c)). 
(a)(1) * * * (ii)(A) Nonmethane hydrocarbon 
(NMHC) for engines fueled with gasoline. 0.14 grams per brake 
horsepower-hour (0.052 grams per megajoule). 
(B) Nonmethane-nonethane 
hydrocarbon (NMNEHC) for engines fueled with natural gas or liquefied petroleum gas. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule). 
(C) Nonmethane hydrocarbon 
equivalent (NMHCE) for engines fueled with methanol. 0.14 grams per brake horsepower-hour (0.052 grams per megajoule). 
(D) A manufacturer may elect to 
include any or all of its Otto-cycle HDE families in any or all of the hydrocarbon emission ABT programs for HDEs, within the restrictions described in § 86.007–15 or § 86.004–15. If the manufacturer elects to include engine families in any of these programs, the hydrocarbon FEL may not exceed 0.30 grams per brake horsepower-hour. This ceiling value applies whether credits for the family are derived from averaging, banking, or trading programs. The hydrocarbon FEL cap is 0.40 for model years before 2011 for manufacturers choosing to certify to the 1.5 g/bhp-hr NO
X+ HC in 2004, as allowed in 
§ 86.005–10. 
(iii) Carbon monoxide. 14.4 grams per 
brake horsepower-hour (5.36 grams per megajoule). 
* * * * * 
(f) [Reserved] 
(g) Model year 2018 and later engines 
that will be installed in specialty vehicles as allowed by 40 CFR 1037.605 may meet alternate emission standards as follows: 
(1) The engines must be of a 
configuration that is identical to one that is certified under 40 CFR part 1048 to the Blue Sky standards under 40 CFR 1048.140. 
(2) Except as specified in this 
paragraph (g), engines certified under this paragraph (g) must meet all the requirements that apply under 40 CFR part 1048 instead of the comparable provisions in this subpart A. Before shipping engines under this section, you must have written assurance from the vehicle manufacturers that they need a certain number of exempted engines under this section. In your annual production report under 40 CFR 1048.250, count these engines separately and identify the vehicle manufacturers that will be installing them. Treat these engines as part of the corresponding engine family under 40 CFR part 1048 for compliance purposes such as testing production engines, in- use testing, defect reporting, and recall. 
(3) The engines must be labeled as 
described in § 86.095–35, with the following statement instead of the one specified in § 86.095–35(a)(3)(iii)(H): ‘‘This engine conforms to alternate standards for specialty vehicles under 40 CFR 86.008–10(g)’’. Engines certified under this paragraph (g) may not have the label specified for nonroad engines in 40 CFR part 1048 or any other label identifying them as nonroad engines. 
(4) In a separate application for a 
certificate of conformity, identify the corresponding nonroad engine family, describe the label required under this paragraph (g), state that you meet applicable diagnostic requirements under 40 CFR part 1048, and identify your projected U.S.-directed production volume. 
(5) No additional certification fee 
applies for engines certified under this paragraph (g). 
(6) Engines certified under this 
paragraph (g) may not generate or use emission credits under this part. The vehicles in which these engines are installed may generate or use emission credits as described in 40 CFR part 1037. 
(7) Engines may instead meet 
standards for heavy-duty highway engines in California, as demonstrated by an Executive Order issued by the California Air Resources Board. 
■34. Section 86.016–1 is amended by 
revising paragraphs (a)(1) and (2) to read as follows: 
§ 86.016–1 General applicability. 
(a) * * * 
(1) The provisions of this subpart 
related to exhaust emission standards 
apply for diesel-cycle and Otto-cycle heavy-duty engines installed in vehicles above 14,000 pounds GVWR; however, these vehicles may instead be certified under subpart S of this part in certain circumstances as specified in § 86.1801. 
(2) The provisions of this subpart 
related to exhaust emission standards apply for engines that will be installed in incomplete heavy-duty vehicles at or below 14,000 pounds GVWR; however, these vehicles may instead be certified under subpart S of this part as specified in § 86.1801. 
* * * * * 
■35. Section 86.078–6 is revised to read 
as follows: 
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§ 86.078–6 Hearings on certification. 
If a manufacturer’s request for a 
hearing is approved, EPA will follow 
the hearing procedures specified in 40 CFR part 1068, subpart G. 
■36. Section 86.084–4 is revised to read 
as follows: 
§ 86.084–4 Section numbering; 
construction. 
(a) The model year of initial 
applicability is indicated by the last two 
digits of the 5-digit group. A section remains in effect for subsequent model years until it is superseded. The number following the hyphen designates what previous section is replaced by a future regulation. For example, § 86.005–1 applies to model year 2005 and later vehicles and engines until it is superseded. Section 86.016–1 takes effect with model year 2016 and continues to apply until it is superseded; § 86.005–1 no longer applies starting with model year 2016, except as specified by § 86.016–1. 
(b) If a regulation in this subpart 
references a section that has been superseded or no longer exists, this should be understood as a reference to the same section for the appropriate model year. For example, if a regulation in this subpart refers to § 86.001–30, it should be taken as a reference to § 86.007–30 or any later version of that section that applies for the appropriate model year. However, this does not apply if the reference to a superseded section specifically states that the older provision applies instead of any updated provisions from the section in effect for the current model year; this occurs most often as part of the transition to new emission standards. 
(c) Except where indicated, the 
language in this subpart applies to both vehicles and engines. In many instances, language referring to engines is enclosed in parentheses and immediately follows the language discussing vehicles. 
§ 86.085–37 [Amended] 
■37. Section 86.085–37 is amended by 
removing paragraph (d). 
■38. Section 86.094–14 is revised to 
read as follows: 
§ 86.094–14 Small-volume manufacturer 
certification procedures. 
(a)(1) The small-volume manufacturer 
certification procedures described in 
paragraphs (b) and (c) of this section are optional. Small-volume manufacturers may use these optional procedures to demonstrate compliance with the general standards and specific emission requirements contained in this subpart. (2) To satisfy the durability data 
requirements of the small-volume 
manufacturer certification procedures, manufacturers of vehicles (or engines) as described in paragraph (b) of this section may use assigned deterioration factors that the Administrator determines by methods described in paragraph (c)(3)(ii) of this section. However, if no deterioration factor data (either the manufacturer’s or industry- wide deterioration factor data) are available from previously completed durability data vehicles or engines used for certification, manufacturers of vehicles (or engines) as described in paragraph (b) of this section or with new technology not previously certified may use assigned deterioration factors that the Administrator determines by alternative methods, based on good engineering judgment. The factors that the Administrator determines by alternative methods will be published in an advisory letter or advisory circular. 
(b)(1) The optional small-volume 
manufacturer certification procedures 
apply to heavy-duty vehicles, and heavy-duty engines produced by manufacturers with U.S. sales, including all vehicles and engines imported under the provisions of §§ 85.1505 and 85.1509 of this chapter (for the model year in which certification is sought) of fewer than 10,000 units (Light-Duty Vehicles, Light-Duty Trucks, Heavy-Duty Vehicles and Heavy-Duty Engines combined). 
(2) For the purpose of determining the 
applicability of paragraph (b)(1) of this section, the sales the Administrator shall use shall be the aggregate of the projected or actual sales of those vehicles and/or engines in any of these groupings: 
(i) Vehicles and/or engines produced 
by two or more firms, one of which is 10 percent or greater part owned by another; 
(ii) Vehicles and/or engines produced 
by any two or more firms if a third party has equity ownership of 10 percent or more in each of the firms; 
(iii) Vehicles and/or engines produced 
by two or more firms having a common corporate officer(s) who is (are) responsible for the overall direction of the companies; 
(iv) Vehicles and/or engines imported 
or distributed by all firms where the vehicles and/or engines are manufactured by the same entity and the importer or distributor is an authorized agent of the entity. 
(3) If the aggregated sales, as 
determined in paragraph (b)(2) of this section are less than 301 units, the manufacturers in the aggregated relationship may certify under the provisions in this section that apply to manufacturers with sales of less than 301 units. 
(4) If the aggregated sales, as 
determined in paragraph (b)(2) of this section are greater than 300 but fewer than 10,000 units, the manufacturers in the aggregated relationship may certify under the provisions in this section that apply to manufacturers with sales from and including 301 through 9,999 motor vehicles and motor vehicles engines per year. 
(5) If the aggregated sales, as 
determined in paragraph (b)(2) of this section are equal to or greater than 10,000 units, then the manufacturers involved in the aggregated relationship will be allowed to certify a number of units under the small-volume engine family certification procedures (reference § 86.001–24(e)) in accordance with the following criteria: 
(i) If a manufacturer purchases less 
than 50 percent of another manufacturer, each manufacturer retains its right to certify 9,999 units using the small-volume engine family certification procedures. 
(ii) If a manufacturer purchases 50 
percent or more of another manufacturer, the manufacturer with the over 50 percent interest must share, with the manufacturer it purchased, its 9,999 units under the small-volume engine family certification procedures. 
(iii) In a joint venture arrangement 
(50/50 ownership) between two manufacturers, each manufacturer retains its eligibility for 9,999 units under the small-volume engine family certification procedures, but the joint venture must draw its maximum 9,999 units from the units allocated to its parent manufacturers. 
(c) All the provisions of this subpart 
apply to small-volume manufacturers, except as described in this paragraph (c). The appropriate model year of specific sections shall be determined in accordance with § 86.084–4. 
(1) Section 86.080–12 is not 
applicable. 
(2) Small-volume manufacturers shall 
include in their records all the information that EPA requires in § 86.007–21. This information will be considered part of the manufacturer’s application for certification. However, the manufacturer is not required to submit the information to the Administrator unless the Administrator requests it. 
(3) Small-volume manufacturers may 
satisfy the requirements of § 86.001– 24(b) and (c) as follows: 
(i) Emission data. Small-volume 
manufacturers may select one emission data test vehicle (engine) per engine 
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family by the worst-case emissions 
criteria as follows: 
(A) Heavy-duty Otto-cycle engines. 
The manufacturer shall select one emission data engine first based on the largest displacement within the engine family. Then within the largest displacement the manufacturer shall select, in the order listed, highest fuel flow at the speed of maximum rated torque, the engine with the most advanced spark timing, no EGR or lowest EGR flow, and no air pump or lowest actual flow air pump. 
(B) Heavy-duty diesel engines. The 
manufacturer shall select one emission data engine based on the highest fuel feed per stroke, primarily at the speed of maximum rated torque and secondarily at rated speed. 
(ii) Durability data. Small-volume 
manufacturers may satisfy the durability data requirements with the following procedures: 
(A) Manufacturers with aggregated 
sales of less than 301 motor vehicles and motor vehicle engines per year may use assigned deterioration factors that the Administrator determines and prescribes. The factors will be the Administrator’s estimate, periodically updated and published in an advisory letter or advisory circular, of the 70th percentile deterioration factors calculated using the industry-wide data base of previously completed durability data vehicles or engines used for certification. However, the manufacturer may, at its option, accumulate miles (hours) on a durability data vehicle (engine) and complete emission tests for the purpose of establishing its own deterioration factors. 
(B)(1) Manufacturers with aggregated 
sales from and including 301 through 9,999 motor vehicles and motor vehicle 
engines per year certifying light-duty vehicle exhaust emissions from vehicles equipped with proven emission control systems shall use assigned deterioration factors that the manufacturer determines based on its good engineering judgment. However, the manufacturer may not use deterioration factors less than either the average or 70th percentile of all of that manufacturer’s deterioration factor data, whichever is less. These minimum deterioration factors shall be calculated according to procedures in paragraph (c)(3)(ii)(B)(2), of this section. If the manufacturer does not have at least two data points to calculate these manufacturer specific average deterioration factors, then the deterioration factors shall be no less than the EPA supplied industry-wide deterioration factors. However, the manufacturer may, at its option, accumulate miles on a durability data vehicle and complete emission tests for 
the purpose of establishing its own deterioration factors. 
(2) The manufacturer’s minimum 
deterioration factors shall be calculated using the deterioration factors from all engine families, within the same vehicle/engine-fuel usage category (e.g., gasoline-fueled light-duty vehicle, etc.) previously certified to the same emission standards. The manufacturer shall use only deterioration factors from engine families previously certified by the manufacturer and the deterioration factors shall not be included in the calculation more than once. The deterioration factors for each pollutant shall be calculated separately. The manufacturer may, at its option, limit the deterioration factors used in the calculation of the manufacturer’s minimum deterioration factors to those from all similar systems to the system being certified if sufficient data (i.e., from at least two certified systems) exists. All data eligible to be grouped as similar system data shall be used in calculating similar system deterioration factors. Any deterioration factors used in calculating similar system deterioration factors shall not be included in calculating the manufacturer’s minimum deterioration factors used to certify any of the manufacturer’s remaining vehicle systems. 
(C) Manufacturers with aggregated 
sales from 301 through 9,999 motor vehicles and motor vehicle engines and certifying light-duty vehicle exhaust emissions from vehicles equipped with unproven emission control systems shall use deterioration factors that the manufacturer determines from official certification durability data generated by vehicles from engine families representing a minimum of 25 percent of the manufacturer’s sales equipped with unproven emission control systems. The sales projections are to be based on total sales projected for each engine/system combination. The durability programs applicable to such manufacturers for this purpose shall be the Standard AMA, the Production AMA and the Alternative Service Accumulation Durability Programs of § 86.094–13. The durability data vehicle (engine) mileage accumulation and emission tests are to be conducted in accordance with § 86.094–13. The manufacturer must develop deterioration factors by generating durability data in accordance with § 86.094–13 on a minimum of 25 percent of the manufacturer’s projected sales (by engine/system combination) 
that is equipped with unproven emission control systems. The manufacturer must complete the 25 
percent durability requirement before the remainder of the manufacturer’s sales equipped with unproven emission control systems is certified using 
manufacturer-determined assigned deterioration factors. Alternatively, any of these manufacturers may, at their option, accumulate miles on durability data vehicles and complete emission tests for the purpose of establishing their own deterioration factors on the remaining sales. 
(4) Section 86.001–24(d) and (e) are 
not applicable. 
(5) Small-volume manufacturers shall 
comply with the following provisions instead of § 86.007–30(a)(2) and (b): 
(i) Small-volume manufacturers shall 
submit an application for certification containing the following elements: 
(A) The names, addresses, and 
telephone numbers of the persons the manufacturer authorizes to communicate with us. 
(B) A brief description of the vehicles 
(or engines) covered by the certificate (the manufacturers’ sales data book or advertising, including specifications, may satisfy this requirement for most manufacturers). The description shall include, as a minimum, the following items: 
(1) Engine evaporative/refueling 
family names and vehicle (or engine) configurations. 
(2) Vehicle carlines or engine models 
to be listed on the certificate of conformity. 
(3) The test weight and horsepower 
setting for each vehicle or engine configuration. 
(4) Projected sales. 
(5) Combustion cycle. (6) Cooling mechanism. (7) Number of cylinders. (8) Displacement. (9) Fuel system type. (10) Number of catalytic converters, 
type, volume, composition, surface area, 
and total precious metal loading. 
(11) Method of air aspiration. 
(12) Thermal reactor characteristics. (13) Suppliers’ and/or manufacturers’ 
name and model number of any 
emission related items of the above, if purchased from a supplier who uses the items in its own certified vehicle(s) or engine(s). 
(14) A list of emission component part 
numbers. 
(15) Drawings, calibration curves, and 
descriptions of emission related 
components, including those components regulated under §
86.001– 
22(e), and schematics of hoses and other devices connecting these components. 
(16)–(17) [Reserved] 
(18) Proof that the manufacturer has 
obtained or entered an agreement to 
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purchase, when applicable, the 
insurance policy required by the § 85.1510(b) of this chapter. The manufacturer may submit a copy of the insurance policy or purchase agreement as proof that the manufacturer has obtained or entered an agreement to purchase the insurance policy. 
(19) For each evaporative/refueling 
emission family, a description of any unique procedures required to perform evaporative and/or refueling emission tests (as applicable) (including canister working capacity, canister bed volume, and fuel temperature profile for the running loss test) for all vehicles in that evaporative/refueling emission family, and a description of the method used to develop those unique procedures. 
(20) For each evaporative/refueling 
emission family: 
(i) Canister working capacity, 
according to the procedures specified in § 86.132–96(h)(1)(iv); 
(ii) Canister bed volume; and 
(iii) Fuel temperature profile for the 
running loss test, according to the 
procedures specified in § 86.129–94(d). 
(C) The results of all emission tests 
the manufacturer performs to demonstrate compliance with the applicable standards. 
(D)(1) The following statement signed 
by the authorized representative of the manufacturer: ‘‘The vehicles (or engines) described herein have been tested in accordance with (list of the applicable subparts A, B, I, N, or P) of part 86, title 40, Code of Federal Regulations, and on the basis of those tests are in conformance with that subpart. All the data and records required by that subpart are on file and are available for inspection by the EPA Administrator. We project the total U.S. sales of vehicles (engines) subject to this subpart (including all vehicles and engines imported under the provisions of 40 CFR 85.1505 and 40 CFR 85.1509) to be fewer than 10,000 units.’’ 
(2) [Reserved] 
(3) A statement that the vehicles or 
engines described in the manufacturer’s 
application for certification are not equipped with auxiliary emission control devices which can be classified as a defeat device as defined in § 86.004–2. 
(4) A statement of compliance with 
section 206(a)(3) of the Clean Air Act (42 U.S.C. 7525(a)(3)). 
(5)–(6) [Reserved] 
(7) A statement affirming that the 
manufacturer will provide a list of 
emission and emission-related service parts, including part number designations and sources of parts, to the vehicle purchaser for all emission and emission-related parts which might affect vehicle emission performance throughout the useful life of the vehicle. Secondly, it must state that qualified service facilities and emission-related repair parts will be conveniently available to serve its vehicles. In addition, if service facilities are not available at the point of sale or distribution, the manufacturer must indicate that the vehicle purchaser will be provided information identifying the closest authorized service facility to the point of sale, if in the United States, or the closest authorized service facility to the point of distribution to the ultimate purchaser if the vehicle was purchased outside of the United States by the ultimate purchaser. Such information should also be made available to the Administrator upon request. 
(E) Manufacturers utilizing 
deterioration factors determined by the manufacturer based on its good engineering judgment (reference paragraph (c)(3)(ii)(B) of this section) shall provide a description of the method(s) used by the manufacturer to determine the deterioration factors. 
(ii) If the manufacturer meets the 
requirements of this subpart, the Administrator will issue a certificate of conformity for the vehicles or engines described in the application for certification. 
(iii) The certificate will be issued for 
such a period not to exceed one model year as the Administrator may determine and upon such terms as he may deem necessary to assure that any vehicle or engine covered by the certificate will meet the requirements of the Act and of this subpart. 
(iv) If, after a review of the statements 
and descriptions submitted by the manufacturer, the Administrator determines that the manufacturer has not met the applicable requirements, the Administrator shall notify the manufacturer in writing of his intention to deny certification, setting forth the basis for his determination. The manufacturer may request a hearing on the Administrator’s determination. If the manufacturer does not request a hearing or present the required information, the Administrator will deny certification. 
(6) Sections 86.079–31 and 86.079–32 
are not applicable. 
(7) The following provisions apply for 
small-volume manufacturers instead of the provisions specified in § 86.079–33: 
(i) Small-volume manufacturers may 
make production changes (running changes) without receiving the Administrator’s prior approval. The manufacturer shall assure (by conducting emission tests as it deems necessary) that the affected vehicles (engines) remain in compliance with the requirements of this part. 
(ii) The manufacturer shall notify the 
Administrator within seven days after implementing any production related change (running change) that would affect vehicle emissions. This notification shall include any changes to the information required under paragraph (c)(5)(i) of this section. The manufacturer shall also amend as necessary its records required under paragraph (c)(2) of this section to confirm the production design change. 
(8) Section 86.082–34 is not 
applicable. 
■39. Section 86.094–25 is amended by 
revising paragraphs (b)(2) and (b)(7)(iii) to read as follows: 
§ 86.094–25 Maintenance. 
* * * * * 
(b) * * * 
(2) Any emission-related maintenance 
which is performed on vehicles, 
engines, subsystems, or components must be technologically necessary to assure in-use compliance with the emission standards. The manufacturer must submit data which demonstrate to the Administrator that all of the emission-related scheduled maintenance which is to be performed is technologically necessary. Scheduled maintenance must be approved by the Administrator prior to being performed or being included in the maintenance instructions provided to purchasers under § 86.010–38. 
* * * * * 
(7) * * * 
(iii) Any manufacturer may request a 
hearing on the Administrator’s 
determinations in this paragraph (b)(7). The request shall be in writing and shall include a statement specifying the manufacturer’s objections to the Administrator’s determinations, and data in support of such objections. If, after review of the request and supporting data, the Administrator finds that the request raises a substantial factual issue, he shall provide the manufacturer a hearing as described in 40 CFR part 1068, subpart G. 
* * * * * 
§§ 86.094–30 and 86.095–14 [Removed] 
■40. Remove §§ 86.094–30 and 86.095– 
14. 
■41. Section 86.095–35 is amended by: 
■a. Revising paragraphs (a) 
introductory text, (a)(3)(iii)(B), (H), (I), 
(J), and (K); 
■b. Adding paragraph (c); and 
■c. Revising paragraph (i). 
The revisions and addition read as 
follows: 
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§ 86.095–35 Labeling. 
(a) The manufacturer of any motor 
vehicle (or motor vehicle engine) subject 
to the applicable emission standards (and family emission limits, as appropriate) of this subpart, shall, at the time of manufacture, affix a permanent legible label, of the type and in the manner described below, containing the information hereinafter provided, to all production models of such vehicles (or engines) available for sale to the public and covered by a Certificate of Conformity under § 86.007–30(a). 
* * * * * 
(3) * * * 
(iii) * * * 
(B) The full corporate name and 
trademark of the manufacturer; though 
the label may identify another company and use its trademark instead of the manufacturer’s as long as the manufacturer complies with the branding provisions of 40 CFR 1068.45. 
* * * * * 
(H) The prominent statement: ‘‘This 
engine conforms to U.S. EPA regulations 
applicable to XXXX Model Year New Heavy-Duty Engines.’’; (I) If the manufacturer has an alternate 
useful life period under the provisions 
of § 86.094–21(f), the prominent statement: ‘‘This engine has been certified to meet U.S. EPA standards for a useful-life period of XXX miles or XXX hours of operation, whichever occurs first. This engine’s actual life may vary depending on its service application.’’ The manufacturer may alter this statement only to express the assigned alternate useful life in terms other than miles or hours (e.g., years, or 
hours only); 
(J) For diesel engines, the prominent 
statement: ‘‘This engine has a primary intended service application as a XXX heavy-duty engine.’’ (The primary intended service applications are light, medium, and heavy, as defined in § 86.090–2.); 
(K) For engines certified under the 
alternative standards specified in § 86.007–11(g) or § 86.008–10(g), the 
following statement: ‘‘This engine is certified for only in specialty vehicles as specified in [40 CFR 86.007–11 or 40 CFR 86.008–10]’’; 
* * * * * 
(c) Vehicles powered by model year 
2007 through 2013 diesel-fueled engines must include permanent, readily visible 
labels on the dashboard (or instrument panel) and near all fuel inlets that state ‘‘Use Ultra Low Sulfur Diesel Fuel Only’’; or ‘‘Ultra Low Sulfur Diesel Fuel Only’’. 
* * * * * 
(i) The Administrator may approve in 
advance other label content and formats, 
provided the alternative label contains information consistent with this section. 
§ 86.098–14 [Removed] 
■42. Remove § 86.098–14. 
Subpart B—Emission Regulations for 1977 and Later Model Year New Light- Duty Vehicles and New Light-Duty Trucks and New Otto-Cycle Complete Heavy-Duty Vehicles; Test Procedures 
■43. Section 86.143–96 is amended by 
revising the equation in paragraph (b)(1)(i) to read as follows: 
§ 86.143–96 Calculations; evaporative 
emissions. 
* * * * * 
(b) * * * 
(1) * * * 
(i) * * * 
* * * * * 
Subpart E—Emission Regulations for 
1978 and Later New Motorcycles, General Provisions 
■44. Section 86.402–78 is amended by 
adding, in alphabetical order, a definition for ‘‘Round’’ to paragraph (a) to read as follows: 
§ 86.402–78 Definitions. 
(a) * * * 
Round has the meaning given in 40 
CFR 1065.1001, unless otherwise 
specified. 
* * * * * 
■45. Section 86.410–2006 is amended 
by revising paragraph (e) introductory 
text to read as follows: 
§ 86.410–2006 Emission standards for 
2006 and later model year motorcycles. 
* * * * * 
(e) Manufacturers with fewer than 500 
employees worldwide and producing 
fewer than 3,000 motorcycles per year for the United States are considered small-volume manufacturers for the purposes of this section. The following provisions apply for these small-volume manufacturers: 
* * * * * 
§ 86.419–78 [Removed] 
■46. Section 86.419–78 is removed. 
■47. Section 86.419–2006 is amended 
by revising paragraph (a)(1) to read as 
follows: 
§ 86.419–2006 Engine displacement, 
motorcycle classes. 
(a)(1) Engine displacement shall be 
calculated using nominal engine values 
and rounded to the nearest whole cubic centimeter. 
* * * * * 
■48. Section 86.432–78 is amended by 
revising paragraph (d) to read as 
follows: 
§ 86.432–78 Deterioration factor. 
* * * * * 
(d) An exhaust emission deterioration 
factor will be calculated by dividing the predicted emissions at the useful life distance by the predicted emissions at the total test distance. Predicted emissions are obtained from the correlation developed in paragraph (c) of this section. Factor = Predicted total 
distance emissions ÷ Predicted total test 
distance emissions. 
These interpolated and extrapolated 
values shall be carried out to four places to the right of the decimal point before dividing one by the other to determine the deterioration factor. The results shall be rounded to three places to the right of the decimal point. 
* * * * * 
■49. Section 86.443–78 is revised to 
read as follows: 
§ 86.443–78 Request for hearing. 
The manufacturer may request a 
hearing on the Administrator’s 
determination as described in 40 CFR part 1068, subpart G. 
■50. Section 86.444–78 is revised to 
read as follows: 
§ 86.444–78 Hearings on certification. 
If a manufacturer’s request for a 
hearing is approved, EPA will follow the hearing procedures specified in 40 CFR part 1068, subpart G. 
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Subpart F—Emission Regulations for 
1978 and Later New Motorcycles; Test Procedures 
■51. Section 86.544–90 is amended by 
revising the introductory text and paragraph (a) to read as follows: 
§ 86.544–90 Calculations; exhaust 
emissions. 
This section describes how to 
calculate exhaust emissions. Determine 
emission results for each pollutant to at least one more decimal place than the applicable standard. Apply the deterioration factor, then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission data vehicle. In the case of NO
X+ HC standards, apply the 
deterioration factor to each pollutant and then add the results before rounding. 
(a) Calculate a composite FTP 
emission result using the following 
equation: 
Where: 
Ywm= Weighted mass emissions of each 
pollutant (i.e., CO 2, HC, CO, or NO X) in 
grams per vehicle kilometer and if 
appropriate, the weighted carbon mass equivalent of total hydrocarbon equivalent, in grams per vehicle kilometer. 
Y
ct= Mass emissions as calculated from the 
transient phase of the cold-start test, in grams per test phase. 
Y
s= Mass emissions as calculated from the 
stabilized phase of the cold-start test, in grams per test phase. 
D
ct= The measured driving distance from the 
transient phase of the cold-start test, in kilometers. 
D
s= The measured driving distance from the 
stabilized phase of the cold-start test, in kilometers. 
Y
ht= Mass emissions as calculated from the 
transient phase of the hot-start test, in grams per test phase. 
D
ht= The measured driving distance from the 
transient phase of the hot-start test, in kilometers. 
* * * * * 
Subpart G—Selective Enforcement 
Auditing of New Light-Duty Vehicles, Light-Duty Trucks, and Heavy-Duty Vehicles 
■52. Section 86.614–84 is revised to 
read as follows: § 86.614–84 Hearings on suspension, 
revocation, and voiding of certificates of conformity. 
The provisions of 40 CFR part 1068, 
subpart G, apply if a manufacturer 
requests a hearing regarding suspension, revocation or voiding of certificates of conformity. 
■53. Section 86.615–84 is revised to 
read as follows: 
§ 86.615–84 Treatment of confidential 
information. 
The provisions of 40 CFR 1068.10 
apply for information you consider 
confidential. 
Subpart L—Nonconformance Penalties 
for Gasoline-Fueled and Diesel Heavy- Duty Engines and Heavy-Duty Vehicles, Including Light-Duty Trucks 
§ 86.1103–87 [Removed] 
■54. Section 86.1103–87 is removed. 
■55. Section 86.1103–2016 is added to 
subpart L to read as follows: 
§ 86.1103–2016 Criteria for availability of 
nonconformance penalties. 
(a) General. This section describes the 
three criteria EPA will use to use to 
evaluate whether NCPs are appropriate under the Clean Air Act for a given pollutant and a given subclass of heavy- duty engines and heavy-duty vehicles. Together, these criteria evaluate the likelihood that a manufacturer will be technologically unable to meet a standard on time. Note that since the first two of these criteria are intended to address the question of whether a given standard creates the possibility for this to occur, they are evaluated before the third criterion that addresses the likelihood that the possibility will actually happen. 
(b) Criteria. We will establish NCPs 
for a given pollutant and subclass when we find that each of the following criteria is met: 
(1) There is a new or revised emission 
standard is more stringent than the previous 
standard for the pollutant, or an existing standard for that pollutant has become more difficult to achieve because of a new or revised standard. When evaluating this criterion, EPA will consider a new or revised standard to be ‘‘new’’ or ‘‘revised’’ until the point at which all manufacturers already producing U.S.-directed engines or vehicles within the subclass have achieved full compliance with the standard. For purposes of this criterion, EPA will generally not consider compliance using banked emission credits to be ‘‘full compliance’’. 
(2) Substantial work is required to meet the 
standard for which the NCP is offered, as evaluated from the point at which the standard was adopted or revised (or the point at which the standard became more difficult meet because another standard was adopted or revised). Substantial work, as used in this 
paragraph (b)(2), means the application of technology not previously used in an engine or vehicle class or subclass, or the significant modification of existing technology or design parameters, needed to bring the vehicle or engine into compliance with either the more stringent new or revised standard or an existing standard which becomes more difficult to achieve because of a new or revised standard. Note that where this criterion is evaluated after any of the work has been completed, the criterion would be interpreted as whether or not substantial work was required to meet the standard. 
(3) There is or is likely to be a 
technological laggard for the subclass. Note that a technological laggard is a manufacturer that is unable to meet the standard for one or more products within the subclass for technological reasons. 
(c) Evaluation. (1) We will generally 
evaluate these criteria in sequence. Where we find that the first criterion has not been met, we will not consider the other two criteria. Where we find that the first criterion has been met but not the second, we will not consider the third criterion. We may announce our findings separately or simultaneously. 
(2) We may consider any available 
information in making our findings. 
(3) Where we are uncertain whether the 
first and/or second criteria have been met, we may presume that they have been met and make our decision based solely on whether or not the third criterion has been met. 
(4) Where we find that a manufacturer will 
fail to meet a standard but are uncertain whether the failure is a technological failure, we may presume that the manufacturer is a technological laggard. 
§ 86.1104–91 [Removed] 
■56. Section 86.1104–91 is removed. 
■57. Section 86.1104–2016 is added to 
subpart L to read as follows: 
§ 86.1104–2016 Determination of upper 
limits. 
EPA shall set a separate upper limit 
for each phase of NCPs and for each 
service class. 
(a) Except as provided in paragraphs 
(b), (c) and (d) of this section, the upper limit shall be set as follows: 
(1) The upper limit applicable to a 
pollutant emission standard for a subclass of heavy-duty engines or heavy-duty vehicles for which an NCP is established in accordance with § 86.1103–87, shall be the previous pollutant emission standard for that subclass. 
(2) If a manufacturer participates in 
any of the emissions averaging, trading, or banking programs, and carries over certification of an engine family from 
the prior model year, the upper limit for that engine family shall be the family emission limit of the prior model year, unless the family emission limit is less than the upper limit determined in paragraph (a)(1) of this section. 
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(b) If no previous standard existed for 
the pollutant under paragraph (a) of this 
section, the upper limit will be developed by EPA during rulemaking. 
(c) EPA may set the upper limit 
during rulemaking at a level below the level specified in paragraph (a) of this section if we determine that a lower level is achievable by all engines or vehicles in that subclass. 
(d) EPA may set the upper limit at a 
level above the level specified in paragraph (a) of this section if we determine that such level will not be achievable by all engines or vehicles in that subclass. 
■58. Section 86.1105–87 is amended by 
revising paragraph (e) and removing paragraph (j). 
The revision reads as follows: 
§ 86.1105–87 Emission standards for 
which nonconformance penalties are available. 
* * * * * 
(e) The values of COC 50, COC 90, and 
MC 50in paragraphs (a) and (b) of this 
section are expressed in December 1984 
dollars. The values of COC 50, COC 90, 
and MC 50in paragraphs (c) and (d) of 
this section are expressed in December 1989 dollars. The values of COC
50, 
COC 90, and MC 50in paragraph (f) of this 
section are expressed in December 1991 dollars. The values of COC
50, COC 90, 
and MC 50in paragraphs (g) and (h) of 
this section are expressed in December 1994 dollars. The values of COC
50, 
COC 90, and MC 50in paragraph (i) of this 
section are expressed in December 2001 dollars. These values shall be adjusted for inflation to dollars as of January of the calendar year preceding the model year in which the NCP is first available by using the change in the overall Consumer Price Index, and rounded to the nearest whole dollar. 
* * * * * 
■59. Section 86.1112–87 is amended by 
revising paragraphs (a)(2)(iii), (a)(3)(iii), 
(d) and (e)(2) to read as follows: 
§ 86.1112–87 Determining the compliance 
level and reporting of test results. 
(a) * * * 
(2) * * * (iii) The compliance level for the 
pollutant is the result of the following 
equation, using the test results obtained in paragraph (a)(2)(ii) of this section and all SEA test results for that pollutant if the PCA follows an SEA failure: CL = X ¯+ Ks 
Where: 
CL = The compliance level. 
X¯= The mean of the final deteriorated test 
results, as defined by paragraph (e) of this section. 
K = A value that depends on the size of the 
test sample. See table 2 of appendix XII of this part for the value of K that corresponds to the size of the test sample. 
s = The sample standard deviation. Round the compliance level to the same 
number of significant figures contained in the applicable standard. 
(3) * * * 
(iii) The compliance level for the 
pollutant is the result of the following equation, using the test results obtained in (a)(3)(ii) and all SEA test results for that pollutant if the PCA follows an SEA failure: 
CL = X ¯+ Ks 
Where: 
CL = The compliance level. 
X¯= The mean of the final deteriorated test 
results, as defined by paragraph (e) of this section. 
K = A value that depends on the size of the 
test sample. See table 3 of appendix XII of this part for the value of K that corresponds to the size of the test sample. 
s = The sample standard deviation. 
Round the compliance level to the same 
number of significant figures contained in the applicable standard. 
* * * * * 
(d) Final test results are calculated by 
summing the initial test results derived 
in paragraph (c) of this section for each test engine or vehicle, dividing by the number of tests conducted on the engine or vehicle, and rounding to the same number of decimal places contained in the applicable standard expressed to one additional significant figure. 
(e) * * * (2) Round the final deteriorated test 
results to the same number of significant figures contained in the applicable standard. 
* * * * * 
■60. Section 86.1113–87 is amended by 
revising paragraphs (a)(6), (f) and (g)(3) 
introductory text to read as follows: 
§ 86.1113–87 Calculation and payment of 
penalty. 
(a) * * * 
(6) In calculating the NCP, 
appropriate values of the following predefined terms should be used: CL, S, UL, F, and A
i. For all other terms, 
unrounded values of at least five figures beyond the decimal point should be used in calculations leading up to the penalty amount. Any NCP calculated under paragraph (a) of this section will be rounded to the nearest dollar. 
* * * * * 
(f) A manufacturer may request a 
hearing under 40 CFR part 1068, subpart 
G, as to whether the compliance level (including a compliance level in excess of the upper limit) was determined properly. 
(g) * * * 
(3) A manufacturer making payment 
under paragraph (g)(1) or (2) of this 
section shall submit the following information by each quarterly due date to the Designated Compliance Officer (see 40 CFR 1036.801). This information 
shall be submitted even if a manufacturer has no NCP production in a given quarter. 
* * * * * 
■61. Section 86.1115–87 is revised to 
read as follows: 
§ 86.1115–87 Hearing procedures for 
nonconformance determinations and penalties. 
The provisions of 40 CFR part 1068, 
subpart G, apply if a manufacturer 
requests a hearing regarding penalties under this subpart. 
Subpart N—Exhaust Test Procedures 
for Heavy-Duty Engines 
■62. Section 86.1301 is revised to read 
as follows: 
§ 86.1301 Scope; applicability. 
This subpart specifies gaseous 
emission test procedures for Otto-cycle and diesel heavy-duty engines, and particulate emission test procedures for diesel heavy-duty engines. 
■63. Section 86.1362 is amended by 
revising paragraph (a) to read as follows: 
§ 86.1362 Steady-state testing with a 
ramped-modal cycle. 
* * * * * 
(a) Measure emissions by testing the 
engine on a dynamometer with the 
following ramped-modal duty cycle to determine whether it meets the applicable steady-state emission standards: 
RMC 
mode Time 
in mode 
(seconds) Engine speed12 Torque 
(percent)23 CO 2 
weighting 
(percent)4 
1a Steady-state ................... 170 Warm Idle ........................................... 0 ..................................... ..................... 6 
1b Transition ....................... 20 Linear Transition ................................. Linear Transition.
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RMC 
mode Time 
in mode 
(seconds) Engine speed12 Torque 
(percent)23 CO 2 
weighting 
(percent)4 
2a Steady-state ................... 173 A ......................................................... 100 ............................. ......................... 9 
2b Transition ....................... 20 Linear Transition ................................. Linear Transition.
3a Steady-state ................... 219 B ......................................................... 50 .............................. .......................... 10 
3b Transition ....................... 20 B ......................................................... Linear Transition.
4a Steady-state ................... 217 B ......................................................... 75 .............................. .......................... 10 
4b Transition ....................... 20 Linear Transition ................................. Linear Transition.
5a Steady-state ................... 103 A ......................................................... 50 .............................. .......................... 12 
5b Transition ....................... 20 A ......................................................... Linear Transition.
6a Steady-state ................... 100 A ......................................................... 75 .............................. .......................... 12 
6b Transition ....................... 20 A ......................................................... Linear Transition.
7a Steady-state ................... 103 A ......................................................... 25 .............................. .......................... 12 
7b Transition ....................... 20 Linear Transition ................................. Linear Transition.
8a Steady-state ................... 194 B ......................................................... 100 ............................. ......................... 9 
8b Transition ....................... 20 B ......................................................... Linear Transition.
9a Steady-state ................... 218 B ......................................................... 25 .............................. .......................... 9 
9b Transition ....................... 20 Linear Transition ................................. Linear Transition.
10a Steady-state ................. 171 C ......................................................... 100 .............................. ........................ 2 
10b Transition ..................... 20 C ......................................................... Linear Transition.
11a Steady-state ................. 102 C ......................................................... 25 ............................... ......................... 1 
11b Transition ..................... 20 C ......................................................... Linear Transition.
12a Steady-state ................. 100 C ......................................................... 75 ............................... ......................... 1 
12b Transition ..................... 20 C ......................................................... Linear Transition.
13a Steady-state ................. 102 C ......................................................... 50 ............................... ......................... 1 
13b Transition ..................... 20 Linear Transition ................................. Linear Transition.
14 Steady-state ................... 168 Warm Idle ........................................... 0 ..................................... ..................... 6 
1Speed terms are defined in 40 CFR part 1065. 
2Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 
speed or torque setting of the current mode to the speed or torque setting of the next mode. 
3The percent torque is relative to maximum torque at the commanded engine speed. 
4Use the specified weighting factors to calculate composite emission results for CO 2as specified in 40 CFR 1036.501. 
* * * * * 
■64. Section 86.1370 is amended by 
revising paragraphs (g) and (h) and 
adding paragraphs (i) and (j) to read as follows: 
§ 86.1370 Not-To-Exceed test procedures. 
* * * * * 
(g) You may exclude emission data 
based on catalytic aftertreatment temperatures as follows: 
(1) For an engine equipped with a 
catalytic NO
Xaftertreatment system, 
exclude NO Xemission data that is 
collected when the exhaust temperature at any time during the NTE event is less than 250 °C. 
(2) For an engine equipped with an 
oxidizing catalytic aftertreatment system, exclude NMHC and CO emission data that is collected if the exhaust temperature is less than 250 °C at any time during the NTE event. 
(3) Using good engineering judgment, 
measure exhaust temperature within 30 cm downstream of the last applicable catalytic aftertreatment device. Where there are parallel paths, use good engineering judgment to measure the temperature within 30 cm downstream of the last applicable catalytic aftertreatment device in the path with the greatest exhaust flow. 
(h) Any emission measurements 
corresponding to engine operating conditions that do not qualify as a valid NTE sampling event may be excluded from the determination of the vehicle- pass ratio specified in § 86.1912 for the specific pollutant. 
(i) Start emission sampling at the 
beginning of each valid NTE sampling event, except as needed to allow for zeroing or conditioning the PEMS. For gaseous emissions, PEMS preparation must be complete for all analyzers before starting emission sampling. 
(j) Emergency vehicle AECDs. If your 
engine family includes engines with one or more approved AECDs for emergency vehicle applications under paragraph (4) of the definition of ‘‘defeat device’’ in § 86.1803, the NTE emission limits do not apply when any of these AECDs are active. 
Subpart S—General Compliance 
Provisions for Control of Air Pollution From New and In-Use Light-Duty Vehicles, Light-Duty Trucks, and Heavy-Duty Vehicles 
■65. Section 86.1801–12 is amended as 
follows: 
■a. By removing and reserving 
paragraph (a)(2)(ii). 
■b. By revising paragraph (a)(3)(i). 
■c. By redesignating paragraphs 
(a)(3)(ii) through (iv) as paragraphs (a)(3)(iii) through (v), respectively. 
■d. By adding a new paragraph 
(a)(3)(ii). The revision and addition read as 
follows: 
§ 86.1801–12 Applicability. 
(a) * * * 
(3) * * * (i) Heavy duty vehicles above 14,000 
pounds GVWR may be optionally 
certified to the exhaust emission standards in this subpart, including the greenhouse gas emission standards, if they are properly included in test group with similar vehicles at or below 14,000 pounds GVWR. Emission standards apply to these vehicles as if they were Class 3 heavy-duty vehicles. The work factor for these vehicles may not be greater than the largest work factor that applies for vehicles in the test group that are at or below 14,000 pounds GVWR (see § 86.1819–14). 
(ii) Incomplete heavy-duty vehicles at 
or below 14,000 pounds GVWR may be optionally certified to the exhaust emission standards in this subpart that apply for heavy-duty vehicles. 
* * * * * 
■66. Section 86.1802–01 is revised to 
read as follows: 
§ 86.1802–01 Section numbering; 
construction. 
(a) Section numbering. The model 
year of initial applicability is indicated 
by the section number. The two digits following the hyphen designate the first 
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model year for which a section is 
applicable. The section continues to apply to subsequent model years unless a later model year section is adopted. Example: Section 86.18xx–10 applies to model year 2010 and later vehicles. If a § 86.18xx–17 is promulgated, it would apply beginning with the 2017 model year; § 86.18xx–10 would apply only to model years 2010 through 2016, except as specified in § 86.18xx–17. 
(b) A section reference without a 
model year suffix refers to the section applicable for the appropriate model year. 
(c) If a regulation in this subpart 
references a section that has been superseded or no longer exists, this should be understood as a reference to the same section for the appropriate model year. For example, if a regulation in this subpart refers to § 86.1845–01, it should be taken as a reference to § 86.1845–04 or any later version of § 86.1845 that applies for the appropriate model year. However, this does not apply if the reference to a superseded section specifically states that the older provision applies instead of any updated provisions from the section in effect for the current model year; this occurs most often as part of the transition to new emission standards. 
■67. Section 86.1803–01 is amended as 
follows: 
■a. By revising the definitions for ‘‘Base 
level’’, ‘‘Base tire’’, ‘‘Base vehicle’’, and ‘‘Basic engine’’. 
■b. By adding a definition for ‘‘Cab- 
complete vehicle’’ in alphabetical order. 
■c. By revising the definitions for 
‘‘Carbon-related exhaust emissions (CREE)’’, ‘‘Configuration’’, paragraph (1) of ‘‘Emergency vehicle’’, ‘‘Engine code’’, ‘‘Federal Test Procedure’’, ‘‘Highway Fuel Economy Test Procedure (HFET)’’, ‘‘Mild hybrid electric vehicle’’, ‘‘Model type’’, ‘‘Production volume’’, ‘‘Strong hybrid electric vehicle’’, ‘‘Subconfiguration’’, ‘‘Transmission class’’, and ‘‘Transmission configuration’’. 
■d. By adding a definition for 
‘‘Transmission type’’ in alphabetical order. 
The revisions and additions read as 
follows: 
§ 86.1803–01 Definitions. 
*Baselevel has the meaning given in 
40 CFR 600.002 for LDV, LDT, and MDPV. See § 86.1819–14 for heavy-duty vehicles. 
Base tire has the meaning given in 40 
CFR 600.002 for LDV, LDT, and MDPV. 
Base vehicle has the meaning given in 
40 CFR 600.002 for LDV, LDT, and MDPV. Basic engine has the meaning given in 
40 CFR 600.002. 
* * * * * 
Cab-complete vehicle means a heavy- 
duty vehicle that is first sold as an 
incomplete vehicle that substantially includes its cab. Vehicles known commercially as chassis-cabs, cab- chassis, box-deletes, bed-deletes, cut- away vans are considered cab-complete vehicles. For purposes of this definition, a cab includes a steering column and passenger compartment. Note that a vehicle lacking some components of the cab is a cab-complete vehicle if it substantially includes the cab. 
* * * * * 
Carbon-related exhaust emissions 
(CREE) has the meaning given in 40 CFR 
600.002 for LDV, LDT, and MDPV. * * * * * 
Configuration means one of the 
following: 
(1) For LDV, LDT, and MDPV, 
configuration means a subclassification 
within a test group which is based on 
engine code, inertia weight class, transmission type and gear ratios, final drive ratio, and other parameters which may be designated by the Administrator. 
(2) For HDV, configuration has the 
meaning given in § 86.1819–14(d)(12). 
* * * * * 
Emergency vehicle ***  
(1) For the greenhouse gas emission 
standards in § 86.1818, emergency 
vehicle means a motor vehicle 
manufactured primarily for use as an ambulance or combination ambulance- hearse or for use by the United States Government or a State or local government for law enforcement. 
* * * * * 
Engine code means one of the 
following: 
(1) For LDV, LDT, and MDPV, engine 
code means a unique combination 
within a test group of displacement, fuel 
injection (or carburetor) calibration, choke calibration, distributor calibration, auxiliary emission control devices, and other engine and emission control system components specified by the Administrator. For electric vehicles, engine code means a unique combination of manufacturer, electric traction motor, motor configuration, motor controller, and energy storage device. 
(2) For HDV, engine code has the 
meaning given in § 86.1819–14(d)(12). 
* * * * * 
Federal Test Procedure has the 
meaning given in 40 CFR 
1066.801(c)(1)(i). 
* * * * * Highway Fuel Economy Test 
Procedure (HFET) has the meaning 
given in 40 CFR 1066.801(c)(3). 
* * * * * 
Mild hybrid electric vehicle means a 
hybrid electric vehicle that has start/ 
stop capability and regenerative braking capability, where the recovered energy over the Federal Test Procedure is at least 15 percent but less than 65 percent of the total braking energy, as measured and calculated according to 40 CFR 600.116–12(d). 
Model type has the meaning given in 
40 CFR 600.002 for LDV, LDT, and MDPV. 
* * * * * 
Production volume has the meaning 
given in 40 CFR 600.002. * * * * * 
Strong hybrid electric vehicle means a 
hybrid electric vehicle that has start/ 
stop capability and regenerative braking capability, where the recovered energy over the Federal Test Procedure is at least 65 percent of the total braking energy, as measured and calculated according to 40 CFR 600.116–12(d). 
Subconfiguration means one of the 
following: 
(1) For LDV, LDT, and MDPV, 
subconfiguration has the meaning given 
in 40 CFR 600.002. 
(2) For HDV, subconfiguration has the 
meaning given in § 86.1819–14(d)(12). 
* * * * * 
Transmission class has the meaning 
given in 40 CFR 600.002 for LDV, LDT, 
and MDPV. 
Transmission configuration has the 
meaning given in 40 CFR 600.002. 
Transmission type means the basic 
type of the transmission ( e.g., automatic, 
manual, automated manual, semi- automatic, or continuously variable) and does not include the drive system of the vehicle (e.g., front-wheel drive, rear- 
wheel drive, or four-wheel drive). 
* * * * * 
■68. Section 86.1805–17 is amended by 
revising paragraph (b) to read as follows: 
§ 86.1805–17 Useful life. 
* * * * * 
(b) Greenhouse gas pollutants. The 
emission standards in § 86.1818 apply 
for a useful life of 10 years or 120,000 miles for LDV and LLDT and 11 years or 120,000 miles for HLDT and MDPV. For non-MDPV heavy-duty vehicles, the emission standards in § 86.1819 apply for a useful life of 11 years or 120,000 miles through model year 2020, and for a useful life of 15 years or 150,000 miles in model year 2021 and later. Manufacturers may certify based on the useful life as specified in paragraph (d) of this section if it is different than the 
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useful life specified in this paragraph 
(b). 
* * * * * 
■69. Section 86.1811–17 is amended by 
revising paragraphs (b)(8)(iii)(C) and (g) 
to read as follows: 
§ 86.1811–17 Exhaust emission standards 
for light-duty vehicles, light-duty trucks and medium-duty passenger vehicles. 
* * * * * 
(b) * * * 
(8) * * * (iii) * * * (C) Vehicles must comply with the 
Tier 2 SFTP emission standards for 
NMHC + NO
Xand CO for 4,000-mile 
testing that are specified in § 86.1811– 04(f)(1) if they are certified to transitional Bin 85 or Bin 110 standards, or if they are certified based on a fuel without ethanol, or if they are not certified to the Tier 3 p.m. standard. Note that these standards apply under this section for alternative fueled vehicles, for flexible fueled vehicles when operated on a fuel other than gasoline or diesel fuel, and for MDPVs, even though these vehicles were not subject to the SFTP standards in the Tier 2 program. 
* * * * * 
(g) Cold temperature exhaust 
emission standards. The standards in 
this paragraph (g) apply for certification and in-use vehicles tested over the test procedures specified in subpart C of this part. These standards apply only to gasoline-fueled vehicles. Multi-fuel, bi- fuel or dual-fuel vehicles must comply with requirements using gasoline only. Testing with other fuels such as a high- level ethanol-gasoline blend, or testing on diesel vehicles, is not required. 
(1) Cold temperature CO standards. 
Cold temperature CO exhaust emission standards apply for testing at both low- altitude conditions and high-altitude conditions as follows: 
(i) For LDV and LDT1, the standard is 
10.0 g/mile CO. 
(ii) For LDT2, LDT3 and LDT4, the 
standard is 12.5 grams per mile CO. 
(2) Cold temperature NMHC 
standards. The following fleet average 
cold temperature NMHC standards apply as follows: 
(i) The standards are shown in the 
following table: TABLE 5 OF§ 86.1811–17—F LEET 
AVERAGE COLD TEMPERATURE  
NMHC E XHAUST EMISSION STAND -
ARDS  
Vehicle weight category Cold 
temperature 
NMHC sales- 
weighted fleet 
average 
standard 
(g/mile) 
LDV and LLDT ...................... 0.3 
HLDT .................................... 0.5 
(ii) The manufacturer must calculate 
its fleet average cold temperature NMHC 
emission level(s) as described in § 86.1864–10(m). 
(iii) The standards specified in this 
paragraph (g)(2) apply only for testing at 
low-altitude conditions. However, manufacturers must submit an engineering evaluation indicating that common calibration approaches are utilized at high altitudes. Any deviation from low altitude emission control practices must be included in the auxiliary emission control device (AECD) descriptions submitted at certification. Any AECD specific to high altitude must require engineering emission data for EPA evaluation to quantify any emission impact and validity of the AECD. 
* * * * * 
■70. Section 86.1813–17 is amended by 
revising paragraphs (a)(1)(ii), (a)(2)(iii), 
and (f)(1) to read as follows: 
§ 86.1813–17 Evaporative and refueling 
emission standards. 
* * * * * 
(a) * * * 
(1) * * * (ii) Measure diurnal, running loss, 
and hot soak emissions as shown in 
§ 86.130. This includes separate measurements for the two-diurnal test sequence and the three-diurnal test sequence; however, gaseous-fueled vehicles are not subject to any evaporative emission standards using the two-diurnal test sequence. 
* * * * * 
(2) * * * 
(iii) Hydrocarbon emissions must not 
exceed 0.020 g for LDV and LDT and 
0.030 g for HDV when tested using the Bleed Emission Test Procedure adopted by the California Air Resources Board as part of the LEV III program. This procedure quantifies diurnal emissions using the two-diurnal test sequence without measuring hot soak emissions. The standards in this paragraph (a)(2)(iii) do not apply for testing at high-altitude conditions. For vehicles with non-integrated refueling canisters, the bleed emission test and standard do not apply to the refueling canister. You may perform the Bleed Emission Test Procedure using the analogous test temperatures and the E10 test fuel specified in subpart B of this part. 
* * * * * 
(f) * * * 
(1) Compressed natural gas vehicles 
must meet the requirements for fueling 
connection devices as specified in ANSI NGV1–2006 or CSA IR–1–15 (incorporated by reference in § 86.1). 
* * * * * 
■71. Section 86.1816–18 is amended by 
revising paragraphs (a) introductory 
text, (b)(7)(i) introductory text, and (b)(9) to read as follows: 
§ 86.1816–18 Emission standards for 
heavy-duty vehicles. 
(a) Applicability and general 
provisions. This section describes 
exhaust emission standards that apply 
for model year 2018 and later complete heavy-duty vehicles. These standards are optional for incomplete heavy-duty vehicles and for heavy duty vehicles above 14,000 pounds GVWR as described in § 86.1801. Greenhouse gas emission standards are specified in § 86.1818 for MDPV and in § 86.1819 for other HDV. See § 86.1813 for evaporative and refueling emission standards. This section may apply to vehicles before model year 2018 as specified in paragraph (b)(11) of this section. Separate requirements apply for MDPV as specified in § 86.1811. See subpart A of this part for requirements that apply for incomplete heavy-duty vehicles and for heavy-duty engines certified independent of the chassis. The following general provisions apply: 
* * * * * 
(b) * * * 
(7) * * * (i) The fleet-average FTP emission 
standard for NMOG + NO
Xphases in 
over several years as described in this 
paragraph (b)(7)(i). You must identify FELs as described in paragraph (b)(4) of this section and calculate a fleet-average emission level to show that you meet the FTP emission standard for NMOG+NO
Xthat applies for each 
model year. You may certify using transitional bin standards specified in Table 5 of this section through model year 2021; these vehicles are subject to the FTP emission standard for formaldehyde as described in § 86.1816–08. You may use the E0 test fuel specified in § 86.113 for gasoline- fueled vehicles certified to the transitional bins; the useful life period for these vehicles is 120,000 miles or 11 years. Fleet-average FTP emission 
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standards decrease as shown in the 
following table: 
* * * * * 
(9) Except as specified in paragraph 
(b)(8) of this section, you may not use 
credits generated from vehicles certified under § 86.1816–08 for demonstrating compliance with the Tier 3 standards. 
* * * * * 
■72. Section 86.1817–05 is amended by 
revising paragraph (c) introductory text 
to read as follows: 
§ 86.1817–05 Complete heavy-duty vehicle 
averaging, trading, and banking program. 
* * * * * 
(c) Calculations. For each 
participating test group, NO Xemission 
credits (positive or negative) are to be 
calculated according to one of the following equations and rounded to the nearest one-tenth of a Megagram (Mg). Consistent units are to be used throughout the equation. 
* * * * * 
■73. Section 86.1818–12 is amended by 
revising paragraphs (a)(2), (c)(4), and 
(f)(4) to read as follows: 
§ 86.1818–12 Greenhouse gas emission 
standards for light-duty vehicles, light-duty trucks, and medium-duty passenger vehicles. 
(a) * * * 
(2) The standards specified in this 
section apply for testing at both low- 
altitude conditions and high-altitude conditions. However, manufacturers must submit an engineering evaluation indicating that common calibration approaches are utilized at high altitude instead of performing testing for certification, consistent with § 86.1829. Any deviation from low altitude emission control practices must be included in the auxiliary emission control device (AECD) descriptions submitted at certification. Any AECD specific to high altitude requires engineering emission data for EPA evaluation to quantify any emission impact and determine the validity of the AECD. 
* * * * * 
(c) * * * 
(4) Emergency vehicles. Emergency 
vehicles may be excluded from the 
emission standards described in this section. The manufacturer must notify the Administrator that they are making such an election in the model year reports required under § 600.512 of this chapter. Such vehicles should be excluded from both the calculation of the fleet average standard for a manufacturer under this paragraph (c) and from the calculation of the fleet average carbon-related exhaust emissions in § 600.510–12. 
* * * * * 
(f) * * * 
(4) CO
2-equivalent debits. CO 2- 
equivalent debits for test groups using 
an alternative N 2O and/or CH 4standard 
as determined under paragraph (f)(3) of this section shall be calculated according to the following equation and rounded to the nearest whole megagram: 
Debits = [GWP × (Production) × 
(AltStd—Std) × VLM] ÷ 1,000,000 
Where: 
Debits = CO 2-equivalent debits for N 2O or 
CH 4, in Megagrams, for a test group using 
an alternative N 2O or CH 4standard, 
rounded to the nearest whole Megagram; 
GWP = 25 if calculating CH 4debits and 298 
if calculating N 2O debits; 
Production = The number of vehicles of that 
test group domestically produced plus 
those imported as defined in § 600.511 of this chapter; 
AltStd = The alternative standard (N
2O or 
CH 4) selected by the manufacturer under 
paragraph (f)(3) of this section; 
Std = The exhaust emission standard for N 2O 
or CH 4specified in paragraph (f)(1) of 
this section; and 
VLM = 195,264 for passenger automobiles 
and 225,865 for light trucks. 
* * * * * 
■74. Section 86.1819–14 is added to 
subpart S to read as follows: 
§ 86.1819–14 Greenhouse gas emission standards for heavy-duty vehicles. 
This section describes exhaust 
emission standards for CO 2, CH 4, and 
N2O for heavy-duty vehicles. The 
standards of this section apply for 
model year 2014 and later vehicles that are chassis-certified with respect to criteria pollutants under this subpart S. Additional heavy-duty vehicles may be optionally subject to the standards of this section as allowed under paragraph (j) of this section. Any heavy-duty vehicles not subject to standards under this section are instead subject to greenhouse gas standards under 40 CFR part 1037, and engines installed in these vehicles are subject to standards under 40 CFR part 1036. If you are not the engine manufacturer, you must notify the engine manufacturer that its engines are subject to 40 CFR part 1036 if you intend to use their engines in vehicles that are not subject to standards under this section. Vehicles produced by small businesses may be excluded from the standards of this section as described in paragraph (k)(5) of this section. 
(a) Fleet-average CO
2emission 
standards. Fleet-average CO 2emission 
standards apply for the full useful life for each manufacturer as follows: 
(1) Calculate a work factor, WF, for 
each vehicle subconfiguration (or group of subconfigurations as allowed under paragraph (a)(4) of this section), rounded to the nearest pound, using the following equation: 
WF = 0.75 × (GVWR ¥ Curb Weight 
+ xwd) + 0.25 × (GCWR ¥ GVWR) 
Where: 
xwd = 500 pounds if the vehicle has four- 
wheel drive or all-wheel drive; xwd = 0 
pounds for all other vehicles. 
(2) Using the appropriate work factor, 
calculate a target value for each vehicle 
subconfiguration (or group of subconfigurations as allowed under paragraph (a)(4) of this section) you produce using one of the following equations, or the phase-in provisions in paragraph (k)(4) of this section, rounding to the nearest whole g/mile: 
(i) For model year 2027 and later 
vehicles with spark-ignition engines: CO
2Target (g/mile) = 0.0369 × WF + 284 
(ii) For model year 2027 and later 
vehicles with compression-ignition engines or with no engines (such as electric vehicles and fuel cell vehicles): CO
2Target (g/mile) = 0.0348 × WF + 268 
(3) Calculate a production-weighted 
average of the target values and round it to the nearest whole g/mile. This is your fleet-average standard. All vehicles subject to the standards of this section form a single averaging set. Use the following equation to calculate your fleet-average standard from the target value for each vehicle subconfiguration (Target
i) and U.S.-directed production 
volume of each vehicle subconfiguration for the given model year (Volume
i): 
(4) You may group subconfigurations 
within a configuration together for purposes of calculating your fleet- 
average standard as follows: (i) You may group together 
subconfigurations that have the same 
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equivalent test weight (ETW), GVWR, 
and GCWR. Calculate your work factor and target value assuming a curb weight equal to two times ETW minus GVWR. 
(ii) You may group together other 
subconfigurations if you use the lowest target value calculated for any of the subconfigurations. 
(5) The standards specified in this 
section apply for testing at both low- altitude conditions and high-altitude conditions. However, manufacturers must submit an engineering evaluation indicating that common calibration approaches are utilized at high altitude instead of performing testing for certification, consistent with § 86.1829. Any deviation from low altitude emission control practices must be included in the auxiliary emission control device (AECD) descriptions submitted at certification. Any AECD specific to high altitude requires engineering emission data for EPA evaluation to quantify any emission impact and determine the validity of the AECD. 
(b) Production and in-use CO
2 
standards. Each vehicle you produce 
that is subject to the standards of this section has an ‘‘in-use’’ CO
2standard 
that is calculated from your test result and that applies for selective enforcement audits and in-use testing. This in-use CO
2standard for each 
vehicle is equal to the applicable deteriorated emission level multiplied by 1.10 and rounded to the nearest whole g/mile. 
(c) N
2O and CH 4standards. Except as 
allowed under this paragraph (c), all vehicles subject to the standards of this section must comply with an N
2O 
standard of 0.05 g/mile and a CH 4 
standard of 0.05 g/mile when calculated according to the provisions of paragraph (d)(4) of this section. You may specify CH
4and/or N 2O alternative standards 
using CO 2emission credits instead of 
these otherwise applicable emission standards for one or more test groups. To do this, calculate the CH
4and/or 
N2O emission credits needed (negative 
credits) using the equation in this paragraph (c) based on the FEL(s) you specify for your vehicles during certification. You must adjust the calculated emissions by the global warming potential (GWP): GWP equals 
34 for CH
4from model year 2021 and 
later vehicles, 25 for CH 4from earlier 
vehicles, and 298 for N 2O. This means, 
for example, that you must use 298 Mg of positive CO
2credits to offset 1 Mg of 
negative N 2O credits. Note that 
§ 86.1818–12(f) does not apply for vehicles subject to the standards of this section. Calculate credits using the following equation, rounded to the 
nearest whole number: 
CO
2Credits Needed (Mg) = [(FEL ¥ Std) 
× (U.S.-directed production volume) 
× (Useful Life)] × (GWP) ÷ 1,000,000 
(d) Compliance provisions. The 
following compliance provisions apply 
instead of other provisions described in this subpart S: 
(1) The CO
2standards of this section 
apply with respect to CO 2emissions, 
not with respect to carbon-related exhaust emissions (CREE). 
(2) The following general credit 
provisions apply: 
(i) Credits you generate under this 
section may be used only to offset credit deficits under this section. You may bank credits for use in a future model year in which your average CO
2level 
exceeds the standard. You may trade credits to another manufacturer according to § 86.1865–12(k)(8). Before you bank or trade credits, you must apply any available credits to offset a deficit if the deadline to offset that credit deficit has not yet passed. 
(ii) Vehicles subject to the standards 
of this section are included in a single greenhouse gas averaging set separate from any averaging set otherwise included in this subpart S. 
(iii) Banked CO
2credits keep their full 
value for five model years after the year in which they were generated. Unused credits may not be used for more than five model years after the model year in which the credits are generated. 
(3) Special credit and incentive 
provisions related to air conditioning in §§ 86.1867 and 86.1868 do not apply for 
vehicles subject to the standards of this section. 
(4) Measure emissions using the 
procedures of subpart B of this part and 40 CFR part 1066. Determine separate emission results for the Federal Test Procedure (FTP) described in 40 CFR 1066.801(c)(1) and the Highway Fuel Economy Test (HFET) described in 40 CFR 1066.801(c)(3). Calculate composite emission results from these two test cycles for demonstrating compliance with the CO
2, N2O, and CH 4standards 
based on a weighted average of the FTP (55%) and HFET (45%) emission results. Note that this differs from the way the criteria pollutant standards apply. 
(5) Apply an additive deterioration 
factor of zero to measured CO
2 
emissions unless good engineering judgment indicates that emissions are likely to deteriorate in use. Use good engineering judgment to develop separate deterioration factors for N
2O 
and CH 4. 
(6) Credits are calculated using the 
useful life value (in miles) in place of ‘‘vehicle lifetime miles’’ as specified in § 86.1865. Calculate a total credit or debit balance in a model year by adding credits and debits from § 86.1865– 12(k)(4), subtracting any CO
2-equivalent 
debits for N 2O or CH 4calculated 
according to paragraph (c) of this section, and adding any of the following credits: 
(i) Off-cycle technology credits 
according to paragraph (d)(13) of this section. 
(ii) Early credits from vehicles 
certified under paragraph (k)(2) of this section. 
(iii) Advanced-technology credits 
according to paragraph (k)(7) of this section. 
(7) [Reserved] 
(8) The provisions of § 86.1818 do not 
apply. 
(9) Calculate your fleet-average 
emission rate consistent with good 
engineering judgment and the provisions of § 86.1865. The following additional provisions apply: 
(i) Unless we approve a lower 
number, you must test at least ten subconfigurations. If you produce more than 100 subconfigurations in a given model year, you must test at least ten percent of your subconfigurations. For purposes of this paragraph (d)(9)(i), count carryover tests, but do not include analytically derived CO
2emission rates, 
data substitutions, or other untested allowances. We may approve a lower number of tests for manufacturers that have limited product offerings, or low sales volumes. Note that good engineering judgment and other provisions of this part may require you to test more subconfigurations than these minimum values. 
(ii) The provisions of paragraph (g) of 
this section specify how you may use analytically derived CO
2emission rates. 
(iii) At least 90 percent of final 
production volume at the configuration level must be represented by test data (real, data substituted, or analytical). 
(iv) Perform fleet-average CO
2 
calculations as described in § 86.1865 and 40 CFR part 600, with the following exceptions: 
(A) Use CO
2emissions values for all 
test results, intermediate calculations, and fleet average calculations instead of the carbon-related exhaust emission (CREE) values specified in this subpart S and 40 CFR part 600. 
(B) Perform intermediate CO
2 
calculations for subconfigurations within each configuration using the subconfiguration and configuration definitions in paragraph (d)(12) of this section. 
(C) Perform intermediate CO
2 
calculations for configurations within 
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each test group and transmission type 
(instead of configurations within each base level and base levels within each model type). Use the configuration definition in paragraph (d)(12)(i) of this section. 
(D) Do not perform intermediate CO
2 
calculations for each base level or for each model type. Base level and model type CO
2calculations are not applicable 
to heavy-duty vehicles subject to standards in this section. 
(E) Determine fleet average CO
2 
emissions for heavy-duty vehicles subject to standards in this section as described in 40 CFR 600.510–12(j), except that the calculations must be performed on the basis of test group and transmission type (instead of the model- type basis specified in the light-duty vehicle regulations), and the calculations for dual-fuel, multi-fuel, and flexible-fuel vehicles must be consistent with the provisions of paragraph (d)(10)(i) of this section. 
(10) For dual-fuel, multi-fuel, and 
flexible-fuel vehicles, perform exhaust testing on each fuel type (for example, gasoline and E85). 
(i) For your fleet-average calculations 
in model year 2016 and later, use either the conventional-fueled CO
2emission 
rate or a weighted average of your emission results as specified in 40 CFR 600.510–12(k) for light-duty trucks. For your fleet-average calculations before model year 2016, apply an equal weighting of CO
2emission results from 
alternative and conventional fuels. 
(ii) If you certify to an alternate 
standard for N 2O or CH 4emissions, you 
may not exceed the alternate standard when tested on either fuel. 
(11) Test your vehicles with an 
equivalent test weight based on its Adjusted Loaded Vehicle Weight (ALVW). Determine equivalent test weight from the ALVW as specified in 40 CFR 1066.805; round ALVW values above 14,000 pounds to the nearest 500 
pound increment. 
(12) The following definitions apply 
for the purposes of this section: 
(i) Configuration means a 
subclassification within a test group based on engine code, transmission type and gear ratios, final drive ratio, and other parameters we designate. Engine code means the combination of both ‘‘engine code’’ and ‘‘basic engine’’ as defined in 40 CFR 600.002. 
(ii) Subconfiguration means a unique 
combination within a vehicle configuration (as defined in this paragraph (d)(12)) of equivalent test weight, road-load horsepower, and any other operational characteristics or parameters that we determine may significantly affect CO
2emissions 
within a vehicle configuration. Note that for vehicles subject to standards of this section, equivalent test weight (ETW) is based on the ALVW of the vehicle as outlined in paragraph (d)(11) of this section. 
(13) This paragraph (d)(13) applies for 
CO
2reductions resulting from 
technologies that were not in common use before 2010 that are not reflected in the specified test procedures. While you are not required to prove that such technologies were not in common use with heavy-duty vehicles before model year 2010, we will not approve your request if we determine they do not qualify. These may be described as off- cycle or innovative technologies. We may allow you to generate emission credits consistent with the provisions of § 86.1869–12(c) and (d). The 5-cycle methodology is not presumed to be preferred over alternative methodologies described in § 86.1869–12(d). 
(14) You must submit pre-model year 
reports before you submit your applications for certification for a given model year. Unless we specify otherwise, include the information specified for pre-model year reports in 49 CFR 535.8. 
(15) You must submit a final report 
within 90 days after the end of the model year. Unless we specify otherwise, include applicable information identified in § 86.1865– 12(l), 40 CFR 600.512, and 49 CFR 535.8(e). The final report must include at least the following information: 
(i) Model year. 
(ii) Applicable fleet-average CO
2 
standard. 
(iii) Calculated fleet-average CO 2 
value and all the values required to 
calculate the CO 2value. 
(iv) Number of credits or debits 
incurred and all values required to calculate those values. 
(v) Resulting balance of credits or 
debits. 
(vi) N
2O emissions. 
(vii) CH 4emissions. 
(viii) Total and percent leakage rates 
under paragraph (h) of this section. 
(16) You may apply the provisions for 
delegated assembly as described in 40 CFR 1037.621. 
(17) You may calculate emission rates 
for weight increments less than the 500 pound increment specified for test weight. This does not change the applicable test weights. 
(i) Use the ADC equation in paragraph 
(g) of this section to adjust your emission rates for vehicles in increments of 50, 100, or 250 pounds instead of the 500 test-weight increments. Adjust emissions to the midpoint of each increment. This is the equivalent emission weight. For example, vehicles with a test weight basis of 11,751 to 12,250 pounds (which have an equivalent test weight of 12,000 pounds) could be regrouped into 100 pound increments as follows: 
Test weight basis Equivalent 
emission 
weight Equivalent 
test weight 
11,751–11,850 .................................................................................................................. ....................................... 11,800 12,000 
11,851–11,950 .................................................................................................................. ....................................... 11,900 12,000 
11,951–12,050 .................................................................................................................. ....................................... 12,000 12,000 
12,051–12,150 .................................................................................................................. ....................................... 12,100 12,000 
12,151–12,250 .................................................................................................................. ....................................... 12,200 12,000 
(ii) You must use the same increment 
for all equivalent test weight classes 
across your whole product line in a 
given model year. You must also specify curb weight for calculating the work factor in a way that is consistent with your approach for determining test weight for calculating ADCs under this paragraph (d)(17). (e) Useful life. The exhaust emission 
standards of this section apply for the full useful life, as described in § 86.1805. 
(f) [Reserved] 
(g) Analytically derived CO
2emission 
rates (ADCs). This paragraph (g) 
describes an allowance to use estimated (i.e., analytically derived) CO
2emission rates based on baseline test data instead 
of measured emission rates for calculating fleet-average emissions. Note that these ADCs are similar to ADFEs used for light-duty vehicles. Note also that F terms used in this paragraph (g) 
represent coefficients from the following road load equation: 
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Force = F0+ F1· (velocity) + F 2· 
(velocity)2 
(1) Except as specified in paragraph 
(g)(2) of this section, use the following 
equation to calculate the ADC of a new vehicle from road load force coefficients (F0, F1, F2), axle ratio, and test weight: 
ADC = CO2
base+ 2.18 · DF0 + 37.4 · DF1 
+ 2257 · DF2 + 189 · DAR + 0.0222· 
DETW 
Where: 
ADC = Analytically derived combined city/ 
highway CO 2emission rate (g/mile) for a 
new vehicle. 
CO 2base= Combined city/highway CO 2 
emission rate (g/mile) of a baseline 
vehicle. 
DF0 = F0 of the new vehicle¥F0 of the 
baseline vehicle. 
DF1 = F1 of the new vehicle¥F1 of the 
baseline vehicle. 
DF2 = F2 of the new vehicle¥F2 of the 
baseline vehicle. 
DAR = Axle ratio of the new vehicle¥axle 
ratio of the baseline vehicle. 
DETW = ETW of the new vehicle¥ETW of 
the baseline vehicle. 
(2) The purpose of this section is to 
accurately estimate CO 2emission rates. 
(i) You must apply the provisions of 
this section consistent with good 
engineering judgment. For example, do not use the equation in paragraph (g)(1) of this section where good engineering judgment indicates that it will not accurately estimate emissions. You may ask us to approve alternate equations that allow you to estimate emissions more accurately. 
(ii) The analytically derived CO
2 
equation in paragraph (g)(1) of this section may be periodically updated through publication of an EPA guidance document to more accurately characterize CO
2emission levels for 
example, changes may be appropriate based on new test data, future technology changes, or to changes in future CO
2emission levels. Any EPA 
guidance document will determine the model year that the updated equation takes effect. We will issue guidance no later than eight months before the effective model year. For example, model year 2014 may start January 2, 2013, so guidance for model year 2014 would be issued by May 1, 2012. 
(3) You may select baseline test data 
without our advance approval if they meet all the following criteria: 
(i) Vehicles considered for the 
baseline test must comply with all applicable emission standards in the model year associated with the ADC. 
(ii) You must include in the pool of 
tests considered for baseline selection all official tests of the same or equivalent basic engine, transmission class, engine code, transmission code, engine horsepower, dynamometer drive wheels, and compression ratio as the ADC subconfiguration. Do not include tests in which emissions exceed any applicable standard. 
(iii) Where necessary to minimize the 
CO
2adjustment, you may supplement 
the pool with tests associated with worst-case engine or transmission codes and carryover or carry-across test groups. If you do, all the data that qualify for inclusion using the elected worst-case substitution (or carryover or carry-across) must be included in the pool as supplemental data (i.e., individual test vehicles may not be selected for inclusion). You must also include the supplemental data in all subsequent pools, where applicable. 
(iv) Tests previously used during the 
subject model year as baseline tests in ten other ADC subconfigurations must be eliminated from the pool. 
(v) Select the tested subconfiguration 
with the smallest absolute difference between the ADC and the test CO
2 
emission rate for combined emissions. Use this as the baseline test for the target ADC subconfiguration. 
(4) You may ask us to allow you to 
use baseline test data not fully meeting the provisions of paragraph (g)(3) of this section. 
(5) Calculate the ADC rounded to the 
nearest whole g/mile. Except with our advance approval, the downward adjustment of ADC from the baseline is limited to ADC values 20 percent below the baseline emission rate. The upward adjustment is not limited. 
(6) You may not submit an ADC if an 
actual test has been run on the target subconfiguration during the certification process or on a development vehicle that is eligible to be declared as an emission-data vehicle. 
(7) No more than 40 percent of the 
subconfigurations tested in your final CO
2submission may be represented by 
ADCs. 
(8) Keep the following records for at 
least five years, and show them to us if we ask to see them: 
(i) The pool of tests. 
(ii) The vehicle description and tests 
chosen as the baseline and the basis for 
the selection. 
(iii) The target ADC subconfiguration. 
(iv) The calculated emission rates. (9) We may perform or order a 
confirmatory test of any 
subconfiguration covered by an ADC. 
(10) Where we determine that you did 
not fully comply with the provisions of this paragraph (g), we may require that you comply based on actual test data and that you recalculate your fleet- average emission rate. (h) Air conditioning leakage. Loss of 
refrigerant from your air conditioning 
systems may not exceed a total leakage rate of 11.0 grams per year or a percent leakage rate of 1.50 percent per year, whichever is greater. This applies for all refrigerants. Calculate the total leakage rate in g/year as specified in § 86.1867– 12(a). Calculate the percent leakage rate as: [total leakage rate (g/yr)] ÷ [total 
refrigerant capacity (g)] × 100. Round 
your percent leakage rate to the nearest one-hundredth of a percent. For purpose of this requirement, ‘‘refrigerant capacity’’ is the total mass of refrigerant recommended by the vehicle manufacturer as representing a full charge. Where full charge is specified as a pressure, use good engineering judgment to convert the pressure and system volume to a mass. 
(i) [Reserved] 
(j) Optional GHG certification under 
this subpart. You may certify certain 
complete or cab-complete vehicles to the GHG standards of this section. All vehicles optionally certified under this 
paragraph (j) are deemed to be subject to the GHG standards of this section. Note that for vehicles above 14,000 pounds GVWR and at or below 26,000 pounds GVWR, GHG certification under this paragraph (j) does not affect how you may or may not certify with respect to criteria pollutants. 
(1) For GHG compliance, you may 
certify any complete or cab-complete spark-ignition vehicles above 14,000 pounds GVWR and at or below 26,000 pounds GVWR to the GHG standards of this section even though this section otherwise specifies that you may certify vehicles to the GHG standards of this section only if they are chassis-certified for criteria pollutants. 
(2) You may apply the provisions of 
this section to cab-complete vehicles based on a complete sister vehicle. In unusual circumstances, you may ask us to apply these provisions to Class 2b or Class 3 incomplete vehicles that do not meet the definition of cab-complete. 
(i) Except as specified in paragraph 
(j)(3) of this section, for purposes of this section, a complete sister vehicle is a complete vehicle of the same vehicle configuration as the cab-complete vehicle. You may not apply the provisions of this paragraph (j) to any vehicle configuration that has a four- wheel rear axle if the complete sister vehicle has a two-wheel rear axle. 
(ii) Calculate the target value for fleet- 
average CO
2emissions under paragraph 
(a) or (k)(4) of this section based on the work factor value that applies for the complete sister vehicle. 
(iii) Test these cab-complete vehicles 
using the same equivalent test weight 
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and other dynamometer settings that 
apply for the complete vehicle from which you used the work factor value (the complete sister vehicle). For GHG certification, you may submit the test data from that complete sister vehicle instead of performing the test on the cab-complete vehicle. 
(iv) You are not required to produce 
the complete sister vehicle for sale to use the provisions of this paragraph (j)(2). This means the complete sister vehicle may be a carryover vehicle from a prior model year or a vehicle created solely for the purpose of testing. 
(3) For GHG purposes, if a cab- 
complete vehicle is not of the same vehicle configuration as a complete sister vehicle due only to certain factors unrelated to coastdown performance, you may use the road-load coefficients from the complete sister vehicle for certification testing of the cab-complete vehicle, but you may not use emission data from the complete sister vehicle for certifying the cab-complete vehicle. 
(k) Interim provisions. The following 
provisions apply instead of other provisions in this subpart: (1) Incentives for early introduction. 
Manufacturers may voluntarily certify 
in model year 2013 (or earlier model years for electric vehicles) to the greenhouse gas standards that apply starting in model year 2014 as specified in 40 CFR 1037.150(a). 
(2) Early credits. To generate early 
credits under this paragraph (k)(2) for any vehicles other than electric vehicles, you must certify your entire U.S.-directed fleet to these standards. If you calculate a separate fleet average for advanced-technology vehicles under paragraph (k)(7) of this section, you must certify your entire U.S.-directed production volume of both advanced and conventional vehicles within the fleet. If some test groups are certified after the start of the model year, you may generate credits only for production that occurs after all test groups are certified. For example, if you produce three test groups in an averaging set and you receive your certificates for those test groups on January 4, 2013, March 15, 2013, and April 24, 2013, you may not generate 
credits for model year 2013 for vehicles from any of the test groups produced before April 24, 2013. Calculate credits relative to the standard that would apply in model year 2014 using the applicable equations in this subpart and your model year 2013 U.S.-directed production volumes. These credits may be used to show compliance with the standards of this subpart for 2014 and later model years. We recommend that you notify us of your intent to use this provision before submitting your applications. 
(3) Compliance date. Compliance 
with the standards of this section was optional before January 1, 2014 as specified in 40 CFR 1037.150(g). 
(4) Phase-in provisions. Each 
manufacturer must choose one of the options specified in paragraphs (k)(4)(i) and (ii) of this section for phasing in the Phase 1 standards. Manufacturers must follow the schedule described in paragraph (k)(4)(iii) of this section for phasing in the Phase 2 standards. 
(i) Phase 1—Option 1. You may 
implement the Phase 1 standards by applying CO
2target values as specified 
in the following table for model year 2014 through 2020 vehicles: 
TABLE 1 OF§ 86.1819–14 
Model year and engine cycle Alternate CO 2target 
(g/mile) 
2014 Spark-Ignition ............................................................................................................ ................................................. 0.0482 × (WF) + 371 
2015 Spark-Ignition ............................................................................................................ ................................................. 0.0479 × (WF) + 369 
2016 Spark-Ignition ............................................................................................................ ................................................. 0.0469 × (WF) + 362 
2017 Spark-Ignition ............................................................................................................ ................................................. 0.0460 × (WF) + 354 
2018–2020 Spark-Ignition ....................................................................................................... ............................................ 0.0440 × (WF) + 339 
2014 Compression-Ignition ...................................................................................................... ........................................... 0.0478 × (WF) + 368 
2015 Compression-Ignition ...................................................................................................... ........................................... 0.0474 × (WF) + 366 
2016 Compression-Ignition ...................................................................................................... ........................................... 0.0460 × (WF) + 354 
2017 Compression-Ignition ...................................................................................................... ........................................... 0.0445 × (WF) + 343 
2018–2020 Compression-Ignition ................................................................................................. ...................................... 0.0416 × (WF) + 320 
(ii) Phase 1—Option 2. You may 
implement the Phase 1 standards by applying CO
2target values specified in the following table for model year 2014 
through 2020 vehicles: 
TABLE 2 OF§ 86.1819–14 
Model year and engine cycle Alternate CO 2target 
(g/mile) 
2014 Spark-Ignition ............................................................................................................ ................................................. 0.0482 × (WF) + 371 
2015 Spark-Ignition ............................................................................................................ ................................................. 0.0479 × (WF) + 369 
2016–2018 Spark-Ignition ....................................................................................................... ............................................ 0.0456 × (WF) + 352 
2019–2020 Spark-Ignition ....................................................................................................... ............................................ 0.0440 × (WF) + 339 
2014 Compression-Ignition ...................................................................................................... ........................................... 0.0478 × (WF) + 368 
2015 Compression-Ignition ...................................................................................................... ........................................... 0.0474 × (WF) + 366 
2016–2018 Compression-Ignition ................................................................................................. ...................................... 0.0440 × (WF) + 339 
2019–2020 Compression-Ignition ................................................................................................. ...................................... 0.0416 × (WF) + 320 
(iii) Phase 2. Apply Phase 2 CO 2target 
values as specified in the following table for model year 2021 through 2026 
vehicles: 
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TABLE 3 OF§ 86.1819–14 
Model year and engine cycle Alternate CO 2target 
(g/mile) 
2021 Spark-Ignition ............................................................................................................ ................................................. 0.0429 × (WF) + 331 
2022 Spark-Ignition ............................................................................................................ ................................................. 0.0418 × (WF) + 322 
2023 Spark-Ignition ............................................................................................................ ................................................. 0.0408 × (WF) + 314 
2024 Spark-Ignition ............................................................................................................ ................................................. 0.0398 × (WF) + 306 
2025 Spark-Ignition ............................................................................................................ ................................................. 0.0388 × (WF) + 299 
2026 Spark-Ignition ............................................................................................................ ................................................. 0.0378 × (WF) + 291 
2021 Compression-Ignition ...................................................................................................... ........................................... 0.0406 × (WF) + 312 
2022 Compression-Ignition ...................................................................................................... ........................................... 0.0395 × (WF) + 304 
2023 Compression-Ignition ...................................................................................................... ........................................... 0.0386 × (WF) + 297 
2024 Compression-Ignition ...................................................................................................... ........................................... 0.0376 × (WF) + 289 
2025 Compression-Ignition ...................................................................................................... ........................................... 0.0367 × (WF) + 282 
2026 Compression-Ignition ...................................................................................................... ........................................... 0.0357 × (WF) + 275 
(5) Provisions for small 
manufacturers. Standards apply on a 
delayed schedule for manufacturers 
meeting the small business criteria specified in 13 CFR 121.201 (NAICS code 336111); the employee and revenue limits apply to the total number employees and total revenue together for affiliated companies. Qualifying small manufacturers are not subject to the greenhouse gas standards of this section for vehicles with a date of manufacture before January 1, 2022, as specified in 40 CFR 1037.150(c). In addition, small manufacturers producing vehicles that run on any fuel other than gasoline, E85, or diesel fuel may delay complying with every later standard under this part by one model year. 
(6) Alternate N
2O standards. 
Manufacturers may show compliance with the N
2O standards using an 
engineering analysis. This allowance also applies for model year 2015 and later test groups carried over from model 2014 consistent with the provisions of § 86.1839. You may not certify to an N
2O FEL different than the 
standard without measuring N 2O 
emissions. 
(7) Advanced-technology credits. 
Provisions for advanced-technology credits apply as described in 40 CFR 1037.615. If you generate credits from Phase 1 vehicles certified with advanced technology, you may multiply these credits by 1.50. If you generate credits from Phase 2 vehicles certified 
with advanced technology, you may multiply these credits by 3.5 for plug-in hybrid electric vehicles, 4.5 for electric vehicles, and 5.5 for fuel cell vehicles. Advanced-technology credits from Phase 1 vehicles may be used to show compliance with any standards of this part or 40 CFR part 1036 or part 1037, subject to the restrictions in 40 CFR 1037.740. Similarly, you may use up to 60,000 Mg per year of advanced- technology credits generated under 40 CFR 1036.615 or 1037.615 (from Phase 
1 vehicles) to demonstrate compliance with the CO
2standards in this section. 
Include vehicles generating credits in separate fleet-average calculations (and exclude them from your conventional fleet-average calculation). You must first apply these advanced-technology vehicle credits to any deficits for other vehicles in the averaging set before applying them to other averaging sets. 
(8) Loose engine sales. This paragraph 
(k)(8) applies for model year 2023 and earlier spark-ignition engines with identical hardware compared with engines used in vehicles certified to the standards of this section, where you sell such engines as loose engines or as engines installed in incomplete vehicles that are not cab-complete vehicles. You may include such engines in a test group certified to the standards of this section, subject to the following provisions: 
(i) Engines certified under this 
paragraph (k)(8) are deemed to be certified to the standards of 40 CFR 1036.108 as specified in 40 CFR 1036.150(j). 
(ii) For 2020 and earlier model years, 
the maximum allowable U.S.-directed production volume of engines you sell 
under this paragraph (k)(8) in any given model year is ten percent of the total U.S-directed production volume of engines of that design that you produce for heavy-duty applications for that model year, including engines you produce for complete vehicles, cab- complete vehicles, and other incomplete vehicles. The total number of engines you may certify under this paragraph (k)(8), of all engine designs, may not exceed 15,000 in any model year. Engines produced in excess of either of these limits are not covered by your certificate. For example, if you produce 80,000 complete model year 2017 Class 2b pickup trucks with a certain engine and 10,000 incomplete model year 2017 Class 3 vehicles with that same engine, and you do not apply the provisions of this paragraph (k)(8) to any other engine designs, you may produce up to 10,000 engines of that design for sale as loose engines under this paragraph (k)(8). If you produced 11,000 engines of that design for sale as loose engines, the last 1,000 of them that you produced in that model year 2017 would be considered uncertified. 
(iii) For model years 2021 through 
2023, the U.S.-directed production volume of engines you sell under this paragraph (k)(8) in any given model year may not exceed 10,000 units. 
(iv) This paragraph (k)(8) does not 
apply for engines certified to the standards of 40 CFR 1036.108. 
(v) Label the engines as specified in 
40 CFR 1036.135 including the following compliance statement: ‘‘THIS ENGINE WAS CERTIFIED TO THE ALTERNATE GREENHOUSE GAS EMISSION STANDARDS OF 40 CFR 1036.150(j).’’ List the test group name instead of an engine family name. 
(vi) Vehicles using engines certified 
under this paragraph (k)(8) are subject to the emission standards of 40 CFR 1037.105. 
(vii) For certification purposes, your 
engines are deemed to have a CO
2target 
value and test result equal to the CO 2 
target value and test result for the complete vehicle in the applicable test group with the highest equivalent test weight, except as specified in paragraph (k)(8)(vii)(B) of this section. Use these values to calculate your target value, fleet-average emission rate, and in-use emission standard. Where there are multiple complete vehicles with the same highest equivalent test weight, select the CO
2target value and test 
result as follows: 
(A) If one or more of the CO 2test 
results exceed the applicable target value, use the CO
2target value and test 
result of the vehicle that exceeds its target value by the greatest amount. 
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(B) If none of the CO 2test results 
exceed the applicable target value, 
select the highest target value and set the test result equal to it. This means that you may not generate emission credits from vehicles certified under this paragraph (k)(8). 
(viii) Production and in-use CO
2 
standards apply as described in paragraph (b) of this section. 
(ix) N
2O and CH 4standards apply as 
described in paragraph (c) of this section. 
(x) State in your applications for 
certification that your test group and engine family will include engines certified under this paragraph (k)(8). This applies for your greenhouse gas vehicle test group and your criteria pollutant engine family. List in each application the name of the corresponding test group/engine family. 
(9) Credit adjustment for useful life. 
For credits that you calculate based on a useful life of 120,000 miles, multiply any banked credits that you carry forward for use in model year 2021 and later by 1.25. 
(10) CO
2rounding. For model year 
2014 and earlier vehicles, you may round measured and calculated CO
2 
emission levels to the nearest 0.1 g/mile, instead of the nearest whole g/mile as specified in paragraphs (a), (b), and (g) of this section. 
■75. Section 86.1820–01 is amended by 
revising paragraph (b)(7)(i)(A) to read as follows: 
§ 86.1820–01 Durability group 
determination. 
* * * * * 
(b) * * * 
(7) * * * (i) * * * (A) Vehicles are grouped based upon 
the value of the grouping statistic 
determined using the following equation: 
GS = [(Cat Vol)/(Disp)] × Loading Rate 
Where: 
GS = Grouping Statistic used to evaluate the 
range of precious metal loading rates and 
relative sizing of the catalysts compared to the engine displacement that are allowable within a durability group. The grouping statistic shall be rounded to a tenth of a gram/liter. 
Cat Vol = Total volume of the catalyst(s) in 
liters. 
Disp = Displacement of the engine in liters. Loading rate = The mass of total precious 
metal(s) in the catalyst (or the total mass of all precious metal(s) of all the catalysts if the vehicle is equipped with multiple catalysts) in grams divided by the total volume of the catalyst(s) in liters. 
* * * * * ■76. Section 86.1823–08 is amended by 
revising the definition of ‘‘R’’ in 
paragraph (d)(3) to read as follows: 
§ 86.1823–08 Durability demonstration 
procedures for exhaust emissions. 
* * * * * 
(d) * * * 
(3) * * * R = Catalyst thermal reactivity 
coefficient. You may use a default value of 17,500 for the SBC. 
* * * * * 
■77. Section 86.1838–01 is amended by 
revising paragraph (b)(1)(i)(B), adding 
paragraph (b)(1)(i)(C), and revising paragraph (d)(3)(iii) introductory text to read as follows: 
§ 86.1838–01 Small-volume manufacturer 
certification procedures. 
* * * * * 
(b) * * * 
(1) * * * (i) * * * (B) No small-volume sales threshold 
applies for the heavy-duty greenhouse gas standards; alternative small-volume criteria apply as described in § 86.1819– 14(k)(5). 
(C) 15,000 units for all other 
requirements. See § 86.1845 for separate provisions that apply for in-use testing. 
* * * * * 
(d) * * * 
(3) * * * (iii) Notwithstanding the 
requirements of paragraph (d)(3)(ii) of this section, an applicant may satisfy the requirements of this paragraph (d)(3) if the requirements of this paragraph (d)(3) are completed by an auditor who is an employee of the applicant, provided that such employee: 
* * * * * 
■78. Section 86.1844–01 is amended by 
revising paragraph (d)(4)(ii) and adding 
paragraph (d)(7)(iv) to read as follows: 
§ 86.1844–01 Information requirements: 
Application for certification and submittal of information upon request. 
* * * * * 
(d) * * * 
(4) * * * (ii) The equivalency factor required to 
be calculated in § 86.1823– 08(e)(1)(iii)(B), when applicable. 
* * * * * 
(7) * * * 
(iv) For heavy-duty vehicles subject to 
air conditioning standards under § 86.1819, include the refrigerant leakage rates (leak scores), describe the type of refrigerant, and identify the refrigerant capacity of the air conditioning systems. If another company will install the air conditioning system, also identify the corporate name of the final installer. 
* * * * * 
■79. Section 86.1845–04 is amended by 
revising paragraph (f)(1) to read as 
follows: 
§ 86.1845–04 Manufacturer in-use 
verification testing requirements. 
* * * * * 
(f)(1) A manufacturer must conduct 
in-use testing on a test group by 
determining NMOG exhaust emissions using the same methodology used for certification, as described in § 86.1810– 01(o) or 40 CFR 1066.635. 
* * * * * 
■80. Section 86.1846–01 is amended by 
revising paragraph (b)(1)(i) to read as 
follows: 
§ 86.1846–01 Manufacturer in-use 
confirmatory testing requirements. 
* * * * * 
(b) * * * 
(1) * * * (i) Additional testing is not required 
under this paragraph (b)(1) based on 
evaporative/refueling testing or based on low-mileage Supplemental FTP testing conducted under § 86.1845– 04(b)(5)(i). Testing conducted at high altitude under the requirements of § 86.1845–04(c) will be included in determining if a test group meets the criteria triggering the testing required under this section. 
* * * * * 
■81. Section 86.1848–10 is amended by 
revising paragraph (c)(9) to read as 
follows: 
§ 86.1848–10 Compliance with emission 
standards for the purpose of certification. 
* * * * * 
(c) * * * 
(9) For 2012 and later model year 
LDVs, LDTs, and MDPVs, all certificates 
of conformity issued are conditional upon compliance with all provisions of §§ 86.1818 and 86.1865 both during and after model year production. Similarly, for 2014 and later model year HDV, and other HDV subject to standards under § 86.1819, all certificates of conformity issued are conditional upon compliance with all provisions of §§ 86.1819 and 86.1865 both during and after model year production. The manufacturer bears the burden of establishing to the satisfaction of the Administrator that the terms and conditions upon which the certificate(s) was (were) issued were satisfied. For recall and warranty purposes, vehicles not covered by a certificate of conformity will continue to be held to the standards stated or referenced in the certificate that 
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otherwise would have applied to the 
vehicles. 
(i) Failure to meet the fleet average 
CO 2requirements will be considered a 
failure to satisfy the terms and conditions upon which the certificate(s) was (were) issued and the vehicles sold in violation of the fleet average CO
2 
standard will not be covered by the certificate(s). The vehicles sold in violation will be determined according to § 86.1865–12(k)(8). 
(ii) Failure to comply fully with the 
prohibition against selling credits that are not generated or that are not available, as specified in § 86.1865–12, will be considered a failure to satisfy the terms and conditions upon which the certificate(s) was (were) issued and the vehicles sold in violation of this prohibition will not be covered by the certificate(s). 
(iii) For manufacturers using the 
conditional exemption under § 86.1801– 12(k), failure to fully comply with the fleet production thresholds that determine eligibility for the exemption will be considered a failure to satisfy the terms and conditions upon which the certificate(s) was (were) issued and the vehicles sold in violation of the stated sales and/or production thresholds will not be covered by the certificate(s). 
(iv) For manufacturers that are 
determined to be operationally independent under § 86.1838–01(d), failure to report a material change in their status within 60 days as required by § 86.1838–01(d)(2) will be considered a failure to satisfy the terms and conditions upon which the certificate(s) was (were) issued and the vehicles sold in violation of the operationally independent criteria will not be covered by the certificate(s). 
(v) For manufacturers subject to an 
alternative fleet average greenhouse gas 
emission standard approved under § 86.1818–12(g), failure to comply with the annual sales thresholds that are required to maintain use of those standards, including the thresholds required for new entrants into the U.S. market, will be considered a failure to satisfy the terms and conditions upon which the certificate(s) was (were) issued and the vehicles sold in violation of stated sales and/or production thresholds will not be covered by the certificate(s). 
* * * * * 
■82. Section 86.1853–01 is revised to 
read as follows: 
§ 86.1853–01 Certification hearings. 
If a manufacturer’s request for a 
hearing is approved, EPA will follow 
the hearing procedures specified in 40 CFR part 1068, subpart G. ■83. Section 86.1862–04 is amended by 
revising paragraph (d) to read as 
follows: 
§ 86.1862–04 Maintenance of records and 
submittal of information relevant to compliance with fleet-average standards. 
* * * * * 
(d) Notice of opportunity for hearing. 
Any voiding of the certificate under 
paragraph (a)(6) of this section will be made only after EPA has offered the manufacturer concerned an opportunity for a hearing conducted in accordance with 40 CFR part 1068, subpart G and, if a manufacturer requests such a hearing, will be made only after an initial decision by the Presiding Officer. 
§ 86.1863–07 [Amended] 
■84. Section 86.1863–07 is amended by 
removing and reserving paragraph (h). 
■85. Section 86.1865–12 is revised to 
read as follows: 
§ 86.1865–12 How to comply with the fleet 
average CO 2standards. 
(a) Applicability. (1) Unless otherwise 
exempted under the provisions of 
paragraph (d) of this section, CO 2fleet 
average exhaust emission standards of 
this subpart apply to: 
(i) 2012 and later model year 
passenger automobiles and light trucks. 
(ii) Heavy-duty vehicles subject to 
standards under § 86.1819. 
(iii) Vehicles imported by ICIs as 
defined in 40 CFR 85.1502. 
(2) The terms ‘‘passenger automobile’’ 
and ‘‘light truck’’ as used in this section have the meanings given in § 86.1818– 12. 
(b) Useful life requirements. Full 
useful life requirements for CO
2 
standards are defined in §§ 86.1818 and 86.1819. There is not an intermediate useful life standard for CO
2emissions. 
(c) Altitude. Greenhouse gas emission 
standards apply for testing at both low- altitude conditions and at high-altitude conditions, as described in §§ 86.1818 and 86.1819. 
(d) Small volume manufacturer 
certification procedures. (1) Passenger 
automobiles and light trucks. Certification procedures for small volume manufacturers are provided in § 86.1838. Small businesses meeting certain criteria may be exempted from the greenhouse gas emission standards in § 86.1818 according to the provisions of § 86.1801–12(j) or (k). 
(2) Heavy-duty vehicles. HDV 
manufacturers that qualify as small businesses are not subject to the Phase 1 greenhouse gas standards of this subpart as specified in § 86.1819– 14(k)(5). 
(e) CO
2fleet average exhaust emission 
standards. The fleet average standards referred to in this section are the 
corporate fleet average CO 2standards 
for passenger automobiles and light trucks set forth in § 86.1818–12(c) and (e), and for HDV in § 86.1819. Each manufacturer must comply with the applicable CO
2fleet average standard on 
a production-weighted average basis, for each separate averaging set, at the end of each model year, using the procedure described in paragraph (j) of this section. The fleet average CO
2standards 
applicable in a given model year are calculated separately for passenger automobiles and light trucks for each manufacturer and each model year according to the provisions in § 86.1818. Calculate the HDV fleet average CO
2 
standard in a given model year as described in § 86.1819–14(a). 
(f) In-use CO
2standards. In-use CO 2 
exhaust emission standards are provided in § 86.1818–12(d) for passenger automobiles and light trucks and in § 86.1819–14(b) for HDV. 
(g) Durability procedures and method 
of determining deterioration factors (DFs). Deterioration factors for CO
2 
exhaust emission standards are provided in § 86.1823–08(m) for passenger automobiles and light trucks and in § 86.1819–14(d)(5) for HDV. 
(h) Vehicle test procedures. (1) The 
test procedures for demonstrating compliance with CO
2exhaust emission 
standards are described at § 86.101 and 
40 CFR part 600, subpart B. 
(2) Testing to determine compliance 
with CO 2exhaust emission standards 
must be on a loaded vehicle weight (LVW) basis for passenger automobiles and light trucks (including MDPV), and on an adjusted loaded vehicle weight (ALVW) basis for non-MDPV heavy- duty vehicles. 
(3) Testing for the purpose of 
providing certification data is required only at low-altitude conditions. If hardware and software emission control strategies used during low-altitude condition testing are not used similarly across all altitudes for in-use operation, the manufacturer must include a statement in the application for certification, in accordance with § 86.1844–01(d)(11), stating what the different strategies are and why they are used. 
(i) Calculating fleet average carbon- 
related exhaust emissions for passenger automobiles and light trucks. (1) Manufacturers must compute separate production-weighted fleet average carbon-related exhaust emissions at the end of the model year for passenger automobiles and light trucks, using actual production, where production means vehicles produced and delivered for sale, and certifying model types to 
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standards as defined in § 86.1818–12. 
The model type carbon-related exhaust emission results determined according to 40 CFR part 600, subpart F (in units of grams per mile rounded to the nearest whole number) become the certification standard for each model type. 
(2) Manufacturers must separately 
calculate production-weighted fleet average carbon-related exhaust emissions levels for the following averaging sets according to the provisions of 40 CFR part 600, subpart F: 
(i) Passenger automobiles subject to 
the fleet average CO
2standards 
specified in § 86.1818–12(c)(2); 
(ii) Light trucks subject to the fleet 
average CO 2standards specified in 
§ 86.1818–12(c)(3); 
(iii) Passenger automobiles subject to 
the Temporary Leadtime Allowance Alternative Standards specified in § 86.1818–12(e), if applicable; and 
(iv) Light trucks subject to the 
Temporary Leadtime Allowance Alternative Standards specified in § 86.1818–12(e), if applicable. 
(j) Certification compliance and 
enforcement requirements for CO 
2 
exhaust emission standards. 
(1) Compliance and enforcement 
requirements are provided in this section and § 86.1848–10(c)(9). 
(2) The certificate issued for each test 
group requires all model types within that test group to meet the in-use emission standards to which each model type is certified. The in-use standards for passenger automobiles and light duty trucks (including MDPV) are described in § 86.1818–12(d). The in-use standards for non-MDPV heavy-duty vehicles are described in § 86.1819– 14(b). 
(3) Each manufacturer must comply 
with the applicable CO
2fleet average 
standard on a production-weighted average basis, at the end of each model year. Use the procedure described in paragraph (i) of this section for passenger automobiles and light trucks (including MDPV). Use the procedure described in § 86.1819–14(d)(9)(iv) for non-MDPV heavy-duty vehicles. 
(4) Each manufacturer must comply 
on an annual basis with the fleet average standards as follows: 
(i) Manufacturers must report in their 
annual reports to the Agency that they met the relevant corporate average standard by showing that the applicable production-weighted average CO
2 
emission levels are at or below the applicable fleet average standards; or 
(ii) If the production-weighted average 
is above the applicable fleet average standard, manufacturers must obtain and apply sufficient CO
2credits as authorized under paragraph (k)(8) of this section. A manufacturer must show that they have offset any exceedance of the corporate average standard via the use of credits. Manufacturers must also include their credit balances or deficits in their annual report to the Agency. 
(iii) If a manufacturer fails to meet the 
corporate average CO
2standard for four 
consecutive years, the vehicles causing the corporate average exceedance will be considered not covered by the certificate of conformity (see paragraph 
(k)(8) of this section). A manufacturer will be subject to penalties on an individual-vehicle basis for sale of vehicles not covered by a certificate. 
(iv) EPA will review each 
manufacturer’s production to designate the vehicles that caused the exceedance of the corporate average standard. EPA will designate as nonconforming those vehicles in test groups with the highest certification emission values first, continuing until reaching a number of vehicles equal to the calculated number of noncomplying vehicles as determined in paragraph (k)(8) of this section. In a group where only a portion of vehicles would be deemed nonconforming, EPA will determine the actual nonconforming vehicles by counting backwards from the last vehicle produced in that test group. Manufacturers will be liable for penalties for each vehicle sold that is not covered by a certificate. 
(k) Requirements for the CO
2 
averaging, banking and trading (ABT) program. (1) A manufacturer whose CO
2 
fleet average emissions exceed the applicable standard must complete the calculation in paragraph (k)(4) of this section to determine the size of its CO
2 
deficit. A manufacturer whose CO 2fleet 
average emissions are less than the applicable standard may complete the calculation in paragraph (k)(4) of this section to generate CO
2credits. In either 
case, the number of credits or debits must be rounded to the nearest whole number. 
(2) There are no property rights 
associated with CO
2credits generated 
under this subpart. Credits are a limited authorization to emit the designated amount of emissions. Nothing in this part or any other provision of law should be construed to limit EPA’s authority to terminate or limit this authorization through a rulemaking. 
(3) Each manufacturer must comply 
with the reporting and recordkeeping requirements of paragraph (l) of this section for CO
2credits, including early 
credits. The averaging, banking and trading program is enforceable through the certificate of conformity that allows the manufacturer to introduce any regulated vehicles into U.S. commerce. 
(4) Credits are earned on the last day 
of the model year. Manufacturers must calculate, for a given model year and separately for passenger automobiles, light trucks, and heavy-duty vehicles, the number of credits or debits it has generated according to the following equation rounded to the nearest megagram: 
CO
2Credits or Debits (Mg) = [(CO 2 
Standard ¥ Manufacturer’s 
Production-Weighted Fleet Average 
CO 2Emissions) × (Total Number of 
Vehicles Produced) × (Mileage)] ÷ 
1,000,000 
Where: 
CO 2Standard = the applicable standard for 
the model year as determined in 
§ 86.1818 or § 86.1819; 
Manufacturer’s Production-Weighted Fleet 
Average CO 2Emissions = average 
calculated according to paragraph (i) of this section; 
Total Number of Vehicles Produced = the 
number of vehicles domestically produced plus those imported as defined in § 600.511–08 of this chapter; and 
Mileage = useful life value (in miles) for 
HDV, and vehicle lifetime miles of 195,264 for passenger automobiles and 225,865 for light trucks. 
(5) Determine total HDV debits and 
credits for a model year as described in 
§ 86.1819–14(d)(6). Determine total passenger car and light truck debits and credits for a model year as described in this paragraph (k)(5). Total credits or debits generated in a model year, maintained and reported separately for passenger automobiles and light trucks, shall be the sum of the credits or debits calculated in paragraph (k)(4) of this section and any of the following credits, if applicable, minus any CO
2-equivalent 
debits for N 2O and/or CH 4calculated 
according to the provisions of § 86.1818–12(f)(4): 
(i) Air conditioning leakage credits 
earned according to the provisions of § 86.1867–12(b). 
(ii) Air conditioning efficiency credits 
earned according to the provisions of § 86.1868–12(c). 
(iii) Off-cycle technology credits 
earned according to the provisions of § 86.1869–12(d). 
(iv) Full size pickup truck credits 
earned according to the provisions of § 86.1870–12(c). 
(v) CO
2-equivalent debits for N 2O 
and/or CH 4accumulated according to 
the provisions of § 86.1818–12(f)(4). 
(6) Unused CO 2credits generally 
retain their full value through five model years after the model year in which they were generated. Credits remaining at the end of the fifth model 
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year after the model year in which they 
were generated may not be used to demonstrate compliance for later model years. The following particular provisions apply for passenger cars and light trucks: 
(i) Unused CO
2credits from the 2009 
model year shall retain their full value through the 2014 model year. Credits from the 2009 model year that remain at the end of the 2014 model year may not be used to demonstrate compliance for later model years. 
(ii) Unused CO
2credits from the 2010 
through 2015 model years shall retain their full value through the 2021 model year. Credits remaining from these model years at the end of the 2021 model year may not be used to demonstrate compliance for later model years. 
(7) Credits may be used as follows: 
(i) Credits generated and calculated 
according to the method in paragraphs 
(k)(4) and (5) of this section may not be used to offset deficits other than those deficits accrued within the respective averaging set, except that credits may be transferred between the passenger 
automobile and light truck fleets of a given manufacturer. Credits may be banked and used in a future model year in which a manufacturer’s average CO
2 
level exceeds the applicable standard. Credits may also be traded to another manufacturer according to the provisions in paragraph (k)(8) of this section. Before trading or carrying over credits to the next model year, a manufacturer must apply available credits to offset any deficit, where the deadline to offset that credit deficit has not yet passed. This paragraph (k)(7)(i) applies for MDPV, but not for other HDV. 
(ii) The use of credits shall not change 
Selective Enforcement Auditing or in- use testing failures from a failure to a non-failure. The enforcement of the averaging standard occurs through the vehicle’s certificate of conformity as described in paragraph (k)(8) of this section. A manufacturer’s certificate of conformity is conditioned upon compliance with the averaging provisions. The certificate will be void ab initio if a manufacturer fails to meet the corporate average standard and does not obtain appropriate credits to cover its shortfalls in that model year or subsequent model years (see deficit carry-forward provisions in paragraph (k)(8) of this section). 
(iii) The following provisions apply 
for passenger automobiles and light trucks under the Temporary Leadtime Allowance Alternative Standards: 
(A) Credits generated by vehicles 
subject to the fleet average CO
2 standards specified in § 86.1818–12(c) 
may only be used to offset a deficit generated by vehicles subject to the Temporary Leadtime Allowance Alternative Standards specified in § 86.1818–12(e). 
(B) Credits generated by a passenger 
automobile or light truck averaging set subject to the Temporary Leadtime Allowance Alternative Standards specified in § 86.1818–12(e)(4)(i) or (ii) may be used to offset a deficit generated by an averaging set subject to the Temporary Leadtime Allowance Alternative Standards through the 2015 model year, except that manufacturers qualifying under the provisions of § 86.1818–12(e)(3) may use such credits to offset a deficit generated by an averaging set subject to the Temporary Leadtime Allowance Alternative Standards through the 2016 model year. 
(C) Credits generated by an averaging 
set subject to the Temporary Leadtime Allowance Alternative Standards specified in § 86.1818–12(e)(4)(i) or (ii) of this section may not be used to offset a deficit generated by an averaging set subject to the fleet average CO
2 
standards specified in § 86.1818– 12(c)(2) or (3) or otherwise transferred to an averaging set subject to the fleet average CO
2standards specified in 
§ 86.1818–12(c)(2) or (3). 
(D) Credits generated by vehicles 
subject to the Temporary Leadtime Allowance Alternative Standards specified in § 86.1818–12(e)(4)(i) or (ii) may be banked for use in a future model year (to offset a deficit generated by an averaging set subject to the Temporary Leadtime Allowance Alternative Standards). All such credits may not be used to demonstrate compliance for 
model year 2016 and later vehicles, except that manufacturers qualifying under the provisions of § 86.1818– 12(e)(3) may use such credits to offset a deficit generated by an averaging set subject to the Temporary Leadtime Allowance Alternative Standards through the 2016 model year. 
(E) A manufacturer with any vehicles 
subject to the Temporary Leadtime Allowance Alternative Standards specified in § 86.1818–12(e)(4)(i) or (ii) of this section in a model year in which that manufacturer also generates credits with vehicles subject to the fleet average CO
2standards specified in § 86.1818– 
12(c) may not trade or bank credits earned against the fleet average standards in § 86.1818–12(c) for use in a future model year. 
(iv) Credits generated in the 2017 
through 2020 model years under the provisions of § 86.1818–12(e)(3)(ii) may not be traded or otherwise provided to another manufacturer. (v) Credits generated under any 
alternative fleet average standards 
approved under § 86.1818–12(g) may not be traded or otherwise provided to another manufacturer. 
(8) The following provisions apply if 
a manufacturer calculates that it has negative credits (also called ‘‘debits’’ or a ‘‘credit deficit’’) for a given model year: 
(i) The manufacturer may carry the 
credit deficit forward into the next three model years. Such a carry-forward may only occur after the manufacturer exhausts any supply of banked credits. The deficit must be covered with an appropriate number of credits that the manufacturer generates or purchases by the end of the third model year. Any remaining deficit is subject to a voiding of the certificate ab initio, as described in this paragraph (k)(8). Manufacturers are not permitted to have a credit deficit for four consecutive years. 
(ii) If the credit deficit is not offset 
within the specified time period, the number of vehicles not meeting the fleet average CO
2standards (and therefore 
not covered by the certificate) must be 
calculated. 
(A) Determine the negative credits for 
the noncompliant vehicle category by multiplying the total megagram deficit by 1,000,000 and then dividing by the mileage specified in paragraph (k)(4) of this section. 
(B) Divide the result by the fleet 
average standard applicable to the model year in which the debits were first incurred and round to the nearest whole number to determine the number of vehicles not meeting the fleet average CO
2standards. 
(iii) EPA will determine the vehicles 
not covered by a certificate because the condition on the certificate was not satisfied by designating vehicles in those test groups with the highest carbon-related exhaust emission values first and continuing until reaching a number of vehicles equal to the calculated number of non-complying vehicles as determined in this paragraph (k)(8). The same approach applies for HDV, except that EPA will make these designations by ranking test groups based on CO
2emission values. If these 
calculations determines that only a portion of vehicles in a test group contribute to the debit situation, then EPA will designate actual vehicles in that test group as not covered by the certificate, starting with the last vehicle produced and counting backwards. 
(iv)(A) If a manufacturer ceases 
production of passenger automobiles, light trucks, or heavy-duty vehicles, the manufacturer continues to be responsible for offsetting any debits 
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outstanding within the required time 
period. Any failure to offset the debits will be considered a violation of paragraph (k)(8)(i) of this section and may subject the manufacturer to an enforcement action for sale of vehicles not covered by a certificate, pursuant to paragraphs (k)(8)(ii) and (iii) of this section. 
(B) If a manufacturer is purchased by, 
merges with, or otherwise combines with another manufacturer, the controlling entity is responsible for offsetting any debits outstanding within the required time period. Any failure to offset the debits will be considered a violation of paragraph (k)(8)(i) of this section and may subject the manufacturer to an enforcement action for sale of vehicles not covered by a certificate, pursuant to paragraphs (k)(8)(ii) and (iii) of this section. 
(v) For purposes of calculating the 
statute of limitations, a violation of the requirements of paragraph (k)(8)(i) of this section, a failure to satisfy the conditions upon which a certificate(s) was issued and hence a sale of vehicles not covered by the certificate, all occur upon the expiration of the deadline for offsetting debits specified in paragraph (k)(8)(i) of this section. 
(9) The following provisions apply to 
CO
2credit trading: 
(i) EPA may reject CO 2credit trades 
if the involved manufacturers fail to submit the credit trade notification in the annual report. 
(ii) A manufacturer may not sell 
credits that are no longer valid for demonstrating compliance based on the model years of the subject vehicles, as specified in paragraph (k)(6) of this section. 
(iii) In the event of a negative credit 
balance resulting from a transaction, both the buyer and seller are liable for the credit shortfall. EPA may void ab initio the certificates of conformity of all test groups that generate or use credits in such a trade. 
(iv)(A) If a manufacturer trades a 
credit that it has not generated pursuant to this paragraph (k) or acquired from another party, the manufacturer will be considered to have generated a debit in the model year that the manufacturer traded the credit. The manufacturer must offset such debits by the deadline for the annual report for that same model year. 
(B) Failure to offset the debits within 
the required time period will be considered a failure to satisfy the conditions upon which the certificate(s) was issued and will be addressed pursuant to paragraph (k)(8) of this section. (v) A manufacturer may only trade 
credits that it has generated pursuant to paragraphs (k)(4) and (5) of this section or acquired from another party. 
(l) Maintenance of records and 
submittal of information relevant to compliance with fleet average CO
2 
standards—(1) Maintenance of records. 
(i) Manufacturers producing any light- duty vehicles, light-duty trucks, medium-duty passenger vehicles, or other heavy-duty vehicles subject to the provisions in this subpart must establish, maintain, and retain all the following information in adequately organized records for each model year: 
(A) Model year. 
(B) Applicable fleet average CO
2 
standards for each averaging set as 
defined in paragraph (i) of this section. 
(C) The calculated fleet average CO 2 
value for each averaging set as defined in paragraph (i) of this section. 
(D) All values used in calculating the 
fleet average CO
2values. 
(ii) Manufacturers must establish, 
maintain, and retain all the following information in adequately organized records for each vehicle produced that is subject to the provisions in this subpart: 
(A) Model year. 
(B) Applicable fleet average CO
2 
standard. 
(C) EPA test group. 
(D) Assembly plant. (E) Vehicle identification number. (F) Carbon-related exhaust emission 
standard (automobile and light truck 
only), N
2O emission standard, and CH 4 
emission standard to which the vehicle is certified. 
(G) In-use carbon-related exhaust 
emission standard for passenger automobiles and light truck, and in-use CO
2standard for HDV. 
(H) Information on the point of first 
sale, including the purchaser, city, and state. 
(iii) Manufacturers must retain all 
required records for a period of eight years from the due date for the annual report. Records may be stored in any format and on any media, as long as manufacturers can promptly send EPA organized written records in English if requested by the Administrator. Manufacturers must keep records readily available as EPA may review them at any time. 
(iv) The Administrator may require 
the manufacturer to retain additional records or submit information not specifically required by this section. 
(v) Pursuant to a request made by the 
Administrator, the manufacturer must submit to the Administrator the information that the manufacturer is required to retain. (vi) EPA may void ab initio a 
certificate of conformity for vehicles certified to emission standards as set forth or otherwise referenced in this subpart for which the manufacturer fails to retain the records required in this section or to provide such information to the Administrator upon request, or to submit the reports required in this section in the specified time period. 
(2) Reporting. (i) Each manufacturer 
must submit an annual report. The annual report must contain for each applicable CO
2standard, the calculated 
fleet average CO 2value, all values 
required to calculate the CO 2emissions 
value, the number of credits generated or debits incurred, all the values required to calculate the credits or debits, and the resulting balance of credits or debits. For each applicable alternative N
2O and/or CH 4standard 
selected under the provisions of § 86.1818–12(f)(3) for passenger automobiles and light trucks (or § 86.1819–14(c) for HDV), the report must contain the CO
2-equivalent debits 
for N 2O and/or CH 4calculated 
according to § 86.1818–12(f)(4) (or § 86.1819–14(c) for HDV) for each test group and all values required to calculate the number of debits incurred. 
(ii) For each applicable fleet average 
CO
2standard, the annual report must 
also include documentation on all credit transactions the manufacturer has engaged in since those included in the last report. Information for each transaction must include all of the following: 
(A) Name of credit provider. 
(B) Name of credit recipient. (C) Date the trade occurred. (D) Quantity of credits traded in 
megagrams. 
(E) Model year in which the credits 
were earned. 
(iii) Manufacturers calculating air 
conditioning leakage and/or efficiency 
credits under paragraph § 86.1871–12(b) shall include the following information for each model year and separately for passenger automobiles and light trucks and for each air conditioning system used to generate credits: 
(A) A description of the air 
conditioning system. 
(B) The leakage credit value and all 
the information required to determine this value. 
(C) The total credits earned for each 
averaging set, model year, and region, as applicable. 
(iv) Manufacturers calculating 
advanced technology vehicle credits under paragraph § 86.1871–12(c) shall include the following information for each model year and separately for passenger automobiles and light trucks: 
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(A) The number of each model type of 
eligible vehicle sold. 
(B) The cumulative model year 
production of eligible vehicles starting 
with the 2009 model year. 
(C) The carbon-related exhaust 
emission value by model type and model year. 
(v) Manufacturers calculating off- 
cycle technology credits under paragraph § 86.1871–12(d) shall include, for each model year and separately for passenger automobiles and light trucks, all test results and data required for calculating such credits. 
(vi) Unless a manufacturer reports the 
data required by this section in the annual production report required under § 86.1844–01(e) or the annual report required under § 600.512–12 of this chapter, a manufacturer must submit an annual report for each model year after production ends for all affected vehicles produced by the manufacturer subject to the provisions of this subpart and no later than May 1 of the calendar year following the given model year. Annual reports must be submitted to: Director, Compliance Division, U.S. Environmental Protection Agency, 2000 Traverwood Dr., Ann Arbor, Michigan 48105. 
(vii) Failure by a manufacturer to 
submit the annual report in the specified time period for all vehicles subject to the provisions in this section is a violation of section 203(a)(1) of the Clean Air Act (42 U.S.C. 7522 (a)(1)) for each applicable vehicle produced by that manufacturer. 
(viii) If EPA or the manufacturer 
determines that a reporting error occurred on an annual report previously submitted to EPA, the manufacturer’s credit or debit calculations will be recalculated. EPA may void erroneous credits, unless traded, and will adjust erroneous debits. In the case of traded erroneous credits, EPA must adjust the selling manufacturer’s credit balance to reflect the sale of such credits and any resulting credit deficit. 
(3) Notice of opportunity for hearing. 
Any voiding of the certificate under paragraph (l)(1)(vi) of this section will be made only after EPA has offered the affected manufacturer an opportunity for a hearing conducted in accordance with 40 CFR part 1068, subpart G, and, if a manufacturer requests such a hearing, will be made only after an initial decision by the Presiding Officer. 
■86. Section 86.1866–12 is amended by 
adding introductory text and revising paragraph (b) introductory text to read as follows: § 86.1866–12 CO 2credits for advanced 
technology vehicles. 
This section describes how to apply 
CO 2credits for advanced technology 
passenger automobiles and light trucks (including MDPV). This section does not apply for heavy-duty vehicles that are not MDPV. 
* * * * * 
(b) For electric vehicles, plug-in 
hybrid electric vehicles, fuel cell 
vehicles, dedicated natural gas vehicles, and dual-fuel natural gas vehicles as those terms are defined in § 86.1803–01, that are certified and produced for U.S. sale in the 2017 through 2021 model years and that meet the additional specifications in this section, the manufacturer may use the production multipliers in this paragraph (b) when determining the manufacturer’s fleet average carbon-related exhaust emissions under § 600.510–12 of this chapter. Full size pickup trucks eligible for and using a production multiplier are not eligible for the performance- based credits described in § 86.1870– 12(b). 
* * * * * 
■87. Section 86.1867–12 is amended by 
revising the introductory text to read as 
follows: 
§ 86.1867–12 CO 2credits for reducing 
leakage of air conditioning refrigerant. 
Manufacturers may generate credits 
applicable to the CO 2fleet average 
program described in § 86.1865–12 by implementing specific air conditioning system technologies designed to reduce air conditioning refrigerant leakage over the useful life of their passenger automobiles and/or light trucks (including MDPV); only the provisions of paragraph (a) of this section apply for non-MDPV heavy-duty vehicles. Credits shall be calculated according to this section for each air conditioning system that the manufacturer is using to generate CO
2credits. Manufacturers 
may also generate early air conditioning refrigerant leakage credits under this section for the 2009 through 2011 model years according to the provisions of § 86.1871–12(b). 
* * * * * 
■88. Section 86.1868–12 is amended by 
revising the introductory text and 
paragraphs (e)(5), (f)(1), (g)(1), and (g)(3) introductory text to read as follows: 
§ 86.1868–12 CO 2credits for improving the 
efficiency of air conditioning systems. 
Manufacturers may generate credits 
applicable to the CO 2fleet average 
program described in § 86.1865–12 by implementing specific air conditioning system technologies designed to reduce air conditioning-related CO
2emissions 
over the useful life of their passenger automobiles and/or light trucks (including MDPV). The provisions of this section do not apply for non-MDPV heavy-duty vehicles. Credits shall be calculated according to this section for each air conditioning system that the manufacturer is using to generate CO
2 
credits. Manufacturers may also generate early air conditioning efficiency credits under this section for the 2009 through 2011 model years according to the provisions of § 86.1871–12(b). For model years 2012 and 2013 the manufacturer may determine air conditioning efficiency credits using the requirements in paragraphs (a) through (d) of this section. For model years 2014 through 2016 the eligibility requirements specified in either paragraph (e) or (f) of this section must be met before an air conditioning system is allowed to generate credits. For model years 2017 through 2019 the eligibility requirements specified in paragraph (f) of this section must be met before an air conditioning system is allowed to generate credits. For model years 2020 and later the eligibility requirements specified in paragraph (g) of this section must be met before an air conditioning system is allowed to generate credits. 
* * * * * 
(e) * * * 
(5) Air conditioning systems with 
compressors that are solely powered by electricity shall submit Air Conditioning Idle Test Procedure data to be eligible to generate credits in the 2014 and later model years, but such systems are not required to meet a specific threshold to be eligible to generate such credits, as long as the engine remains off for a period of at least 2 cumulative minutes during the air conditioning on portion of the Idle Test Procedure in § 86.165– 12(d). 
(f) * * * (1) The manufacturer shall perform 
the AC17 test specified in 40 CFR 1066.845 on each unique air conditioning system design and vehicle platform combination (as those terms are defined in § 86.1803) for which the manufacturer intends to accrue air conditioning efficiency credits. The manufacturer must test at least one unique air conditioning system within each vehicle platform in a model year, unless all unique air conditioning systems within a vehicle platform have been previously tested. A unique air conditioning system design is a system with unique or substantially different component designs or types and/or system control strategies (e.g., fixed 
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displacement vs. variable displacement 
compressors, orifice tube vs. thermostatic expansion valve, single vs. dual evaporator, etc.). In the first year of such testing, the tested vehicle configuration shall be the highest production vehicle configuration within each platform. In subsequent model years the manufacturer must test other unique air conditioning systems within the vehicle platform, proceeding from the highest production untested system until all unique air conditioning systems within the platform have been tested, or until the vehicle platform experiences a major redesign. Whenever a new unique air conditioning system is tested, the highest production configuration using that system shall be the vehicle selected for testing. Air conditioning system designs which have similar cooling capacity, component types, and control strategies, yet differ in terms of compressor pulley ratios or condenser or evaporator surface areas will not be considered to be unique system designs. The test results from one unique system design may represent all variants of that design. 
Manufacturers must use good engineering judgment to identify the unique air conditioning system designs which will require AC17 testing in subsequent model years. Results must be reported separately for all four phases (two phases with air conditioning off and two phases with air conditioning on) of the test to the Environmental Protection Agency, and the results of the calculations required in 40 CFR 1066.845 must also be reported. In each subsequent model year additional air conditioning system designs, if such systems exist, within a vehicle platform that is generating air conditioning credits must be tested using the AC17 procedure. When all unique air conditioning system designs within a platform have been tested, no additional testing is required within that platform, and credits may be carried over to subsequent model years until there is a significant change in the platform design, at which point a new sequence of testing must be initiated. No more than one vehicle from each credit- generating platform is required to be tested in each model year. 
* * * * * 
(g) * * * 
(1) For each air conditioning system 
(as defined in § 86.1803) selected by the 
manufacturer to generate air conditioning efficiency credits, the manufacturer shall perform the AC17 Air Conditioning Efficiency Test Procedure specified in 40 CFR 1066.845, according to the requirements of this paragraph (g). 
* * * * * 
(3) For the first model year for which 
an air conditioning system is expected 
to generate credits, the manufacturer must select for testing the projected highest-selling configuration within each combination of vehicle platform and air conditioning system (as those terms are defined in § 86.1803). The manufacturer must test at least one unique air conditioning system within each vehicle platform in a model year, unless all unique air conditioning systems within a vehicle platform have been previously tested. A unique air conditioning system design is a system with unique or substantially different component designs or types and/or system control strategies (e.g., fixed- 
displacement vs. variable displacement compressors, orifice tube vs. thermostatic expansion valve, single vs. dual evaporator, etc.). In the first year of such testing, the tested vehicle configuration shall be the highest production vehicle configuration within each platform. In subsequent model years the manufacturer must test other unique air conditioning systems within the vehicle platform, proceeding from the highest production untested system until all unique air conditioning systems within the platform have been tested, or until the vehicle platform experiences a major redesign. Whenever a new unique air conditioning system is tested, the highest production configuration using that system shall be the vehicle selected for testing. Credits may continue to be generated by the air conditioning system installed in a vehicle platform provided that: 
* * * * * 
■89. Section 86.1869–12 is amended by 
adding introductory text and revising 
paragraphs (b)(2) introductory text, (b)(4)(ii), and (f) to read as follows: 
§ 86.1869–12 CO 2credits for off-cycle CO 2- 
reducing technologies. 
This section describes how 
manufacturers may generate credits for off-cycle CO
2-reducing technologies. 
The provisions of this section do not apply for non-MDPV heavy-duty vehicles, except that § 86.1819– 14(d)(13) describes how to apply paragraphs (c) and (d) of this section for those vehicles. 
* * * * * 
(b) * * * 
(2) The maximum allowable decrease 
in the manufacturer’s combined 
passenger automobile and light truck fleet average CO
2emissions attributable 
to use of the default credit values in paragraph (b)(1) of this section is 10 grams per mile. If the total of the CO
2 
g/mi credit values from paragraph (b)(1) of this section does not exceed 10 g/mi for any passenger automobile or light truck in a manufacturer’s fleet, then the total off-cycle credits may be calculated according to paragraph (f) of this section. If the total of the CO
2g/mi 
credit values from paragraph (b)(1) of this section exceeds 10 g/mi for any passenger automobile or light truck in a manufacturer’s fleet, then the gram per mile decrease for the combined passenger automobile and light truck fleet must be determined according to paragraph (b)(2)(i) of this section to determine whether the 10 g/mi limitation has been exceeded. 
* * * * * 
(4) * * * 
(ii) High efficiency exterior lighting 
means a lighting technology that, when 
installed on the vehicle, is expected to reduce the total electrical demand of the exterior lighting system when compared to conventional lighting systems. To be eligible for this credit, the high efficiency lighting must be installed in one or more of the following lighting components: low beam, high beam, parking/position, front and rear turn signals, front and rear side markers, taillights, and/or license plate lighting. 
* * * * * 
(f) Calculation of total off-cycle 
credits. Total off-cycle credits in 
Megagrams of CO
2(rounded to the 
nearest whole number) shall be 
calculated separately for passenger automobiles and light trucks according to the following formula: 
Total Credits (Megagrams) = (Credit × 
Production × VLM) ÷ 1,000,000 
Where: 
Credit = the credit value in grams per mile 
determined in paragraph (b), (c) or (d) of 
this section. 
Production = The total number of passenger 
automobiles or light trucks, whichever is applicable, produced with the off-cycle technology to which to the credit value determined in paragraph (b), (c), or (d) of this section applies. 
VLM = vehicle lifetime miles, which for 
passenger automobiles shall be 195,264 
and for light trucks shall be 225,865. 
■90. Section 86.1870–12 is amended by 
revising the section heading, 
introductory text, and paragraph (a) introductory text and adding paragraph (a)(3) to read as follows: 
§ 86.1870–12 CO 2credits for qualifying 
full-size light pickup trucks. 
Full-size pickup trucks may be 
eligible for additional credits based on the implementation of hybrid technologies or on exhaust emission 
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performance, as described in this 
section. Credits may be generated under either paragraph (a) or (b) of this section for a qualifying pickup truck, but not both. The provisions of this section do not apply for heavy-duty vehicles. 
(a) Credits for implementation of 
hybrid electric technology. Full size pickup trucks that implement hybrid electric technologies may be eligible for an additional credit under this paragraph (a). Pickup trucks earning the credits under this paragraph (a) may not earn the credits described in paragraph (b) of this section. To claim this credit, the manufacturer must measure the recovered energy over the Federal Test Procedure according to 40 CFR 600.116– 12(d) to determine whether a vehicle is a mild or strong hybrid electric vehicle. To provide for EPA testing, the vehicle must be able to broadcast battery pack voltage via an on-board diagnostics parameter ID channel. 
* * * * * 
(3) If you produce both mild and 
strong hybrid electric full size pickup 
trucks but do not qualify for credits under paragraph (a)(1) or (2) of this section, your hybrid electric full size pickup trucks may be eligible for a credit of 10 grams/mile. To receive this credit in a given model year, you must produce a quantity of hybrid electric full size pickup trucks such that the proportion of combined mild and strong full size hybrid electric pickup trucks produced in a model year, when compared to your total production of full size pickup trucks, is not less than the required minimum percentages specified in paragraph (a)(1) of this section. 
* * * * * 
■91. Section 86.1871–12 is amended by 
revising the introductory text and 
paragraphs (a) introductory text, (b)(1), and (d) to read as follows: 
§ 86.1871–12 Optional early CO 2credit 
programs. 
Manufacturers may optionally 
generate CO 2credits in the 2009 through 
2011 model years for use in the 2012 and later model years subject to EPA approval and to the provisions of this section. The provisions of § 86.1819– 14(k)(1) and (2) apply instead of the provisions of this section for non-MDPV heavy-duty vehicles. Manufacturers may generate early fleet average credits, air conditioning leakage credits, air conditioning efficiency credits, early advanced technology credits, and early off-cycle technology credits. Manufacturers generating any credits under this section must submit an early credits report to the Administrator as required in this section. The terms 
‘‘sales’’ and ‘‘sold’’ as used in this section shall mean vehicles produced for U.S. sale, where ‘‘U.S.’’ means the states and territories of the United States. The expiration date of unused CO
2credits is based on the model year 
in which the credits are earned, as described in § 86.1865–12(k)(6). 
(a) Early fleet average CO
2reduction 
credits. Manufacturers may optionally 
generate credits for reductions in their fleet average CO
2emissions achieved in 
the 2009 through 2011 model years. To generate early fleet average CO
2 
reduction credits, manufacturers must select one of the four pathways described in paragraphs (a)(1) through (4) of this section. The manufacturer may select only one pathway, and that 
pathway must remain in effect for the 2009 through 2011 model years. Fleet average credits (or debits) must be calculated and reported to EPA for each model year under each selected pathway. 
* * * * * 
(b) Early air conditioning leakage and 
efficiency credits. (1) Manufacturers 
may optionally generate air conditioning refrigerant leakage credits according to the provisions of § 86.1867 and/or air conditioning efficiency credits according to the provisions of § 86.1868 in model years 2009 through 2011. Credits must be tracked by model type and model year. 
* * * * * 
(d) Early off-cycle technology credits. 
Manufacturers may optionally generate 
credits for the implementation of certain CO
2-reducing technologies according to 
the provisions of § 86.1869 in model years 2009 through 2011. Credits must be tracked by model type and model year. 
* * * * * 
Subpart T—Manufacturer-Run In-Use 
Testing Program for Heavy-Duty Diesel Engines 
■92. Section 86.1910 is amended by 
revising paragraph (i) to read as follows: 
§ 86.1910 How must I prepare and test my 
in-use engines? 
* * * * * 
(i) You may count a vehicle as 
meeting the vehicle-pass criteria 
described in § 86.1912 if a shift day of testing or two-shift days of testing (with the requisite non-idle/idle operation time as in paragraph (g) of this section), or if the extended testing you elected under paragraph (h) of this section does not generate a single valid NTE sampling event, as described in § 86.1912(b). Count the vehicle towards meeting your testing requirements under this subpart. 
* * * * * 
■93. Section 86.1912 is revised to read 
as follows: 
§ 86.1912 How do I determine whether an 
engine meets the vehicle-pass criteria? 
In general, the average emissions for 
each regulated pollutant must remain at 
or below the NTE threshold in paragraph (a) of this section for at least 90 percent of the valid NTE sampling events, as defined in paragraph (b) of this section. For 2007 through 2009 model year engines, the average emissions from every NTE sampling event must also remain below the NTE thresholds in paragraph (g)(2) of this section. Perform the following steps to determine whether an engine meets the vehicle-pass criteria: 
(a) Determine the NTE threshold for 
each pollutant subject to an NTE standard by adding all three of the following terms and rounding the result to the same number of decimal places as the applicable NTE standard: 
(1) The applicable NTE standard. 
(2) The in-use compliance testing 
margin specified in § 86.007–11(h), if 
any. 
(3) An accuracy margin for portable 
in-use equipment when testing is performed under the special provisions of § 86.1930, depending on the pollutant, as follows: 
(i) NMHC: 0.17 g/hp·hr. 
(ii) CO: 0.60 g/hp·hr. (iii) NO
X: 0.50 g/hp·hr. 
(iv) PM: 0.10 g/hp·hr. 
(v) NO X+ NMHC: 0.67 g/hp·hr. 
(4) Accuracy margins for portable in- 
use equipment when testing is not performed under the special provisions of § 86.1930 for 2007 through 2009 model year engine families that are selected for testing in any calendar year as follows: 
(i) NMHC using the emission 
calculation method specified in 40 CFR 1065.650(a)(1): 0.02 g/hp·hr. 
(ii) NMHC using the emission 
calculation method specified in 40 CFR 1065.650(a)(3): 0.01 g/hp·hr. 
(iii) NMHC using an alternative 
emission calculation method we approve under 40 CFR 1065.915(d)(5)(iv): 0.01 g/hp·hr. 
(iv) CO using the emission calculation 
method specified in 40 CFR 1065.650(a)(1): 0.5 g/hp·hr. 
(v) CO using the emission calculation 
method specified in 40 CFR 1065.650(a)(3): 0.25 g/hp·hr. 
(vi) CO using an alternative emission 
calculation method we approve under 40 CFR 1065.915(d)(5)(iv): 0.25 g/hp·hr. 
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(vii) NO Xusing the emission 
calculation method specified in 40 CFR 
1065.650(a)(1): 0.45 g/hp·hr. 
(viii) NO Xusing the emission 
calculation method specified in 40 CFR 1065.650(a)(3): 0.15 g/hp·hr. 
(ix) NO
Xusing an alternative emission 
calculation method we approve under 40 CFR 1065.915(d)(5)(iv): 0.15 g/hp·hr. 
(x) NO
X+ NMHC using the emission 
calculation method specified in 40 CFR 1065.650(a)(1): 0.47 g/hp·hr. 
(xi) NO
X+ NMHC using the emission 
calculation method specified in 40 CFR 1065.650(a)(3): 0.16 g/hp·hr. 
(xii) NO
X+ NMHC using an 
alternative emission calculation method we approve under 40 CFR 1065.915(d)(5)(iv): 0.16 g/hp·hr. 
(xiii) PM: 0.006 g/hp·hr. 
(5) Accuracy margins for portable in- 
use equipment when testing is not 
performed under the special provisions of § 86.1930 for 2010 or later model year engines families that are selected for testing in any calendar year as follows: 
(i) NMHC using any emission 
calculation method specified in 40 CFR 1065.650(a) or an alternative emission calculation method we approve under 
40 CFR 1065.915(d)(5)(iv): 0.01 g/hp·hr. 
(ii) CO using any emission calculation 
method specified in 40 CFR 1065.650(a) or an alternative emission calculation method we approve under 40 CFR 1065.915(d)(5)(iv): 0.25 g/hp·hr. 
(iii) NO
Xusing any emission 
calculation method specified in 40 CFR 1065.650(a) or an alternative emission calculation method we approve under 40 CFR 1065.915(d)(5)(iv): 0.15 g/hp·hr. 
(iv) PM: 0.006 g/hp·hr. 
(b) For the purposes of this subpart, 
a valid NTE sampling event consists of at least 30 seconds of continuous 
operation in the NTE control area. An NTE event begins when the engine starts to operate in the NTE control area and continues as long as engine operation remains in this area (see § 86.1370). When determining a valid NTE sampling event, exclude all engine operation in approved NTE limited testing regions under § 86.1370– 2007(b)(6) and any approved NTE deficiencies under § 86.007–11(a)(4)(iv). Engine operation in the NTE control area of less than 30 contiguous seconds does not count as a valid NTE sampling event; operating periods of less than 30 seconds in the NTE control area, but outside of any allowed deficiency area or limited testing region, will not be added together to make a 30 second or longer event. Exclude any portion of a sampling event that would otherwise exceed the 5.0 percent limit for the time-weighted carve-out defined in § 86.1370–2007(b)(7). For EGR-equipped engines, exclude any operation that occurs during the cold-temperature operation defined by the equations in § 86.1370–2007(f)(1). 
(c) Calculate the average emission 
level for each pollutant over each valid NTE sampling event as specified in 40 CFR part 1065, subpart G, using each NTE event as an individual test interval. This should include valid NTE events from all days of testing. 
(d) If the engine has an open 
crankcase, account for these emissions by adding 0.00042 g/hp·hr to the PM emission result for every NTE event. 
(e) Calculate a time-weighted vehicle- 
pass ratio (R
pass) for each pollutant. To 
do this, first sum the time from each valid NTE sampling event whose average emission level is at or below the NTE threshold for that pollutant, then divide this value by the sum of the engine operating time from all valid NTE events for that pollutant. Round the resulting vehicle-pass ratio to two decimal places. 
(1) Calculate the time-weighted 
vehicle-pass ratio for each pollutant as follows: 
Where: 
npass= the number of valid sampling events 
for which the average emission level is 
at or below the NTE threshold. 
ntotal= the total number of valid NTE 
sampling events. 
(2) For both the numerator and the 
denominator of the vehicle-pass ratio, 
use the smallest of the following values for determining the duration, t, of any 
NTE sampling event: 
(i) The measured time in the NTE 
zone that is valid for an NTE sampling event. 
(ii) 600 seconds. 
(iii) 10 times the length of the shortest 
valid NTE sampling event for all testing 
with that engine. 
(f) The following example illustrates 
how to select the duration of NTE sampling events for calculations, as described in paragraph (f) of this section: 
NTE sample Duration of 
NTE sample 
(seconds) Duration limit applied? Duration 
used in 
calculations 
(seconds) 
1 ........................ 45 No ................................................................................................. ............................................ 45 
2 ........................ 168 No ................................................................................................ ............................................. 168 
3 ........................ 605 Yes. Use 10 times shortest valid NTE .............................................................. ....................... 450 
4 ........................ 490 Yes. Use 10 times shortest valid NTE .............................................................. ....................... 450 
5 ........................ 65 No ................................................................................................. ............................................ 65 
(g) Engines meet the vehicle-pass 
criteria under this section if they meet both of the following criteria: 
(1) The vehicle-pass ratio calculated 
according to paragraph (e) of this section must be at least 0.90 for each pollutant. 
(2) For model year 2007 through 2009 
engines, emission levels from every valid NTE sampling event must be less than 2.0 times the NTE thresholds calculated according to paragraph (a) of this section for all pollutants, except that engines certified to a NO
XFEL at 
or below 0.50 g/hp·hr may meet the 
vehicle-pass criteria for NO Xif 
measured NO Xemissions from every 
valid NTE sample are less than either 2.0 times the NTE threshold for NO
Xor 
2.0 g/hp·hr, whichever is greater. 
■94. Section 86.1920 is amended by 
revising paragraph (b) introductory text to read as follows: § 86.1920 What in-use testing information 
must I report to EPA? 
* * * * * 
(b) Within 45 days after the end of 
each calendar quarter, send us reports 
containing the test data from each engine for which testing was completed during the calendar quarter. 
Alternatively, you may separately send us the test data within 30 days after you complete testing for an engine. If you request it, we may allow additional time to send us this information. Once you 
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send us information under this section, 
you need not send that information again in later reports. Prepare your test reports as follows: 
* * * * * 
Appendix I to Part 86—[Amended] 
■95. Appendix I to part 86 is amended 
by removing paragraph (f)(3). 
PART 600—FUEL ECONOMY AND 
GREENHOUSE GAS EXHAUST EMISSIONS OF MOTOR VEHICLES 
■96. The authority citation for part 600 
continues to read as follows: 
Authority: 49 U.S.C. 32901–23919q, Pub. 
L. 109–58. 
Subpart A—General Provisions 
■97. Section 600.001 is amended by 
revising paragraph (a) to read as follows: 
§ 600.001 General applicability. 
(a) The provisions of this part apply 
to 2008 and later model year automobiles that are not medium duty passenger vehicles, and to 2011 and later model year automobiles including medium-duty passenger vehicles. The test procedures in subpart B of this part also apply to 2014 and later heavy-duty vehicles subject to standards under 40 CFR part 86, subpart S. 
* * * * * 
■98. Section 600.002 is amended by 
revising the definitions for ‘‘Engine 
code’’, ‘‘Subconfiguration’’, ‘‘Transmission class’’, and ‘‘Vehicle configuration’’ to read as follows: 
§ 600.002 Definitions. 
* * * * * 
Engine code means one of the 
following: (1) For LDV, LDT, and MDPV, engine 
code means a unique combination, 
within an engine-system combination (as defined in § 86.1803 of this chapter), of displacement, fuel injection (or carburetion or other fuel delivery system), calibration, distributor calibration, choke calibration, auxiliary emission control devices, and other engine and emission control system components specified by the Administrator. For electric vehicles, engine code means a unique combination of manufacturer, electric traction motor, motor configuration, motor controller, and energy storage device. 
(2) For HDV, engine code has the 
meaning given in § 86.1819–14(d)(12) of this chapter. 
* * * * * 
Subconfiguration means one of the 
following: 
(1) For LDV, LDT, and MDPV, 
subconfiguration means a unique 
combination within a vehicle 
configuration of equivalent test weight, road-load horsepower, and any other operational characteristics or parameters which the Administrator determines may significantly affect fuel economy or CO
2emissions within a vehicle 
configuration. 
(2) For HDV, subconfiguration has the 
meaning given in § 86.1819–14(d)(12) of this chapter. 
* * * * * 
Transmission class means a group of 
transmissions having the following 
common features: Basic transmission type (e.g., automatic, manual, automated 
manual, semi-automatic, or continuously variable); number of forward gears used in fuel economy testing (e.g., manual four-speed, three- speed automatic, two-speed semi- automatic); drive system (e.g., front 
wheel drive, rear wheel drive; four wheel drive), type of overdrive, if applicable (e.g., final gear ratio less than 
1.00, separate overdrive unit); torque converter type, if applicable (e.g., non- 
lockup, lockup, variable ratio); and other transmission characteristics that may be determined to be significant by the Administrator. 
* * * * * 
Vehicle configuration means one of 
the following: 
(1) For LDV, LDT, and MDPV, vehicle 
configuration means a unique 
combination of basic engine, engine 
code, inertia weight class, transmission configuration, and axle ratio within a base level. 
(2) For HDV, vehicle configuration has 
the meaning given for ‘‘configuration’’ in § 86.1819–14(d)(12) of this chapter. 
* * * * * 
Subpart B—Fuel Economy and 
Carbon-Related Exhaust Emission Test Procedures 
■99. Section 600.113–12 is amended by 
revising paragraphs (m), (n) introductory text, (n)(2), and (n)(3) and adding paragraph (o) to read as follows: 
§ 600.113–12 Fuel economy, CO2 
emissions, and carbon-related exhaust emission calculations for FTP, HFET, US06, SC03 and cold temperature FTP tests. 
* * * * * 
(m)(1) For automobiles fueled with 
liquefied petroleum gas and 
automobiles designed to operate on gasoline and liquefied petroleum gas, the fuel economy in miles per gallon of liquefied petroleum gas is to be calculated using the following equation: 
Where: 
mpg e= miles per gasoline gallon equivalent 
of liquefied petroleum gas. 
CWF fuel= carbon weight fraction based on 
the hydrocarbon constituents in the 
liquefied petroleum gas fuel as obtained in paragraph (f)(5) of this section and rounded according to paragraph (g)(3) of this section. 
SG = Specific gravity of the fuel as 
determined in paragraph (f)(5) of this section and rounded according to paragraph (g)(3) of this section. 
3781.8 = Grams of H
2O per gallon conversion 
factor. 
CWF HC= Carbon weight fraction of exhaust 
hydrocarbon = CWF fuelas determined in paragraph (f)(4) of this section and 
rounded according to paragraph (f)(3) of this section. 
HC = Grams/mile HC as obtained in 
paragraph (g)(2) of this section. 
CO = Grams/mile CO as obtained in 
paragraph (g)(2) of this section. 
CO
2= Grams/mile CO 2as obtained in 
paragraph (g)(2) of this section. 
(2)(i) For automobiles fueled with 
liquefied petroleum gas and 
automobiles designed to operate on gasoline and liquefied petroleum gas, the carbon-related exhaust emissions in grams per mile while operating on liquefied petroleum gas is to be calculated for 2012 and later model year vehicles using the following equation and rounded to the nearest 1 gram per mile: 
CREE = (CWF
HC/0.273 × HC) + (1.571 × 
CO) + CO 2 
Where: 
CREE means the carbon-related exhaust 
emission value as defined in § 600.002. 
CWF HC= Carbon weight fraction of exhaust 
hydrocarbon = CWF fuelas determined in 
paragraph (f)(5) of this section and 
rounded according to paragraph (g)(3) of this section. 
HC = Grams/mile HC as obtained in 
paragraph (g)(2) of this section. 
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CO = Grams/mile CO as obtained in 
paragraph (g)(2) of this section. 
CO 2= Grams/mile CO 2as obtained in 
paragraph (g)(2) of this section. 
(ii) For manufacturers complying with 
the fleet averaging option for N 2O and 
CH 4as allowed under § 86.1818 of this 
chapter, the carbon-related exhaust 
emissions in grams per mile for 2012 and later model year automobiles fueled with liquefied petroleum gas and automobiles designed to operate on mixtures of gasoline and liquefied petroleum gas while operating on liquefied petroleum gas is to be calculated using the following equation and rounded to the nearest 1 gram per mile: 
CREE = [(CWF
exHC/0.273) × NMHC] + 
(1.571 × CO) + CO 2+ (298 × N2O) 
+ (25 × CH 4) 
Where: 
CREE means the carbon-related exhaust 
emission value as defined in § 600.002. 
CWF HC= Carbon weight fraction of exhaust 
hydrocarbon = CWF fuelas determined in 
paragraph (f)(5) of this section and 
rounded according to paragraph (g)(3) of this section. 
NMHC = Grams/mile HC as obtained in 
paragraph (g)(2) of this section. 
CO = Grams/mile CO as obtained in 
paragraph (g)(2) of this section. 
CO
2= Grams/mile CO 2as obtained in 
paragraph (g)(2) of this section. 
N2O = Grams/mile N 2O as obtained in 
paragraph (g)(2) of this section. 
CH 4= Grams/mile CH 4as obtained in 
paragraph (g)(2) of this section. 
(n) Manufacturers shall determine 
CO 2emissions and carbon-related 
exhaust emissions for electric vehicles, 
fuel cell vehicles, and plug-in hybrid electric vehicles according to the provisions of this paragraph (n). Subject to the limitations on the number of vehicles produced and delivered for sale as described in § 86.1866 of this chapter, the manufacturer may be allowed to use a value of 0 grams/mile to represent the emissions of fuel cell vehicles and the proportion of electric operation of a electric vehicles and plug-in hybrid electric vehicles that is derived from electricity that is generated from sources that are not onboard the vehicle, as described in paragraphs (n)(1) through (3) of this section. For purposes of labeling under this part, the CO
2 
emissions for electric vehicles shall be 0 grams per mile. Similarly, for purposes of labeling under this part, the CO
2emissions for plug-in hybrid 
electric vehicles shall be 0 grams per mile for the proportion of electric operation that is derived from electricity that is generated from sources that are not onboard the vehicle. For manufacturers no longer eligible to use 0 grams per mile to represent electric operation, and for all 2026 and later model year electric vehicles, fuel cell vehicles, and plug-in hybrid electric vehicles, the provisions of this paragraph (n) shall be used to determine the non-zero value for CREE for purposes of meeting the greenhouse gas emission standards described in § 86.1818 of this chapter. 
* * * * * 
(2) For plug-in hybrid electric 
vehicles, the carbon-related exhaust 
emissions in grams per mile is to be calculated according to the provisions of § 600.116, except that the CREE for charge-depleting operation shall be the sum of the CREE associated with gasoline consumption and the net upstream CREE determined according to paragraph (n)(1) of this section, rounded to the nearest one gram per mile. 
(3) For 2012 and later model year fuel 
cell vehicles, the carbon-related exhaust emissions in grams per mile shall be calculated using the method specified in paragraph (n)(1) of this section, except that CREE
UPshall be determined 
according to procedures established by the Administrator under § 600.111– 08(f). As described in § 86.1866 of this chapter, the value of CREE may be set equal to zero for a certain number of 2012 through 2025 model year fuel cell vehicles. 
(o) Equations for fuels other than 
those specified in this section may be used with advance EPA approval. Alternate calculation methods for fuel economy and carbon-related exhaust emissions may be used in lieu of the methods described in this section if shown to yield equivalent or superior results and if approved in advance by the Administrator. 
■100. Section 600.116–12 is amended 
as follows: 
■a. By revising paragraph (c)(1) 
introductory text. 
■b. By redesignating paragraphs (c)(2) 
through (9) as paragraphs (c)(3) through (10), respectively. 
■c. By adding a new paragraph (c)(2). 
■d. By revising newly redesignated 
paragraph (c)(4). 
■e. By revising newly redesignated 
paragraph (c)(5) introductory text. 
■f. By revising paragraphs (d)(1)(i)(C), 
(d)(1)(ii), (d)(2)(ii), and (d)(3). 
The revisions and addition read as 
follows: 
§ 600.116–12 Special procedures related to 
electric vehicles and hybrid electric vehicles. 
* * * * * 
(c) * * * 
(1) To determine CREE values to 
demonstrate compliance with GHG 
standards, calculate composite values representing combined operation during charge-depleting and charge-sustaining operation using the following utility factors except as specified in this paragraph (c): 
* * * * * 
(2) Determine fuel economy values to 
demonstrate compliance with CAFE 
standards as follows: 
(i) For vehicles that are not dual 
fueled automobiles, determine fuel economy using the utility factors described in paragraph (c)(1) of this section. Do not use the petroleum- equivalence factors described in 10 CFR 474.3. 
(ii) Except as described in paragraph 
(c)(2)(iii) of this section, determine fuel economy for dual fueled automobiles from the following equation, separately for city and highway driving: 
Where: 
MPG gas= The miles per gallon measured 
while operating on gasoline during 
charge-sustaining operation as determined using the procedures of SAE 
J1711. 
MPGe elec= The miles per gallon equivalent 
measured while operating on electricity. Calculate this value by dividing the equivalent all-electric range determined from the equation in § 86.1866– 12(b)(2)(ii) by the corresponding measured Watt-hours of energy consumed; apply the appropriate petroleum-equivalence factor from 10 CFR 474.3 to convert Watt-hours to 
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gallons equivalent. Note that if vehicles 
use no gasoline during charge-depleting operation, MPGe
elecis the same as the charge-depleting fuel economy specified 
in SAE J1711. 
(iii) For 2016 and later model year 
dual fueled automobiles, you may determine fuel economy based on the 
following equation, separately for city and highway driving: 
Where: 
UF = The appropriate utility factor for city 
or highway driving as described in 
paragraph (c)(1) of this section. 
* * * * * 
(4) You may calculate performance 
values under paragraphs (c)(1) through (3) of this section by combining phases during FTP testing. For example, you may treat the first 7.45 miles as a single phase by adding the individual utility factors for that portion of driving and assigning emission levels to the combined phase. Do this consistently throughout a test run. 
(5) Instead of the utility factors 
specified in paragraphs (c)(1) through (3) of this section, calculate utility factors using the following equation for vehicles whose maximum speed is less than the maximum speed specified in the driving schedule, where the vehicle’s maximum speed is determined, to the nearest 0.1 mph, from observing the highest speed over the first duty cycle (FTP, HFET, etc.): 
* * * * * 
(d) * * * 
(1) * * * (i) * * * (C) Determine braking power in 
kilowatts using the following equation. 
Note that during braking events, P
brake, 
Paccel, and P roadload will all be negative 
(i.e., resistive) forces on the vehicle. 
Pbrake= Paccel¥P roadload  
Where: 
Paccel= the value determined in paragraph 
(d)(1)(i)(B) of this section; 
Proadload = the value determined in paragraph 
(d)(1)(i)(A) of this section; and 
Pbrake= 0 if P accelis greater than or equal to 
Proadload . 
(ii) The total maximum braking 
energy (E brake) that could theoretically be 
recovered is equal to the absolute value 
of the sum of all the values of P brake 
determined in paragraph (d)(1)(i)(C) of this section, divided by 36000 (to convert 10 Hz data to hours) and rounded to the nearest 0.01 kilowatt- hours. 
(2) * * * 
(ii) At each sampling point where 
current is flowing into the battery, calculate the energy flowing into the 
battery, in Watt-hours, as follows: 
Where: 
Et= the energy flowing into the battery, in 
Watt-hours, at time t in the test; 
It= the electrical current, in Amps, at time 
t in the test; and 
Vnominal = the nominal voltage of the hybrid 
battery system determined according to 
paragraph (d)(4) of this section. 
* * * * * 
(3) The percent of braking energy 
recovered by a hybrid system relative to 
the total available energy is determined by the following equation, rounded to the nearest one percent: 
Where: 
Erec= The actual total energy recovered, in 
kilowatt-hours, as determined in 
paragraph (d)(2) of this section; and 
Ebrake= The theoretical maximum amount of 
energy, in kilowatt-hours, that could be recovered by a hybrid electric vehicle over the FTP test cycle, as determined in paragraph (d)(1) of this section. 
* * * * * 
Subpart C—Procedures for Calculating 
Fuel Economy and Carbon-Related Exhaust Emission Values 
■101. Section 600.208–12 is amended 
by revising paragraph (a)(2)(iii) to read as follows: 
§ 600.208–12 Calculation of FTP-based 
and HFET-based fuel economy, CO 2 
emissions, and carbon-related exhaust emissions for a model type. 
(a) * * * 
(2) * * * (iii) All subconfigurations within the 
new base level are represented by test 
data in accordance with § 600.010(c)(1)(iii). 
* * * * * ■102. Section 600.210–12 is amended 
by revising paragraph (c)(2)(iv)(C) to 
read as follows: 
§ 600.210–12 Calculation of fuel economy 
and CO 2emission values for labeling. 
* * * * * 
(c) * * * 
(2) * * * (iv) * * * (C) Calculate a composite city CO
2 
emission rate and a composite highway 
CO 2emission rate by combining the 
separate results for battery and engine operation using the procedures described in § 600.116. Use these values to calculate the vehicle’s combined CO
2 
emissions as described in paragraph (c)(2)(i) of this section. 
* * * * * 
Subpart D—Fuel Economy Labeling 
■103. Section 600.311–12 is amended 
by revising paragraph (g) to read as 
follows: 
§ 600.311–12 Determination of values for 
fuel economy labels. 
* * * * * 
(g) Smog rating. Establish a rating for 
exhaust emissions other than CO 2based 
on the applicable emission standards for 
the appropriate model year as shown in Tables 1 through 3 of this section. Unless specified otherwise, use the California emission standards to select the smog rating only for vehicles not certified to any EPA standards. For Independent Commercial Importers that import vehicles not subject to Tier 2 or Tier 3 emission standards, the vehicle’s smog rating is 1. Similarly, if a manufacturer certifies vehicles to emission standards that are less stringent than all the identified standards for any reason, the vehicle’s smog rating is 1. If EPA or California emission standards change in the future, we may revise the emission levels corresponding to each rating for future model years as appropriate to reflect the changed standards. If this occurs, we would publish the revised ratings as described in § 600.302–12(k), allowing sufficient lead time to make the 
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changes; we would also expect to initiate a rulemaking to update the smog 
rating in the regulation. 
TABLE 1 OF§ 600.311–12—C RITERIA FOR ESTABLISHING SMOG RATING FOR MODEL YEAR2025 ANDLATER  
Rating U.S. EPA Tier 3 emission 
standard California Air Resources Board 
LEV III emission standard 
1 .......................................................................................................................... Bin 160 .................................... LEV 160. 
2 .......................................................................................................................... Bin 125 .................................... ULEV125. 
4 .......................................................................................................................... Bin 70 ...................................... ULEV70. 
5 .......................................................................................................................... Bin 50 ...................................... ULEV50. 
6 .......................................................................................................................... Bin 30 ...................................... SULEV30. 
7 .......................................................................................................................... Bin 20 ...................................... SULEV20. 
10 ........................................................................................................................ Bin 0 ........................................ ZEV. 
TABLE 2 OF§ 600.311–12—C RITERIA FOR ESTABLISHING SMOG RATING FOR MODEL YEARS 2018–2024 
Rating U.S. EPA Tier 3 emission 
standard U.S EPA Tier 2 emission 
standard California Air Resources Board 
LEV III emission standard 
1 .................................................................... Bin 160 .................................... Bin 5 through Bin 8 ................. LEV 160. 
3 .................................................................... Bin 125, Bin 110 ...................... Bin 4 ............... ......................... ULEV125. 
5 .................................................................... Bin 85, Bin 70 .......................... Bin 3 ............. ........................... ULEV70. 
6 .................................................................... Bin 50 ...................................... .............. .................................... ULEV50. 
7 .................................................................... Bin 30 ...................................... Bin 2 ......... ............................... SULEV30. 
8 .................................................................... Bin 20 ...................................... .............. .................................... SULEV20. 
10 .................................................................. Bin 0 ........................................ Bin 1 ......... ............................... ZEV. 
TABLE 3 OF§ 600.311–12—C RITERIA FOR ESTABLISHING SMOG RATING THROUGH MODEL YEAR2017 
Rating U.S. EPA Tier 2 emission 
standard U.S. EPA Tier 3 emission 
standard California Air Resources Board 
LEV II emission standard California Air Resources Board 
LEV III emission standard 
1 ............... .................................................. .................................................. ULEV & LEV II large trucks.
2 ............... Bin 8 ........................................ .................................................. SULEV II large t rucks.
3 ............... Bin 7.
4 ............... Bin 6 ........................................ .................................................. LEV II, option 1 .
5 ............... Bin 5 ........................................ Bin 160 .................................... LEV II ................. ..................... LEV160. 
6 ............... Bin 4 ........................................ Bin 125, Bin 110 ..................... ULEV II ...................... .............. ULEV125. 
7 ............... Bin 3 ........................................ Bin 85, Bin 70, Bin 50 ............. .................................................. ULEV70, ULEV50. 
8 ............... Bin 21...................................... Bin 30 ...................................... SULEV II ................................. SULE V30. 
9 ............... .................................................. Bin 20 ...................................... PZEV ....................................... SULEV20, PZEV. 
10 ............. Bin 1 ........................................ Bin 0 ........................................ ZEV ................... ...................... ZEV. 
1Vehicles qualify with a rating of 9 instead of 8 if they are certified to the EPA Tier 2, Bin 2 standards, and they are sold nationwide in a con-
figuration that is certified in California to the PZEV or SULEV20 standards. 
* * * * * 
Subpart F—Procedures for 
Determining Manufacturer’s Average Fuel Economy and Manufacturer’s Average Carbon-Related Exhaust Emissions 
■104. Section 600.510–12 is amended 
as follows: 
■a. By revising the entry for ‘‘MPG =’’ 
in paragraph (c)(1)(ii) after the equation. 
■b. By revising paragraphs (c)(2)(vi) 
introductory text, (c)(2)(vii)(A) introductory text, and (h). 
The revisions read as follows: 
§ 600.510–12 Calculation of average fuel 
economy and average carbon-related exhaust emissions. 
* * * * * 
(c) * * * 
(1) * * * (ii) * * * MPG = the average fuel economy for 
a category of vehicles determined 
according to paragraph (h) of this section; 
* * * * * 
(c) * * * 
(2) * * * (vi) For natural gas dual fuel model 
types, for model years 1993 through 
2016, the harmonic average of the following two terms; the result rounded to the nearest 0.1 mpg: 
* * * * * 
(vii)(A) For natural gas dual fuel 
model types, for model years after 2016, 
the combined model type fuel economy determined according to the following formula and rounded to the nearest 0.1 mpg: 
* * * * * 
(h) The increase in average fuel 
economy determined in paragraph (c) of 
this section attributable to dual fueled automobiles is subject to a maximum 
value that applies separately to each category of automobile specified in paragraph (a)(1) of this section. The increase in average fuel economy attributable to vehicles fueled by electricity or, for model years 2016 and 
later, by compressed natural gas, is not subject to a maximum value. The following maximum values apply under this paragraph (h): 
Model year Maximum 
increase 
(mpg) 
1993–2014 ............................ 1.2 
2015 ...................................... 1.0 
2016 ...................................... 0.8 
2017 ...................................... 0.6 
2018 ...................................... 0.4 
2019 ...................................... 0.2 
2020 and later ...................... 0.0 
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(1) The Administrator shall calculate 
the increase in average fuel economy to 
determine if the maximum increase provided in this paragraph (h) has been reached. The Administrator shall calculate the increase in average fuel economy for each category of automobiles specified in paragraph (a)(1) of this section by subtracting the average fuel economy values calculated in accordance with this section, assuming all alcohol dual fueled automobiles are operated exclusively on gasoline (or diesel fuel), from the average fuel economy values determined in paragraph (c) of this section. The difference is limited to the maximum increase specified in this paragraph (h). 
(2) [Reserved] 
* * * * * 
PART 1033—CONTROL OF EMISSIONS 
FROM LOCOMOTIVES 
■105. The authority citation for part 
1033 continues to read as follows: 
Authority: 42 U.S.C. 7401–7671q. 
Subpart A—Overview and Applicability 
■106. Section 1033.1 is amended by 
revising paragraph (e) to read as follows: 
§ 1033.1 Applicability. 
* * * * * 
(e) The provisions of this part apply 
as specified for locomotives manufactured or remanufactured on or after July 7, 2008. See § 1033.102 to determine whether the standards of this part or the standards specified in Appendix I of this part apply for model years 2008 through 2012. For example, for a locomotive that was originally manufactured in 2007 and remanufactured on April 10, 2014, the provisions of this part begin to apply on April 10, 2014. 
■107. Section 1033.30 is revised to read 
as follows: 
§ 1033.30 Submission of information. 
Unless we specify otherwise, send all 
reports and requests for approval to the Designated Compliance Officer (see § 1033.901). See § 1033.925 for additional reporting and recordkeeping provisions. 
Subpart B—Emission Standards and 
Related Requirements 
■108. Section 1033.101 is amended by 
revising paragraphs (f)(1)(ii), (f)(2)(i) and (iii), and (i) to read as follows: 
§ 1033.101 Exhaust emission standards. 
* * * * * 
(f) * * * (1) * * * 
(ii) Gaseous-fueled locomotives: 
Nonmethane-nonethane emissions 
(NMNEHC). This includes dual-fuel and flexible-fuel locomotives that use a combination of a gaseous fuel and a nongaseous fuel. 
* * * * * 
(2) * * * 
(i) Certify your Tier 4 and later diesel- 
fueled locomotives for operation with 
only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as the test fuel for these locomotives. You may alternatively certify Tier 4 and later locomotives using Low Sulfur Diesel Fuel (LSD). 
* * * * * 
(iii) Certify your Tier 3 and earlier 
diesel-fueled locomotives for operation 
with either ULSD fuel or LSD fuel if they do not include sulfur-sensitive technology or if you demonstrate compliance using an LSD test fuel (including commercial LSD fuel). 
* * * * * 
(i) Alternate CO standards. 
Manufacturers/remanufacturers may 
certify locomotives to an alternate CO emission standard of 10.0 g/bhp-hr instead of the otherwise applicable CO standard if they also certify those locomotives to alternate PM standards as follows: 
(1) The alternate PM standard for Tier 
0, Tier 1, and Tier 2 locomotives is one- half of the otherwise applicable PM standard. For example, a manufacturer certifying Tier 2 switch locomotives to a 0.065 g/bhp-hr PM standard may certify those locomotives to the alternate CO standard of 10.0 g/bhp-hr. 
(2) The alternate PM standard for Tier 
3 and Tier 4 locomotives is 0.01 g/bhp- hr. 
* * * * * 
■109. Section 1033.102 is revised to 
read as follows: 
§ 1033.102 Transition to the standards 
specified in this subpart. 
(a) The Tier 0 and Tier 1 standards of 
§ 1033.101 apply for new locomotives 
beginning January 1, 2010, except as specified in § 1033.150(a). The Tier 0 and Tier 1 standards specified in Appendix I of this part apply for earlier model years. 
(b) Except as specified in 
§ 1033.150(a), the Tier 2 standards of § 1033.101 apply for new locomotives beginning January 1, 2013. The Tier 2 standards specified in Appendix I of this part apply for earlier model years. 
(c) The Tier 3 and Tier 4 standards of 
§ 1033.101 apply for the model years specified in that section. 
■110. Section 1033.120 is amended by 
revising paragraph (b) to read as follows: § 1033.120 Emission-related warranty 
requirements. 
* * * * * 
(b) Warranty period. Except as 
specified in this paragraph, the 
minimum warranty period is one-third of the useful life. Your emission-related warranty must be valid for at least as long as the minimum warranty periods listed in this paragraph (b) in MW-hrs of operation (or miles for Tier 0 locomotives not equipped with MW-hr meters) and years, whichever comes first. You may offer an emission-related warranty more generous than we require. The emission-related warranty for the locomotive may not be shorter than any basic mechanical warranty you provide without charge for the locomotive. Similarly, the emission- related warranty for any component may not be shorter than any warranty you provide without charge for that component. This means that your warranty may not treat emission-related and nonemission-related defects differently for any component. If you provide an extended warranty to individual owners for any components covered in paragraph (c) of this section for an additional charge, your emission- related warranty must cover those components for those owners to the same degree. If the locomotive does not record MW-hrs, we base the warranty periods in this paragraph (b) only on years. The warranty period begins when the locomotive is placed into service, or back into service after remanufacture. 
* * * * * 
■111. Section 1033.135 is amended by 
revising paragraph (b)(3) to read as 
follows: 
§ 1033.135 Labeling. 
* * * * * 
(b) * * * 
(3) Label diesel-fueled locomotives 
near the fuel inlet to identify the 
allowable fuels, consistent with § 1033.101. For example, Tier 4 locomotives with sulfur-sensitive 
technology (or that otherwise require ULSD for compliance) should be labeled ‘‘ULTRA LOW SULFUR DIESEL FUEL ONLY’’. You do not need to label Tier 3 and earlier locomotives certified for use with both LSD and ULSD. 
* * * * * 
■112. Section 1033.150 is amended by 
revising paragraphs (a)(4)(ii) and (g) 
introductory text to read as follows: 
§ 1033.150 Interim provisions. 
* * * * * 
(a) * * * 
(4) * * * (ii) Calculate all costs in current 
dollars (for the month prior to the date 
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you submit your application). Calculate 
fuel costs based on a fuel price adjusted by the Association of American Railroads’ monthly railroad fuel price index (P), which is available at https:// 
www.aar.org/data-center/rail-cost- 
indexes. (Use values indexed to a price of 100.0 for July 15, 1990.) Calculate a new fuel price using the following equation: 
Fuel Price = ($2.76 per gallon) × (P/ 
539.8) 
* * * * * 
(g) Optional interim Tier 4 
compliance provisions for NO
X 
emissions. For model years 2015 
through 2022, manufacturers may 
choose to certify some or all of their Tier 4 line-haul engine families according to the optional compliance provisions of this paragraph (g). The following provisions apply to all locomotives in those families: 
* * * * * 
Subpart C—Certifying Engine Families 
■113. Section 1033.201 is amended by 
revising paragraphs (a) and (g) to read as 
follows: 
§ 1033.201 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 for new production from the indicated effective date, until the end of the model year for which it is issued, which may not extend beyond December 31 of that year. No certificate will be issued after December 31 of the model year. You may amend your application for certification after the end of the model year in certain circumstances as described in §§ 1033.220 and 1033.225. You must renew your certification annually for any locomotives you continue to produce. 
* * * * * 
(g) We may require you to deliver 
your test locomotives (including test 
engines, as applicable) to a facility we designate for our testing (see § 1033.235(c)). Alternatively, you may choose to deliver another engine/ locomotive that is identical in all material respects to the test locomotive, or another engine/locomotive that we determine can appropriately serve as an emission-data locomotive for the engine family. 
* * * * * 
■114. Section 1033.225 is amended by 
revising the section heading and adding paragraphs (b)(4) and (g) to read as 
follows: 
§ 1033.225 Amending applications for 
certification. 
* * * * * 
(b) * * * 
(4) Include any other information 
needed to make your application correct 
and complete. 
* * * * * 
(g) You may produce engines as 
described in your amended application 
for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration during the model year under paragraph (d) of this section. Similarly, you may modify in-use engines as described in your amended 
application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration at any time under paragraph (d) of this section. Modifying a new or in-use engine to be in a certified configuration does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve changing to a certified configuration with a higher family emission limit. 
■115. Section 1033.235 is amended by 
revising paragraphs (b), (c) introductory text, (c)(4), and (d)(1) to read as follows: 
§ 1033.235 Emission testing required for 
certification. 
* * * * * 
(b) Test your emission-data 
locomotives using the procedures and 
equipment specified in subpart F of this part. In the case of dual-fuel locomotives, measure emissions when operating with each type of fuel for which you intend to certify the locomotive. In the case of flexible-fuel locomotives, measure emissions when operating with the fuel mixture that best represents in-use operation or is most likely to have the highest NO
X 
emissions, though you may ask us instead to perform tests with both fuels separately if you can show that intermediate mixtures are not likely to occur in use. 
(c) We may perform confirmatory 
testing by measuring emissions from any of your emission-data locomotives or other locomotives from the engine family. 
* * * * * 
(4) Before we test one of your 
locomotives, we may calibrate it within 
normal production tolerances for anything we do not consider an adjustable parameter. For example, this would apply for a parameter that is subject to production variability because it is adjustable during production, but is not considered an adjustable parameter (as defined in § 1033.901) because it is permanently sealed. 
(d) * * * 
(1) The engine family from the 
previous model year differs from the 
current engine family only with respect to model year, items identified in § 1033.225(a), or other factors not related to emissions. We may waive this criterion for differences we determine not to be relevant. 
* * * * * 
■116. Section 1033.245 is amended by 
revising the introductory text and 
paragraph (b) introductory text and adding paragraphs (b)(3) through (5) to read as follows: 
§ 1033.245 Deterioration factors. 
Establish deterioration factors for each 
pollutant to determine whether your locomotives will meet emission standards for each pollutant throughout the useful life, as described in § 1033.240. Determine deterioration factors as described in this section, either with an engineering analysis, with pre-existing test data, or with new emission measurements. The deterioration factors are intended to reflect the deterioration expected to result during the useful life of a locomotive maintained as specified in § 1033.125. If you perform durability testing, the maintenance that you may perform on your emission-data locomotive is limited to the maintenance described in § 1033.125. You may carry across a deterioration factor from one engine family to another consistent with good engineering judgment. 
* * * * * 
(b) Apply deterioration factors as 
follows: * * * * * 
(3) Sawtooth and other nonlinear 
deterioration patterns. The deterioration 
factors described in paragraphs (b)(1) and (2) of this section assume that the highest useful life emissions occur either at the end of useful life or at the low-hour test point. The provisions of this paragraph (b)(3) apply where good engineering judgment indicates that the highest emissions over the useful life will occur between these two points. For example, emissions may increase with service accumulation until a certain maintenance step is performed, then return to the low-hour emission levels and begin increasing again. Base deterioration factors for locomotives with such emission patterns on the difference between (or ratio of) the point at which the highest emissions occur 
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and the low-hour test point. Note that 
this applies for maintenance-related deterioration only where we allow such critical emission-related maintenance. 
(4) Dual-fuel and flexible-fuel engines. 
In the case of dual-fuel and flexible-fuel locomotives, apply deterioration factors separately for each fuel type by measuring emissions with each fuel type at each test point. You may accumulate service hours on a single emission-data engine using the type of fuel or the fuel mixture expected to have the highest combustion and exhaust temperatures; you may ask us to approve a different fuel mixture if you demonstrate that a different criterion is more appropriate. 
(5) Deterioration factor for crankcase 
emissions. If your engine vents 
crankcase emissions to the exhaust or to the atmosphere, you must account for crankcase emission deterioration, using good engineering judgment. You may use separate deterioration factors for crankcase emissions of each pollutant (either multiplicative or additive) or include the effects in combined deterioration factors that include exhaust and crankcase emissions together for each pollutant. 
* * * * * 
■117. Section 1033.250 is amended by 
revising paragraphs (b)(3)(iv) and (c) to 
read as follows: 
§ 1033.250 Reporting and recordkeeping. 
* * * * * 
(b) * * * 
(3) * * * (iv) All your emission tests (valid and 
invalid), including the date and purpose 
of each test and documentation of test parameters as specified in part 40 CFR part 1065, and the date and purpose of each test. 
* * * * * 
(c) Keep required data from emission 
tests and all other information specified 
in this section for eight years after we issue your certificate. If you use the same emission data or other information for a later model year, the eight-year period restarts with each year that you continue to rely on the information. 
* * * * * 
■118. Section 1033.255 is amended by 
revising paragraphs (c)(2), (c)(4), (d), 
and (e) to read as follows: 
§ 1033.255 EPA decisions. 
* * * * * 
(c) * * * 
(2) Submit false or incomplete 
information (paragraph (e) of this 
section applies if this is fraudulent). This includes doing anything after submission of your application to render any of the submitted information false or incomplete. 
* * * * * 
(4) Deny us from completing 
authorized activities (see 40 CFR 
1068.20). This includes a failure to provide reasonable assistance. 
* * * * * 
(d) We may void the certificate of 
conformity for an engine family if you 
fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2). 
(e) We may void your certificate if we 
find that you intentionally submitted false or incomplete information. This includes rendering submitted information false or incomplete after submission. 
* * * * * 
Subpart D—Manufacturer and 
Remanufacturer Production Line Testing and Audit Programs 
■119. Section 1033.301 is amended by 
revising paragraph (a) to read as follows: 
§ 1033.301 Applicability. 
* * * * * 
(a) The requirements of §§ 1033.310, 
1033.315, 1033.320, and 1033.330 apply only to manufacturers of freshly manufactured locomotives or locomotive engines (including those used for repowering). We may also apply these requirements to remanufacturers of any locomotives for which there is reason to believe production problems exist that could affect emission performance. When we make a determination that production problems may exist that could affect emission performance, we will notify the remanufacturer(s). The requirements of §§ 1033.310, 1033.315, 1033.320, and 1033.330 will apply as specified in the notice. 
* * * * * 
§ 1033.320 [Amended] 
■120. Section 1033.320 is amended by 
redesignating paragraphs (e)(6) and 
(e)(7) as paragraphs (e)(5) and (e)(6), respectively. 
Subpart F—Test Procedures 
■121. Section 1033.501 is amended by 
revising paragraph (a)(3) and adding 
paragraphs (a)(4), (a)(5), and (j) to read as follows: 
§ 1033.501 General provisions. 
(a) * * * 
(3) The following provisions apply for 
engine mapping, duty-cycle generation, 
and cycle validation to account for the fact that locomotive operation and locomotive duty cycles are based on operator demand from locomotive notch settings, not on target values for engine speed and load: 
(i) The provisions related to engine 
mapping, duty-cycle generation, and cycle validation in 40 CFR 1065.510, 1065.512, and 1065.514 do not apply for testing complete locomotives. 
(ii) The provisions related to engine 
mapping and duty-cycle generation in 40 CFR 1065.510 and 1065.512 are not required for testing with an engine dynamometer; however, the cycle validation criteria of 40 CFR 1065.514 apply for such testing. Demonstrate compliance with cycle validation criteria based on manufacturer-declared values for maximum torque, maximum power, and maximum test speed, or determine these values from an engine map generated according to 40 CFR 1065.510. If you test using a ramped- modal cycle, you may perform cycle validation over all the test intervals together. 
(4) If you perform discrete-mode 
testing and use only one batch fuel measurement to determine your mean raw exhaust flow rate, you must target a constant sample flow rate over the mode. Verify proportional sampling as described in 40 CFR 1065.545 using the mean raw exhaust molar flow rate paired with each recorded sample flow rate. 
(5) If you perform discrete-mode 
testing by grouping the modes in the same manner as the test intervals of the ramped modal cycle using three different dilution settings for the groups, as allowed in § 1033.515(c)(5)(ii), you may verify proportional sampling over each group instead of each discrete mode. 
* * * * * 
(j) The following provisions apply for 
locomotives using aftertreatment 
technology with infrequent regeneration events that may occur during testing: 
(1) Adjust measured emissions to 
account for aftertreatment technology with infrequent regeneration as described in § 1033.535. 
(2) Invalidate a smoke test if active 
regeneration starts to occur during the test. 
■122. Section 1033.515 is amended by 
revising paragraphs (c)(2)(ii), (c)(4), and (c)(5)(ii) to read as follows: 
§ 1033.515 Discrete-mode steady-state 
emission tests of locomotives and locomotive engines. 
* * * * * 
(c) * * * 
(2) * * * 
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(ii) The sample period is 300 seconds 
for all test modes except mode 8. The 
sample period for test mode 8 is 600 seconds. 
* * * * * 
(4) If applicable, begin the smoke test 
at the start of the test mode A. Continue 
collecting smoke data until the completion of test mode 8. You may perform smoke measurements independent of criteria pollutant measurements by repeating the test over the duty cycle. If you choose this option, the minimum time-in-notch is 3.0 minutes for duty cycles in which only smoke is measured. Refer to § 1033.101 to determine applicability of smoke testing and § 1033.525 for details on how to conduct a smoke test. 
(5) * * * 
(ii) Group the modes in the same 
manner as the test intervals of the 
ramped modal cycle and use three different dilution settings for the groups. Use one setting for both idle modes, one for dynamic brake through Notch 5, and one for Notch 6 through Notch 8. For each group, ensure that the mode with the highest exhaust flow (typically normal idle, Notch 5, and Notch 8) meets the criteria for minimum dilution ratio in 40 CFR part 1065. 
* * * * * 
■123. Section 1033.520 is revised to 
read as follows: 
§ 1033.520 Alternative ramped modal 
cycles. 
(a) Locomotive testing over a ramped 
modal cycle is intended to improve 
measurement accuracy at low emission levels by allowing the use of batch sampling of PM and gaseous emissions over multiple locomotive notch settings. Ramped modal cycles combine multiple test modes of a discrete-mode steady- state into a single sample period. Time in notch is varied to be proportional to weighting factors. The ramped modal cycle for line-haul locomotives is shown in Table 1 to this section. The ramped modal cycle for switch locomotives is shown in Table 2 to this section. Both ramped modal cycles consist of a warm- up followed by three test intervals that are each weighted in a manner that maintains the duty-cycle weighting of the line-haul and switch locomotive duty cycles in § 1033.530. You may use ramped modal cycle testing for any locomotives certified under this part. 
(b) Ramped modal testing requires 
continuous gaseous analyzers and three separate PM filters (one for each test interval). You may collect a single batch sample for each test interval, but you must also measure gaseous emissions continuously to allow calculation of notch caps as required under § 1033.101. 
(c) You may operate the engine in any 
way you choose to warm it up. Then follow the provisions of 40 CFR part 1065, subpart F for general pre-test procedures (including engine and sampling system pre-conditioning). 
(d) Begin the test by operating the 
locomotive over the pre-test portion of the cycle. For locomotives not equipped with catalysts, you may begin the test as soon as the engine reaches its lowest idle setting. For catalyst-equipped locomotives, you may begin the test in normal idle mode if the engine does not reach its lowest idle setting within 15 minutes. If you do start in normal idle, run the low idle mode after normal idle, then resume the specified mode sequence (without repeating the normal idle mode). 
(e) Start the test according to 40 CFR 
1065.530. 
(1) Each test interval begins when 
operator demand is set to the first operator demand setting of each test interval of the ramped modal cycle. Each test interval ends when the time in mode is reached for the last mode in the test interval. 
(2) For PM emissions (and other batch 
sampling), the sample period over which emissions for the test interval are averaged generally begins within 10 seconds after the operator demand is changed to start the test interval and ends within 5 seconds of the sampling time for the test mode is reached (see Table 1 to this section). You may ask to delay the start of the sample period to account for sample system residence times longer than 10 seconds. 
(3) Use good engineering judgment 
when transitioning between test intervals. 
(i) You should come as close as 
possible to simultaneously: 
(A) Ending batch sampling of the 
previous test interval. 
(B) Starting batch sampling of the next 
test interval. 
(C) Changing the operator demand to 
the notch setting for the first mode in the next test interval. 
(ii) Avoid the following: 
(A) Overlapping batch sampling of the 
two test intervals. 
(B) An unnecessarily long delay 
before starting the next test interval. (iii) For example, the following 
sequence would generally be 
appropriate: 
(A) End batch sampling for Interval 2 
after 304 seconds in Notch 5. 
(B) Switch the operator demand to 
Notch 6 one second later. 
(C) Begin batch sampling for Interval 
3 one second after switching to Notch 6. 
(4) If applicable, begin the smoke test 
at the start of the first test interval of the applicable ramped modal cycle. Continue collecting smoke data until the completion of final test interval. You may perform smoke measurements independent of criteria pollutant measurements by rerunning the test over the duty cycle. If you choose this option, the minimum time-in-notch is 3.0 minutes for duty cycles in which only smoke is measured. Refer to § 1033.101 to determine applicability of the smoke standards and § 1033.525 for details on how to conduct a smoke test. 
(5) Proceed through each test interval 
of the applicable ramped modal cycle in the order specified until the test is completed. 
(6) If you must void a test interval, 
you may repeat it. To do so, begin with a warm engine operating at the notch setting for the last mode in the previous test interval. You do not need to repeat later test intervals if they were valid. (Note: You must report test results for 
all voided tests and test intervals.) 
(7) Following the completion of the 
third test interval of the applicable ramped modal cycle, conduct the post- test sampling procedures specified in 40 CFR 1065.530. 
(f) Calculate your cycle-weighted 
brake-specific emission rates as follows: 
(1) For each test interval j: 
(i) Calculate emission rates (E
ij) for 
each pollutant i as the total mass 
emissions divided by the total time in the test interval. 
(ii) Calculate average power (P
j) as the 
total work divided by the total time in the test interval. 
(2) For each pollutant, calculate your 
cycle-weighted brake-specific emission rate using the following equation, where w
jis the weighting factor for test 
interval j: 
(g) The following tables define 
applicable ramped modal cycles for line-haul and switch locomotives: 
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TABLE 1 TO§ 1033.520—L INE-HAULLOCOMOTIVE RAMPED MODAL CYCLE  
RMC test interval Weighting 
factor RMC mode Time in mode 
(seconds) Notch setting 
Pre-test idle ................................................................................. NA NA 600 to 900 Lowest idle sett ing.1 
Interval 1 (Idle test) ..................................................................... 0.380 A 600 Low Idle.2 
B 600 Normal Idle. 
Interval Transition 
Interval 2 ..................................................................................... 0.389 C 1000 Dynamic Brake.3 
1 520 Notch 1. 
2 520 Notch 2. 
3 416 Notch 3. 
4 352 Notch 4. 
5 304 Notch 5. 
Interval Transition 
Interval 3 ..................................................................................... 0.231 6 144 Notch 6. 
7 111 Notch 7. 
8 600 Notch 8. 
1See paragraph (d) of this section for alternate pre-test provisions. 
2Operate at normal idle for modes A and B if not equipped with multiple idle settings. 
3Operate at normal idle if not equipped with a dynamic brake. 
TABLE 2 TO§ 1033.520—S WITCH LOCOMOTIVE RAMPED MODAL CYCLE  
RMC test interval Weighting 
factor RMC mode Time in mode 
(seconds) Notch setting 
Pre-test idle ................................................................................. NA NA 600 to 900 Lowest idle sett ing.1 
Interval 1 (Idle test) ..................................................................... 0.598 A 600 Low Idle.2 
B 600 Normal Idle. 
Interval Transition 
Interval 2 ..................................................................................... 0.377 1 868 Notch 1. 
2 861 Notch 2. 
3 406 Notch 3. 
4 252 Notch 4. 
5 252 Notch 5. 
Interval Transition 
Interval 3 ..................................................................................... 0.025 6 1080 Notch 6. 
7 144 Notch 7. 
8 576 Notch 8. 
1See paragraph (d) of this section for alternate pre-test provisions. 
2Operate at normal idle for modes A and B if not equipped with multiple idle settings. 
■124. Section 1033.535 is revised to 
read as follows: 
§ 1033.535 Adjusting emission levels to 
account for infrequently regenerating aftertreatment devices. 
For locomotives using aftertreatment 
technology with infrequent regeneration 
events that may occur during testing, take one of the following approaches to account for the emission impact of regeneration: 
(a) You may use the calculation 
methodology described in 40 CFR 1065.680 to adjust measured emission results. Do this by developing an upward adjustment factor and a downward adjustment factor for each pollutant based on measured emission data and observed regeneration 
frequency as follows: 
(1) Adjustment factors should 
generally apply to an entire engine family, but you may develop separate adjustment factors for different configurations within an engine family. Use the adjustment factors from this section for all testing for the engine family. 
(2) You may use carryover or carry- 
across data to establish adjustment factors for an engine family as described in § 1033.235, consistent with good engineering judgment. 
(3) Determine the frequency of 
regeneration, F, as described in 40 CFR 
1065.680 from in-use operating data or from running repetitive tests in a laboratory. If the engine is designed for regeneration at fixed time intervals, you may apply good engineering judgment to determine F based on those design 
parameters. 
(4) Identify the value of F in each 
application for the certification for which it applies. 
(5) Apply the provisions for ramped- 
modal testing based on measurements for each test interval rather than the whole ramped-modal test. 
(b) You may ask us to approve an 
alternate methodology to account for regeneration events. We will generally limit approval to cases where your engines use aftertreatment technology with extremely infrequent regeneration and you are unable to apply the provisions of this section. 
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(c) You may choose to make no 
adjustments to measured emission 
results if you determine that regeneration does not significantly affect emission levels for an engine family (or configuration) or if it is not practical to identify when regeneration occurs. If you choose not to make adjustments under paragraph (a) or (b) of this section, your locomotives must meet emission standards for all testing, without regard to regeneration. 
Subpart G—Special Compliance 
Provisions 
■125. Section 1033.601 is amended by 
adding paragraph (f) to read as follows: 
§ 1033.601 General compliance provisions. 
* * * * * 
(f) Multi-fuel locomotives. Subpart C 
of this part describes how to test and certify dual-fuel and flexible-fuel locomotives. Some multi-fuel locomotives may not fit either of those defined terms. For such locomotives, we will determine whether it is most appropriate to treat them as single-fuel locomotives, dual-fuel locomotives, or flexible-fuel locomotives based on the range of possible and expected fuel mixtures. For example, a locomotive might burn natural gas but initiate combustion with a pilot injection of diesel fuel. If the locomotive is designed to operate with a single fueling algorithm (i.e., fueling rates are fixed at 
a given engine speed and load condition), we would generally treat it as a single-fuel locomotive, In this context, the combination of diesel fuel and natural gas would be its own fuel type. If the locomotive is designed to also operate on diesel fuel alone, we would generally treat it as a dual-fuel locomotive. If the locomotive is designed to operate on varying mixtures of the two fuels, we would generally treat it as a flexible-fuel locomotive. To the extent that requirements vary for the different fuels or fuel mixtures, we may apply the more stringent requirements. 
§ 1033.640 [Amended] 
■126. Section 1033.640 is amended by 
redesignating the second paragraph (c) and paragraphs (d) and (e) as paragraphs (d) through (f), respectively. 
Subpart H—Averaging, Banking, and 
Trading for Certification 
■127. Section 1033.701 is amended by 
adding paragraph (k) to read as follows: 
§ 1033.701 General provisions. 
* * * * * (k) You may use either of the 
following approaches to retire or forego emission credits: 
(1) You may retire emission credits 
generated from any number of your locomotives. This may be considered donating emission credits to the environment. Identify any such credits in the reports described in § 1033.730. Locomotives must comply with the applicable FELs even if you donate or sell the corresponding emission credits under this paragraph (e). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards. 
(2) You may certify a family using an 
FEL below the emission standard as described in this part and choose not to generate emission credits for that family. If you do this, you do not need to calculate emission credits for those families and you do not need to submit or keep the associated records described in this subpart for that family. 
■128. Section 1033.710 is amended by 
revising paragraph (c) to read as follows: 
§ 1033.710 Averaging emission credits. 
* * * * * 
(c) If you certify an engine family to 
an FEL that exceeds the otherwise applicable emission standard, you must obtain enough emission credits to offset the engine family’s deficit by the due date for the final report required in § 1033.730. The emission credits used to address the deficit may come from your other engine families that generate emission credits in the same model year, from emission credits you have banked from previous model years, or from emission credits generated in the same or previous model years that you obtained through trading or by transfer. 
■129. Section 1033.725 is amended by 
revising paragraph (b)(2) to read as follows: 
§ 1033.725 Requirements for your 
application for certification. 
* * * * * 
(b) * * * 
(2) Detailed calculations of projected 
emission credits (positive or negative) 
based on projected production volumes. We may require you to include similar calculations from your other engine families to demonstrate that you will be able to avoid negative credit balances for the model year. If you project negative emission credits for a family, state the source of positive emission credits you expect to use to offset the negative emission credits. 
■130. Section 1033.730 is amended by 
revising paragraphs (b)(1), (b)(4), (c)(2), and (d) to read as follows: § 1033.730 ABT reports. 
* * * * * 
(b) * * * 
(1) Engine family designation and 
averaging sets (whether switch, line- 
haul, or both). 
* * * * * 
(4) The projected and actual U.S.- 
directed production volumes for the 
model year as described in § 1033.705. If you changed an FEL during the model year, identify the actual U.S.-directed production volume associated with each FEL. 
* * * * * 
(c) * * * 
(2) State whether you will retain any 
emission credits for banking. If you 
choose to retire emission credits that would otherwise be eligible for banking, identify the engine families that generated the emission credits, including the number of emission credits from each family. 
* * * * * 
(d) If you trade emission credits, you 
must send us a report within 90 days 
after the transaction, as follows: 
(1) As the seller, you must include the 
following information in your report: 
(i) The corporate names of the buyer 
and any brokers. 
(ii) A copy of any contracts related to 
the trade. 
(iii) The averaging set corresponding 
to the engine families that generated emission credits for the trade, including the number of emission credits from each averaging set. 
(2) As the buyer, you must include the 
following information in your report: 
(i) The corporate names of the seller 
and any brokers. 
(ii) A copy of any contracts related to 
the trade. 
(iii) How you intend to use the 
emission credits, including the number of emission credits you intend to apply for each averaging set. 
* * * * * 
■131. Section 1033.735 is amended by 
revising paragraphs (a) and (b) to read 
as follows: 
§ 1033.735 Required records. 
(a) You must organize and maintain 
your records as described in this section. 
(b) Keep the records required by this 
section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any engines if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits. 
* * * * * 
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Subpart I—Requirements for Owners 
and Operators 
■132. Section 1033.815 is amended by 
revising paragraphs (b) and (e) introductory text to read as follows: 
§ 1033.815 Maintenance, operation, and 
repair. 
* * * * * 
(b) Perform unscheduled maintenance 
in a timely manner. This includes 
malfunctions identified through the locomotive’s emission control diagnostics system and malfunctions discovered in components of the diagnostics system itself. For most repairs, this paragraph (b) requires that the maintenance be performed no later than the locomotive’s next periodic (92- day or 184-day) inspection. See paragraph (e) of this section, for reductant replenishment requirements in a locomotive equipped with an SCR system. 
* * * * * 
(e) For locomotives equipped with 
emission controls requiring the use of 
specific fuels, lubricants, or other fluids, proper maintenance includes complying with the manufacturer/remanufacturer’s specifications for such fluids when operating the locomotives. This requirement applies without regard to whether misfueling permanently disables the emission controls. For locomotives certified on ultra-low sulfur diesel fuel, but that do not include sulfur-sensitive emission controls, you may use low-sulfur diesel fuel instead of ultra-low sulfur diesel fuel, consistent with good engineering judgment. The following additional provisions apply 
for locomotives equipped with SCR systems requiring the use of urea or other reductants: 
* * * * * 
Subpart J—Definitions and Other 
Reference Information 
■133. Section 1033.901 is amended as 
follows: 
■a. By revising the definition for 
‘‘Designated Compliance Officer’’. 
■b. By adding definitions for ‘‘Dual- 
fuel’’ and ‘‘Flexible-fuel’’ in alphabetical order. 
■c. By revising the definitions for 
‘‘Remanufacture system or remanufacturing system’’, ‘‘Sulfur- sensitive technology’’, and ‘‘Total hydrocarbon equivalent’’. 
The revisions and addition read as 
follows: 
§ 1033.901 Definitions. 
* * * * * 
Designated Compliance Officer means 
the Director, Diesel Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; complianceinfo@epa.gov; epa.gov/otaq/verify. 
* * * * * 
Dual-fuel means relating to a 
locomotive designed for operation on two different fuels but not on a continuous mixture of those fuels (see § 1033.601(f)). For purposes of this part, such a locomotive remains a dual-fuel locomotive even if it is designed for operation on three or more different fuels. 
* * * * * 
Flexible-fuel means relating to a 
locomotive designed for operation on 
any mixture of two or more different fuels (see § 1033.601(f)). 
* * * * * 
Remanufacture system or 
remanufacturing system means all 
components (or specifications for components) and instructions necessary to remanufacture a locomotive or locomotive engine in accordance with applicable requirements of this part. 
* * * * * 
Sulfur-sensitive technology means an 
emission control technology that would 
experience a significant drop in emission control performance or emission-system durability when a locomotive is operated on low-sulfur diesel fuel with a sulfur concentration of 300 to 500 ppm as compared to when it is operated on ultra low-sulfur diesel fuel (i.e., fuel with a sulfur 
concentration less than 15 ppm). Exhaust gas recirculation is not a sulfur- sensitive technology. 
* * * * * 
Total hydrocarbon equivalent has the 
meaning given in 40 CFR 1065.1001. 
This generally means the sum of the carbon mass contributions of non- oxygenated hydrocarbon, alcohols and aldehydes, or other organic compounds that are measured separately as contained in a gas sample, expressed as exhaust hydrocarbon from petroleum- fueled locomotives. The atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1. 
* * * * * 
■134. Section 1033.915 is revised to 
read as follows: 
§ 1033.915 Confidential information. 
The provisions of 40 CFR 1068.10 
apply for information you consider 
confidential. 
■135. Section 1033.925 is revised to 
read as follows: § 1033.925 Reporting and recordkeeping 
requirements. 
(a) This part includes various 
requirements to submit and record data 
or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. You are expected to keep your own copy of required records rather than relying on someone else to keep records on your behalf. We may review these records at any time. You must promptly send us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format. 
(b) The regulations in § 1033.255, 40 
CFR 1068.25, and 40 CFR 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties. 
(c) Send all reports and requests for 
approval to the Designated Compliance Officer (see § 1033.801). 
(d) Any written information we 
require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. We may require you to send us these records whether or not you are a certificate holder. 
(e) Under the Paperwork Reduction 
Act (44 U.S.C. 3501 et seq.), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties. The following items illustrate the kind of reporting and recordkeeping we require for locomotives regulated under this part: 
(1) We specify the following 
requirements related to locomotive certification in this part 1033: 
(i) In § 1033.150 we include various 
reporting and recordkeeping requirements related to interim provisions. 
(ii) In subpart C of this part we 
identify a wide range of information required to certify engines. 
(iii) In § 1033.325 we specify certain 
records related to production-line testing. 
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(iv) In subpart G of this part we 
identify several reporting and 
recordkeeping items for making demonstrations and getting approval related to various special compliance provisions. 
(v) In §§ 1033.725, 1033.730, and 
1033.735 we specify certain records related to averaging, banking, and trading. 
(vi) In subpart I of this part we specify 
certain records related to meeting requirements for remanufactured engines. 
(2) We specify the following 
requirements related to testing in 40 CFR part 1065: 
(i) In 40 CFR 1065.2 we give an 
overview of principles for reporting information. 
(ii) In 40 CFR 1065.10 and 1065.12 we 
specify information needs for 
establishing various changes to published test procedures. 
(iii) In 40 CFR 1065.25 we establish 
basic guidelines for storing test information. (iv) In 40 CFR 1065.695 we identify 
the specific information and data items 
to record when measuring emissions. 
(3) We specify the following 
requirements related to the general compliance provisions in 40 CFR part 1068: 
(i) In 40 CFR 1068.5 we establish a 
process for evaluating good engineering judgment related to testing and certification. 
(ii) In 40 CFR 1068.25 we describe 
general provisions related to sending and keeping information. 
(iii) In 40 CFR 1068.27 we require 
manufacturers to make locomotives available for our testing or inspection if we make such a request. 
(iv) In 40 CFR part 1068, subpart C, 
we identify several reporting and recordkeeping items for making demonstrations and getting approval 
related to various exemptions. 
(v) In 40 CFR part 1068, subpart D, we 
identify several reporting and recordkeeping items for making demonstrations and getting approval related to importing locomotives and engines. 
(vi) In 40 CFR 1068.450 and 1068.455 
we specify certain records related to testing production-line locomotives in a selective enforcement audit. 
(vii) In 40 CFR 1068.501 we specify 
certain records related to investigating and reporting emission-related defects. 
(viii) In 40 CFR 1068.525 and 
1068.530 we specify certain records related to recalling nonconforming locomotives. 
(ix) In 40 CFR part 1068, subpart G, 
we specify certain records for requesting a hearing. 
■136. Appendix I to part 1033 is added 
to read as follows: 
Appendix I to Part 1033—Original 
Standards for Tier 0, Tier 1 and Tier 2 Locomotives 
(a) The following emission standards 
applied for new locomotives not yet subject 
to this part 1033: 
Type of standard Year of 
original 
manufacture Tier Standards 
(g/bhp-hr) 
NO X PM–primary PM–alternate1 
Line-haul .............................................................................. 1973–1992 Tier 0 ............. 9.5 0.60 0. 30 
1993–2004 Tier 1 ............. 7.4 0.45 0.22 
2005–2011 Tier 2 ............. 5.5 0.20 0.10 
Switch .................................................................................. 1973–1992 Tier 0 ............. 14.0 0.72 0.36 
1993–2004 Tier 1 ............. 11.0 0.54 0.27 
2005–2011 Tier 2 ............. 8.1 0.24 0.12 
1Locomotives certified to the alternate PM standards are also subject to alternate CO standards of 10.0 for the line-haul cycle and 12.0 for the 
switch cycle. 
(b) The original Tier 0, Tier 1, and Tier 2 
standards for HC and CO emissions and 
smoke are the same standards identified in § 1033.101. 
■137. Part 1036 is revised to read as 
follows: 
PART 1036—CONTROL OF EMISSIONS 
FROM NEW AND IN-USE HEAVY-DUTY HIGHWAY ENGINES 
Subpart A—Overview and Applicability 
Sec. 
1036.1 Does this part apply for my engines? 1036.2 Who is responsible for compliance? 
1036.5 Which engines are excluded from 
this part’s requirements? 
1036.10 How is this part organized? 1036.15 Do any other regulation parts apply 
to me? 
1036.30 Submission of information. 
Subpart B—Emission Standards and 
Related Requirements 
1036.100 Overview of exhaust emission 
standards. 
1036.108 Greenhouse gas emission 
standards. 
1036.115 Other requirements. 1036.130 Installation instructions for 
vehicle manufacturers. 
1036.135 Labeling. 
1036.140 Primary intended service class 
and engine cycle. 
1036.150 Interim provisions. 
Subpart C—Certifying Engine Families 
1036.205 What must I include in my 
application? 
1036.210 Preliminary approval before 
certification. 
1036.225 Amending my application for 
certification. 
1036.230 Selecting engine families. 
1036.235 Testing requirements for 
certification. 
1036.241 Demonstrating compliance with 
greenhouse gas emission standards. 
1036.250 Reporting and recordkeeping for 
certification. 
1036.255 What decisions may EPA make 
regarding my certificate of conformity? 
Subpart D—Testing Production Engines 
1036.301 Measurements related to GEM 
inputs in a selective enforcement audit. 
Subpart E—In-use Testing 1036.401 In-use testing. Subpart F—Test Procedures 
1036.501 How do I run a valid emission 
test? 
1036.505 Ramped-modal testing 
procedures. 
1036.510 Engine data and information for 
vehicle certification. 
1036.525 Hybrid engines. 
1036.530 Calculating greenhouse gas 
emission rates. 
1036.535 Determining steady-state engine 
fuel maps and fuel consumption at idle. 
1036.540 Determining cycle-average engine 
fuel maps. 
Subpart G—Special Compliance Provisions 
1036.601 What compliance provisions 
apply? 
1036.605 GHG exemption for engines used 
in specialty vehicles. 
1036.610 Off-cycle technology credits and 
adjustments for reducing greenhouse gas 
emissions. 
1036.615 Engines with Rankine cycle waste 
heat recovery and hybrid powertrains. 
1036.620 Alternate CO
2standards based on 
model year 2011 compression-ignition engines. 
1036.625 In-use compliance with family 
emission limits (FELs). 
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1036.630 Certification of engine GHG 
emissions for powertrain testing. 
Subpart H—Averaging, Banking, and 
Trading for Certification 
1036.701 General provisions. 
1036.705 Generating and calculating 
emission credits. 
1036.710 Averaging. 1036.715 Banking. 1036.720 Trading. 1036.725 What must I include in my 
application for certification? 
1036.730 ABT reports. 1036.735 Recordkeeping. 1036.740 Restrictions for using emission 
credits. 
1036.745 End-of-year CO
2credit deficits. 
1036.750 What can happen if I do not 
comply with the provisions of this subpart? 
1036.755 Information provided to the 
Department of Transportation. 
Subpart I—Definitions and Other Reference Information 
1036.801 Definitions. 
1036.805 Symbols, abbreviations, and 
acronyms. 
1036.810 Incorporation by reference. 1036.815 Confidential information. 1036.820 Requesting a hearing. 1036.825 Reporting and recordkeeping 
requirements. 
Appendix I to Part 1036—Default Engine 
Fuel Maps for § 1036.540 
Authority: 42 U.S.C. 7401—7671q. 
Subpart A—Overview and Applicability 
§ 1036.1 Does this part apply for my engines? 
(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) above 14,000 pounds GVWR for propulsion. These provisions also apply for engines that will be installed in incomplete heavy-duty vehicles at or below 14,000 pounds GVWR unless the engine is installed in a vehicle that is covered by a certificate of conformity under 40 CFR part 86, subpart S. 
(b) This part does not apply with 
respect to exhaust emission standards for HC, CO, NO
X, or PM except as 
follows: 
(1) The provisions of § 1036.601 
apply. 
(2) 40 CFR parts 85 and/or 86 may 
specify that certain provisions apply. 
(c) The provisions of this part also 
apply for fuel conversions of all engines described in paragraph (a) of this section as described in 40 CFR 85.502. 
(d) Gas turbine heavy-duty engines 
and other heavy-duty engines not meeting the definition compression- ignition or spark-ignition are deemed to 
be compression-ignition engines for purposes of this part. § 1036.2 Who is responsible for 
compliance? 
The regulations in this part 1036 
contain provisions that affect both 
engine manufacturers and others. However, the requirements of this part are generally addressed to the engine manufacturer(s). The term ‘‘you’’ generally means the engine manufacturer(s), especially for issues related to certification. Additional requirements and prohibitions apply to other persons as specified in subpart G of this part and 40 CFR part 1068. 
§ 1036.5 Which engines are excluded from 
this part’s requirements? 
(a) The provisions of this part do not 
apply to engines used in medium-duty 
passenger vehicles or other heavy-duty vehicles that are subject to regulation under 40 CFR part 86, subpart S, except as specified in 40 CFR part 86, subpart S, and § 1036.150(j). For example, this exclusion applies for engines used in vehicles certified to the standards of 40 CFR 86.1819. 
(b) An engine installed in a heavy- 
duty vehicle that is not used to propel the vehicle is not a heavy-duty engine. The provisions of this part therefore do not apply to these engines. Note that engines used to indirectly propel the vehicle (such as electrical generator engines that provide power to batteries for propulsion) are subject to this part. See 40 CFR part 1039, 1048, or 1054 for other requirements that apply for these auxiliary engines. See 40 CFR part 1037 for requirements that may apply for vehicles using these engines, such as the evaporative emission requirements of 40 CFR 1037.103. 
(c) The provisions of this part do not 
apply to aircraft or aircraft engines. Standards apply separately to certain aircraft engines, as described in 40 CFR part 87. 
(d) The provisions of this part do not 
apply to engines that are not internal combustion engines. For example, the provisions of this part do not apply to fuel cells. Note that gas turbine engines are internal combustion engines. 
(e) The provisions of this part do not 
apply for model year 2013 and earlier heavy-duty engines unless they were: 
(1) Voluntarily certified to this part. 
(2) Installed in a glider vehicle subject 
to 40 CFR part 1037. 
§ 1036.10 How is this part organized? 
This part 1036 is divided into the 
following subparts: 
(a) Subpart A of this part defines the 
applicability of this part 1036 and gives 
an overview of regulatory requirements. 
(b) Subpart B of this part describes the 
emission standards and other requirements that must be met to certify engines under this part. Note 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 Do any other regulation parts 
apply to me? 
(a) Part 86 of this chapter describes 
additional requirements that apply to 
engines that are subject to this part 1036. This part extensively references portions of 40 CFR part 86. For example, the regulations of part 86 specify emission standards and certification procedures related to criteria pollutants. 
(b) Part 1037 of this chapter describes 
requirements for controlling evaporative emissions and greenhouse gas emissions from heavy-duty vehicles, whether or not they use engines certified under this part. It also includes standards and requirements that apply instead of the standards and requirements of this part in some cases. 
(c) Part 1065 of this chapter describes 
procedures and equipment specifications for testing engines to measure exhaust emissions. Subpart F of this part 1036 describes how to apply the provisions of part 1065 of this chapter to determine whether engines meet the exhaust emission standards in this part. 
(d) Certain provisions of part 1068 of 
this chapter apply as specified in § 1036.601 to everyone, including anyone who manufactures, imports, installs, owns, operates, or rebuilds any of the engines subject to this part 1036, or vehicles containing these engines. Part 1068 of this chapter describes general provisions that apply broadly, but do not necessarily apply for all engines or all persons. See § 1036.601 to 
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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. 
Subpart B—Emission Standards and 
Related Requirements 
§ 1036.100 Overview of exhaust emission 
standards. 
Engines used in vehicles certified to 
the applicable chassis standards for 
greenhouse gases described in 40 CFR 86.1819 are not subject to the standards specified in this part. All other engines subject to this part must meet the greenhouse gas standards in § 1036.108 in addition to the criteria pollutant standards of 40 CFR part 86. 
§ 1036.108 Greenhouse gas emission 
standards. 
This section contains standards and 
other regulations applicable to the 
emission of the air pollutant defined as the aggregate group of six greenhouse gases: Carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. This section describes the applicable CO
2, N2O, and CH 4standards 
for engines. These standards do not apply for engines used in vehicles subject to (or voluntarily certified to) the CO
2, N2O, and CH 4standards for 
vehicles specified in 40 CFR 86.1819. 
(a) Emission standards. Emission 
standards apply for engines measured using the test procedures specified in subpart F of this part as follows: 
(1) CO
2emission 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
2emissions differs depending on the 
engine family’s primary intended service class and the extent to which the engines will be (or were designed to be) used in tractors. For medium and heavy heavy-duty engines certified as tractor engines, measure CO
2emissions using 
the steady-state duty cycle specified in 40 CFR 86.1362 (referred to as the ramped-modal cycle, or RMC, even though emission sampling involves measurements from discrete modes). This is intended for engines designed to be used primarily in tractors and other line-haul applications. Note that the use of some RMC-certified tractor engines in vocational applications does not affect your certification obligation under this paragraph (a)(1); see other provisions of this part and 40 CFR part 1037 for limits on using engines certified to only one cycle. For medium and heavy heavy- duty engines certified as both tractor and vocational engines, measure CO
2 
emissions using the steady-state duty cycle and the transient duty cycle (sometimes referred to as the FTP engine cycle), both of which are specified in 40 CFR part 86, subpart N. This is intended for engines that are designed for use in both tractor and vocational applications. For all other engines (including engines meeting spark-ignition standards), measure CO
2 
emissions using the appropriate transient duty cycle specified in 40 CFR part 86, subpart N. 
(i) The CO
2standard is 627 g/hp-hr 
for all spark-ignition engines for model years 2016 through 2020. This standard continues to apply in later model years for all spark-ignition engines that are not heavy heavy-duty engines. 
(ii) The following CO
2standards 
apply for compression-ignition engines (in g/hp-hr): 
Model years Light 
heavy-duty Medium 
heavy-duty— 
vocational Heavy 
heavy-duty— 
vocational Medium 
heavy-duty— 
tractor Heavy 
heavy-duty— 
tractor 
2014–2016 ........................................................................... 600 600 567 502 475 
2017–2020 ........................................................................... 576 576 555 487 460 
(iii) The following CO 2standards 
apply for compression-ignition engines and all heavy heavy-duty engines (in g/ hp-hr): 
Model years Light 
heavy-duty Medium 
heavy-duty— 
vocational Heavy 
heavy-duty— 
vocational Medium 
heavy-duty— 
tractor Heavy 
heavy-duty— 
tractor 
2021–2023 ........................................................................... 563 545 513 473 447 
2024–2026 ........................................................................... 555 538 506 461 436 
2027 and later ...................................................................... 552 535 503 457 432 
(iv) You may certify spark-ignition 
engines to the compression-ignition 
standards for the appropriate model 
year under this paragraph (a). If you do this, those engines are treated as compression-ignition engines for all the provisions of this part. 
(2) The CH
4emission standard is 0.10 
g/hp-hr when measured over the applicable transient duty cycle specified in 40 CFR part 86, subpart N. This standard begins in model year 2014 for 
compression-ignition engines and in model year 2016 for spark-ignition 
engines. Note that this standard applies for all fuel types just like the other standards of this section. 
(3) The N
2O emission standard is 0.10 
g/hp-hr when measured over the transient duty cycle specified in 40 CFR part 86, subpart N. This standard begins in model year 2014 for compression- ignition engines and in model year 2016 
for spark-ignition engines. 
(b) Family Certification Levels. You 
must specify a CO
2Family Certification 
Level (FCL) for each engine family. The FCL may not be less than the certified emission level for the engine family. The CO
2Family Emission Limit (FEL) 
for the engine family is equal to the FCL multiplied by 1.03. 
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(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
2emission 
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
2credits to certify your engine 
families to FELs for N 2O and/or CH 4, 
instead of the N 2O/CH 4standards of this 
section that otherwise apply. Except as specified in §§ 1036.150 and 1036.705, you may not generate or use credits for N
2O or CH 4emissions. 
(d) Useful life. The exhaust emission 
standards of this section apply for the full useful life, expressed in service miles, operating hours, or calendar years, whichever comes first. The useful life values applicable to the criteria pollutant standards of 40 CFR part 86 apply for the standards of this section, except that the spark-ignition standards and the standards for model year 2021 and later light heavy-duty compression- ignition engines apply over a useful life of 15 years or 150,000 miles, whichever comes first. 
(e) Applicability for testing. The 
emission standards in this subpart apply as specified in this paragraph (e) to all duty-cycle testing (according to the applicable test cycles) of testable configurations, including certification, selective enforcement audits, and in-use testing. The CO
2FCLs 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, § 1036.630 and 40 CFR 1037.550. 
(f) Multi-fuel engines. For dual-fuel, 
multi-fuel, and flexible-fuel engines, perform exhaust testing on each fuel type (for example, gasoline and E85). 
(1) This paragraph (f)(1) applies where 
you demonstrate the relative amount of each fuel type that your engines consume in actual use. Based on your demonstration, we will specify a weighting factor and allow you to submit the weighted average of your emission results. For example, if you certify an E85 flexible-fuel engine and we determine the engine will produce one-half of its work from E85 and one- 
half of its work from gasoline, you may apply a 50 percent weighting factor to each of your E85 and gasoline emission results. 
(2) If you certify your engine family to 
N
2O and/or CH 4FELs the FELs apply for 
testing on all fuel types for which your engine is designed, to the same extent as criteria emission standards apply. 
§ 1036.115 Other requirements. 
(a) The warranty and maintenance 
requirements, adjustable parameter provisions, and defeat device prohibition of 40 CFR part 86 apply with respect to the standards of this part. 
(b) You must perform fuel mapping 
for your engine as described in § 1036.510(b). 
(c) You must design and produce your 
engines to comply with evaporative emission standards as follows: 
(1) For complete heavy-duty vehicles 
you produce, you must certify the vehicles to emission standards as specified in 40 CFR 1037.103. 
(2) For incomplete heavy-duty 
vehicles, and for engines used in vehicles you do not produce, you do not 
need to certify your engines to evaporative emission standards or otherwise meet those standards. However, vehicle manufacturers certifying their vehicles 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. 
§ 1036.130 Installation instructions for 
vehicle manufacturers. 
(a) If you sell an engine for someone 
else to install in a vehicle, give the 
engine installer instructions for installing it consistent with the requirements of this part. Include all information necessary to ensure that an engine will be installed in its certified configuration. 
(b) Make sure these instructions have 
the following information: 
(1) Include the heading: ‘‘Emission- 
related installation instructions’’. 
(2) State: ‘‘Failing to follow these 
instructions when installing a certified engine in a heavy-duty motor vehicle violates federal law, subject to fines or other penalties as described in the Clean Air Act.’’ 
(3) Provide all instructions needed to 
properly install the exhaust system and any other components. 
(4) Describe any necessary steps for 
installing any diagnostic system required under 40 CFR part 86. 
(5) Describe how your certification is 
limited for any type of application. For example, if you certify heavy heavy- 
duty engines to the CO
2standards using 
only transient FTP testing, you must make clear that the engine may not be installed in tractors. 
(6) Describe any other instructions to 
make sure the installed engine will operate according to design specifications in your application for certification. This may include, for example, instructions for installing aftertreatment devices when installing the engines. 
(7) State: ‘‘If you install the engine in 
a way that makes the engine’s emission control information label hard to read during normal engine maintenance, you must place a duplicate label on the vehicle, as described in 40 CFR 1068.105.’’ 
(c) Give the vehicle manufacturer fuel 
map results as described in § 1036.510(b). 
(d) You do not need installation 
instructions for engines that you install in your own vehicles. 
(e) Provide instructions in writing or 
in an equivalent format. For example, you may post instructions on a publicly available Web site for downloading or printing. If you do not provide the instructions in writing, explain in your application for certification how you will ensure that each installer is informed of the installation requirements. 
§ 1036.135 Labeling. 
Label your engines as described in 40 
CFR 86.007–35(a)(3), with the following additional information: 
(a) [Reserved] 
(b) Identify the emission control 
system. Use terms and abbreviations as 
described in 40 CFR 1068.45 or other applicable conventions. 
(c) Identify any limitations on your 
certification. For example, if you certify heavy heavy-duty engines to the CO
2 
standards using only transient cycle 
testing, include the statement ‘‘VOCATIONAL VEHICLES ONLY’’. 
(d) You may ask us to approve 
modified labeling requirements in this part 1036 if you show that it is necessary or appropriate. We will approve your request if your alternate label is consistent with the requirements of this part. We may also specify modified labeling requirement to be consistent with the intent of 40 CFR part 1037. 
§ 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: 
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(a) Divide compression-ignition 
engines into primary intended service 
classes based on the following engine and vehicle characteristics: 
(1) Light heavy-duty engines usually 
are not designed for rebuild and do not have cylinder liners. Vehicle body types in this group might include any heavy- duty vehicle built from a light-duty truck chassis, van trucks, multi-stop vans, and some straight trucks with a single rear axle. Typical applications would include personal transportation, light-load commercial delivery, passenger service, agriculture, and construction. The GVWR of these vehicles is normally at or below 19,500 pounds. 
(2) Medium heavy-duty engines may 
be designed for rebuild and may have cylinder liners. Vehicle body types in this group would typically include school buses, straight trucks with single rear axles, city tractors, and a variety of special purpose vehicles such as small dump trucks, and refuse trucks. Typical applications would include commercial 
short haul and intra-city delivery and pickup. Engines in this group are normally used in vehicles whose GVWR ranges from 19,501 to 33,000 pounds. 
(3) Heavy heavy-duty engines are 
designed for multiple rebuilds and have cylinder liners. Vehicles in this group are normally tractors, trucks, straight trucks with dual rear axles, and buses used in inter-city, long-haul applications. These vehicles normally exceed 33,000 pounds GVWR. 
(b) Divide spark-ignition engines into 
primary intended service classes as follows: 
(1) Spark-ignition engines that are 
best characterized by paragraph (a)(1) or (2) of this section are in a separate ‘‘spark-ignition’’ primary intended service class. 
(2) Spark-ignition engines that are 
best characterized by paragraph (a)(3) of this section share a primary intended service class with compression-ignition heavy heavy-duty engines. Gasoline- fueled engines are presumed not to be characterized by paragraph (a)(3) of this section; for example, vehicle manufacturers may install some number of gasoline-fueled engines in Class 8 trucks without causing the engine manufacturer to consider those to be heavy heavy-duty engines. 
(c) References to ‘‘spark-ignition 
standards’’ in this part relate only to the spark-ignition engines identified in paragraph (b)(1) of this section. References to ‘‘compression-ignition standards’’ in this part relate to compression-ignition engines, to spark- ignition engines optionally certified to standards that apply to compression- ignition engines, and to all engines identified under paragraph (b)(2) of this section as heavy heavy-duty engines. 
§ 1036.150 Interim provisions. 
The provisions in this section apply 
instead of other provisions in this part. 
(a) Early banking of greenhouse gas 
emissions. You may generate CO 2 
emission credits for engines you certify in model year 2013 (2015 for spark- ignition engines) to the standards of § 1036.108. 
(1) Except as specified in paragraph 
(a)(2) of this section, to generate early credits, you must certify your entire U.S.-directed production volume within that averaging set to these standards. This means that you may not generate early credits while you produce engines in the averaging set that are certified to the criteria pollutant standards but not to the greenhouse gas standards. Calculate emission credits as described in subpart H of this part relative to the standard that would apply for model year 2014 (2016 for spark-ignition engines). 
(2) You may generate early credits for 
an individual compression-ignition engine family where you demonstrate that you have improved a model year 2013 engine model’s CO
2emissions 
relative to its 2012 baseline level and certify it to an FCL below the applicable standard. Calculate emission credits as described in subpart H of this part relative to the lesser of the standard that would apply for model year 2014 engines or the baseline engine’s CO
2 
emission rate. Use the smaller U.S.- directed production volume of the 2013 engine family or the 2012 baseline engine family. We will not allow you to generate emission credits under this paragraph (a)(2) unless we determine that your 2013 engine is the same engine as the 2012 baseline or that it replaces it. 
(3) You may bank credits equal to the 
surplus credits you generate under this paragraph (a) multiplied by 1.50. For example, if you have 10 Mg of surplus credits for model year 2013, you may bank 15 Mg of credits. Credit deficits for an averaging set prior to model year 2014 (2016 for spark-ignition engines) do not carry over to model year 2014 (2016 for spark-ignition engines). We recommend that you notify us of your intent to use this provision before submitting your applications. 
(b) Model year 2014 N
2O standards. In 
model year 2014 and earlier, manufacturers may show compliance with the N
2O standards using an 
engineering analysis. This allowance also applies for later families certified using carryover CO
2data 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 diesel engines under 40 CFR part 86, must be certified to the requirements applicable to compression-ignition engines under this part. Such engines are deemed to be compression-ignition engines for purposes of this part. Similarly, through model year 2020, engines meeting the definition of compression-ignition, but regulated as Otto-cycle under 40 CFR part 86 must be certified to the requirements applicable to spark- ignition engines under this part. Such engines are deemed to be spark-ignition engines for purposes of this part. See § 1036.140 for provisions that apply for model year 2021 and later. 
(d) Small manufacturers. The 
standards of this part apply on a delayed schedule for manufacturers meeting the small business criteria specified in 13 CFR 121.201. Apply the small business criteria for NAICS code 336310 for engine manufacturers with respect to gasoline-fueled engines and 333618 for engine manufacturers with respect to other engines; the employee limits apply to the total number employees together for affiliated companies. Qualifying small manufacturers are not subject to the greenhouse gas emission standards in § 1036.108 for engines with a date of manufacture on or after November 14, 2011 but before January 1, 2022. In addition, qualifying small manufacturers producing engines that run on any fuel other than gasoline, E85, or diesel fuel may delay complying with every later standard under this part by one model year. Small manufacturers may certify their engines and generate emission credits under this part 1036 before standards start to apply, but only if they certify their entire U.S.-directed production volume within that averaging set for that model year. Note that engines not yet subject to standards must nevertheless supply fuel maps to vehicle manufacturers as described in paragraph (n) of this section. Note also that engines produced by small manufacturers are subject to criteria pollutant standards. 
(e) Alternate phase-in standards. 
Where a manufacturer certifies all of its 
model year 2013 compression-ignition engines within a given primary intended service class to the applicable alternate standards of this paragraph (e), its compression-ignition engines within that primary intended service class are subject to the standards of this paragraph (e) for model years 2013 
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through 2016. This means that once a 
manufacturer chooses to certify a primary intended service class to the standards of this paragraph (e), it is not allowed to opt out of these standards. Engines certified to these standards are not eligible for early credits under 
paragraph (a) of this section. 
Tractors LHD Engines MHD Engines HHD Engines 
Model Years 2013–2015 ............................................................................................................. NA .................. 512 g/hp-hr .... 485 g/hp-hr. 
Model Years 2016 and later1..................................................................................................... NA .................. 487 g/hp-hr .... 460 g/hp-hr. 
Vocational ..................................................................................................................... .............. LHD Engines MHD Engines HHD Engines 
Model Years 2013–2015 ............................................................................................................. 618 g/hp-hr .... 618 g/hp-hr .... 577 g/hp-hr. 
Model Years 2016 through 2020a.............................................................................................. 576 g/hp-hr .... 576 g/hp-hr .... 555 g/hp-hr. 
1Note: these alternate standards for 2016 and later are the same as the otherwise applicable standards for 2017 through 2020. 
(f) Separate OBD families. This 
paragraph (f) applies where you 
separately certify engines for the purpose of applying OBD requirements (for engines used in vehicles under 14,000 pounds GVWR) from non-OBD engines that could be certified as a single engine family. You may treat the two engine families as a single engine family in certain respects for the purpose of this part, as follows: 
(1) This paragraph (f) applies only 
where the two families are identical in all respects except for the engine ratings offered and the inclusion of OBD. 
(2) For purposes of this part and 40 
CFR part 86, the two families remain two separate families except for the following: 
(i) Specify the testable configurations 
of the non-OBD engine family as the testable configurations for the OBD family. 
(ii) Submit the same CO
2, N2O, and 
CH 4emission data for both engine 
families. 
(g) Assigned deterioration factors. 
You may use assigned deterioration factors (DFs) without performing your own durability emission tests or engineering analysis as follows: 
(1) You may use an assigned additive 
DF of 0.0 g/hp-hr for CO
2emissions 
from engines that do not use advanced or off-cycle technologies. If we determine it to be consistent with good engineering judgment, we may allow you to use an assigned additive DF of 0.0 g/hp-hr for CO
2emissions from your 
engines with advanced or off-cycle technologies. 
(2) You may use an assigned additive 
DF of 0.020 g/hp-hr for N
2O emissions 
from any engine through model year 2020, and 0.010 g/hp-hr for later model years. 
(3) You may use an assigned additive 
DF of 0.020 g/hp-hr for CH
4emissions 
from any engine. (h) Advanced-technology credits. If 
you generate credits from model year 2020 and earlier engines certified for advanced technology, you may multiply these credits by 1.5, except that you may not apply this multiplier and the early- credit multiplier of paragraph (a) of this section. 
(i) CO
2credits for low N 2O emissions. 
If you certify your model year 2014, 2015, or 2016 engines to an N
2O FEL 
less than 0.04 g/hp-hr (provided you measure N
2O emissions from your 
emission-data engines), you may generate additional CO
2credits under 
this paragraph (i). Calculate the additional CO
2credits from the 
following equation instead of the equation in § 1036.705: 
CO
2Credits (Mg) = (0.04¥FEL N2O) · (CF) 
· (Volume) · (UL) · (10¥6) · (298) 
(j) Alternate standards under 40 CFR 
part 86. This paragraph (j) describes 
alternate emission standards for loose engines certified under 40 CFR 86.1819– 14(k)(8). The standards of § 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), §§ 1036.115 through 1036.135, 1036.535, and 1036.540. 
(k) [Reserved] 
(l) Credit adjustment for spark- 
ignition engines and light heavy-duty 
compression-ignition engines. For emission credits generated from model year 2020 and earlier engines subject to spark-ignition standards and light heavy-duty compression-ignition engines, multiply any banked credits that you carry forward to demonstrate compliance with model year 2021 and later standards by 1.36. (m) Infrequent regeneration. For 
model year 2020 and earlier, you may invalidate any test interval with respect to CO
2measurements if an infrequent 
regeneration event occurs during the test interval. Note that § 1036.530 specifies how to apply infrequent regeneration adjustment factors for later model years. 
(n) Supplying fuel maps. Engine 
manufacturers not yet subject to standards under § 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 heavy-duty engines and heavy heavy-duty engines. 
(1) GHG emission credits you generate 
with model year 2018 through 2024 engines may be used through model year 2030, instead of being limited to a five-year credit life as specified in § 1036.740(d). 
(2) You may certify your model year 
2024 through 2026 engines to the following alternative standards: 
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Model years Medium 
heavy-duty— 
vocational Heavy 
heavy-duty— 
vocational Medium 
heavy-duty— 
tractor Heavy 
heavy-duty— 
tractor 
2024–2026 ....................................................................................................... 538 506 467 442  
Subpart C—Certifying Engine Families 
§ 1036.205 What must I include in my 
application? 
Submit an application for certification 
as described in 40 CFR 86.007–21, with 
the following additional information: 
(a) Describe the engine family’s 
specifications and other basic parameters of the engine’s design and emission controls with respect to compliance with the requirements of this part. Describe in detail all system components for controlling greenhouse gas emissions, including all auxiliary emission control devices (AECDs) and all fuel-system components you will install on any production or test engine. Identify the part number of each component you describe. For this paragraph (a), treat as separate AECDs any devices that modulate or activate differently from each other. 
(b) Describe any test equipment and 
procedures that you used if you performed any tests that did not also involve measurement of criteria pollutants. Describe any special or alternate test procedures you used (see 40 CFR 1065.10(c)). 
(c) Include the emission-related 
installation instructions you will provide if someone else installs your engines in their vehicles (see § 1036.130). 
(d) Describe the label information 
specified in § 1036.135. We may require you to include a copy of the label. 
(e) Identify the CO
2FCLs with which 
you are certifying engines in the engine family; also identify any FELs that apply for CH
4and N 2O. The actual U.S.- 
directed production volume of configurations that have CO
2emission 
rates at or below the FCL and CH 4and 
N2O emission rates at or below the 
applicable standards or FELs must be at least one percent of your actual (not projected) U.S.-directed production volume for the engine family. Identify configurations within the family that have emission rates at or below the FCL and meet the one percent requirement. For example, if your U.S.-directed production volume for the engine family is 10,583 and the U.S.-directed production volume for the tested rating is 75 engines, then you can comply with this provision by setting your FCL so that one more rating with a U.S.- directed production volume of at least 31 engines meets the FCL. Where applicable, also identify other testable configurations required under § 1036.230(b)(2). 
(f) Identify the engine family’s 
deterioration factors and describe how you developed them (see § 1036.241). Present any test data you used for this. 
(g) Present emission data to show that 
you meet emission standards, as follows: 
(1) Present exhaust emission data for 
CO
2, CH 4, and N 2O on an emission-data 
engine to 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. Note that § 1036.235 allows you to submit an application in certain cases without new emission data. 
(2) [Reserved] 
(h) State whether your certification is 
limited for certain engines. For example, 
if you certify heavy heavy-duty engines to the CO
2standards using only 
transient testing, the engines may be installed only in vocational vehicles. 
(i) Unconditionally certify that all the 
engines in the engine family comply with the requirements of this part, other referenced parts of the CFR, and the Clean Air Act. Note that § 1036.235 specifies which engines to test to show that engines in the entire family comply with the requirements of this part. 
(j) Include the information required 
by other subparts of this part. For example, include the information required by § 1036.725 if you participate in the ABT program. 
(k) Include the warranty statement 
and maintenance instructions if we request them. 
(l) Include other applicable 
information, such as information specified in this part or 40 CFR part 1068 related to requests for exemptions. 
(m) For imported engines or 
equipment, identify the following: 
(1) Describe your normal practice for 
importing engines. For example, this may include identifying the names and addresses of any agents you have authorized to import your engines. Engines imported by nonauthorized agents are not covered by your certificate. 
(2) The location of a test facility in the 
United States where you can test your engines if we select them for testing under a selective enforcement audit, as specified in 40 CFR part 1068, subpart E. 
(n) Include information needed to 
certify vehicles to GHG standards under 40 CFR part 1037 as described in § 1036.510. 
§ 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 my application for 
certification. 
Before we issue you a certificate of 
conformity, you may amend your 
application to include new or modified engine configurations, subject to the provisions of this section. After we have issued your certificate of conformity, you may send us an amended application requesting that we include new or modified engine configurations within the scope of the certificate, subject to the provisions of this section. You must also amend your application if any changes occur with respect to any information that is included or should be included in your application. 
(a) You must amend your application 
before you take any of the following actions: 
(1) Add an engine configuration to an 
engine family. In this case, the engine 
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configuration added must be consistent 
with other engine configurations in the engine family with respect to the criteria 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 and FCL for an 
engine family as described in paragraph (f) of this section. 
(b) To amend your application for 
certification, send the relevant information to the Designated Compliance Officer. 
(1) Describe in detail the addition or 
change in the engine model or configuration you intend to make. 
(2) Include engineering evaluations or 
data showing that the amended engine family complies with all applicable requirements. You may do this by showing that the original emission-data engine is still appropriate for showing that the amended family complies with all applicable requirements. 
(3) If the original emission-data 
engine for the engine family is not appropriate to show compliance for the new or modified engine configuration, include new test data showing that the new or modified engine configuration meets the requirements of this part. 
(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) For engine families already 
covered by a certificate of conformity, you may start producing the new or modified engine configuration any time after you send us your amended application and before we make a decision under paragraph (d) of this section. However, if we determine that the affected engines do not meet applicable requirements, we will notify you to cease production of the engines and may require you to recall the engines at no expense to the owner. Choosing to produce engines under this paragraph (e) is deemed to be consent to recall all engines that we determine do not meet applicable emission standards or other requirements and to remedy the 
nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days after we request it, you must stop producing the new or modified engines. 
(f) You may ask us to approve a 
change to your FEL in certain cases after the start of production, but before the end of the model year. If you change an FEL for CO
2, your FCL for CO 2is 
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 FELs/FCLs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part. 
(g) You may produce engines as 
described in your amended application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration during the model year under paragraph (d) of this section. Similarly, you may modify in-use engines as described in your amended application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration at any time under paragraph (d) of this section. Modifying a new or in-use engine to be in a certified configuration does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve changing to a certified configuration with a higher family emission limit. 
§ 1036.230 Selecting engine families. 
See 40 CFR 86.001–24 for instructions 
on how to divide your product line into families of engines that are expected to have similar emission characteristics throughout the useful life. You must 
certify your engines to the standards of § 1036.108 using the same engine families you use for criteria pollutants under 40 CFR part 86. The following provisions also apply: 
(a) Engines certified as hybrid engines 
may not be included in an engine family with engines with conventional powertrains. Note that this does not prevent you from including engines in a conventional family if they are used in hybrid vehicles, as long as you certify them conventionally. 
(b) If you certify engines in the family 
for use as both vocational and tractor engines, you must split your family into two separate subfamilies. Indicate in the application for certification that the engine family is to be split. 
(1) Calculate emission credits relative 
to the vocational engine standard for the number of engines sold into vocational applications and relative to the tractor engine standard for the number of engines sold into non-vocational tractor applications. You may assign the numbers and configurations of engines within the respective subfamilies at any time before submitting the end-of-year report required by § 1036.730. If the family participates in averaging, banking, or trading, you must identify the type of vehicle in which each engine is installed; we may alternatively allow you to use statistical methods to 
determine this for a fraction of your engines. Keep records to document this determination. 
(2) If you restrict use of the test 
configuration for your split family to only tractors, or only vocational vehicles, you must identify a second testable configuration for the other type of vehicle (or an unrestricted configuration). Identify this configuration in your application for certification. The FCL for the engine family applies for this configuration as well as the primary test configuration. 
(c) If you certify in separate engine 
families engines that could have been certified in vocational and tractor engine subfamilies in the same engine family, count the two families as one family for purposes of determining your obligations with respect to the OBD requirements and in-use testing requirements of 40 CFR part 86. Indicate in the applications for certification that the two engine families are covered by this paragraph (c). 
(d) Engine configurations within an 
engine family must use equivalent greenhouse gas emission controls. Unless we approve it, you may not produce nontested configurations without the same emission control hardware included on the tested 
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configuration. We will only approve it 
if you demonstrate that the exclusion of the hardware does not increase greenhouse gas emissions. 
(e) If you certify both engine fuel 
maps and powertrain fuel maps for an engine family, you may split the engine family into two separate subfamilies. Indicate this in your application for certification, and identify whether one or both of these sets of fuel maps applies for each group of engines. If you do not split your family, all engines within the family must conform to the engine fuel maps, including any engines for with the powertrain maps also apply. 
§ 1036.235 Testing requirements for 
certification. 
This section describes the emission 
testing you must perform to show 
compliance with the greenhouse gas emission standards in § 1036.108. 
(a) Select a single emission-data 
engine from each engine family as specified in 40 CFR part 86. The standards of this part apply only with respect to emissions measured from this tested configuration and other configurations identified in § 1036.205(e). Note that configurations identified in § 1036.205(e) are considered to be ‘‘tested configurations’’. Whether or not you actually tested them for certification. However, you must apply the same (or equivalent) emission controls to all other engine configurations in the engine family. In other contexts, the tested configuration is sometimes referred to as the ‘‘parent configuration’’, although the terms are not synonymous. 
(b) Test your emission-data engines 
using the procedures and equipment specified in subpart F of this part. In the case of dual-fuel and flexible-fuel engines, measure emissions when operating with each type of fuel for which you intend to certify the engine. (Note: measurement of criteria emissions from flexible-fuel engines generally involves operation with the fuel mixture that best represents in-use operation, or with the fuel mixture with the highest emissions.) Measure CO
2, 
CH 4, and N 2O emissions using the 
specified duty cycle(s), including cold- start and hot-start testing as specified in 40 CFR part 86, subpart N. The following provisions apply regarding test cycles for demonstrating compliance with tractor and vocational standards: 
(1) If you are certifying the engine for 
use in tractors, you must measure CO
2 
emissions using the applicable ramped- modal cycle specified in § 1036.505, and measure CH
4, and N 2O emissions using 
the specified transient cycle. 
(2) If you are certifying the engine for 
use in vocational applications, you must 
measure CO 2, CH 4, and N 2O emissions 
using the specified transient duty cycle, including cold-start and hot-start testing as specified in 40 CFR part 86, subpart N. 
(3) You may certify your engine 
family for both tractor and vocational use by submitting CO
2emission data 
from both ramped-modal and transient cycle testing and specifying FCLs for both. 
(4) Some of your engines certified for 
use in tractors may also be used in vocational vehicles, and some of your engines certified for use in vocational may be used in tractors. However, you 
may not knowingly circumvent the intent of this part (to reduce in-use emissions of 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 ramped-modal cycle without certifying any to the transient cycle. 
(c) We may perform confirmatory 
testing by measuring emissions from any of your emission-data engines. If your certification includes powertrain testing as specified in 40 CFR 1036.630, this paragraph (c) also applies for the powertrain test results. 
(1) We may decide to do the testing 
at your plant or any other facility. If we do this, you must deliver the engine to a test facility we designate. The engine you provide must include appropriate manifolds, aftertreatment devices, electronic control units, and other emission-related components not normally attached directly to the engine block. If we do the testing at your plant, you must schedule it as soon as possible and make available the instruments, personnel, and equipment we need. 
(2) If we measure emissions on your 
engine, the results of that testing become the official emission results for the engine as specified in this paragraph (c). Unless we later invalidate these data, we may decide not to consider your data in determining if your engine family meets applicable requirements. 
(3) Before we test one of your engines, 
we may set its adjustable parameters to any point within the physically adjustable ranges. 
(4) Before we test one of your engines, 
we may calibrate it within normal production tolerances for anything we do not consider an adjustable parameter. For example, this would apply for an engine parameter that is subject to production variability because it is adjustable during production, but is not considered an adjustable parameter (as defined in § 1036.801) because it is permanently sealed. For parameters that relate to a level of performance that is itself subject to a specified range (such as maximum power output), we will generally perform any calibration under this paragraph (c)(4) in a way that keeps performance within the specified range. 
(5) We may use our emission test 
results for steady-state, idle, cycle- average and powertrain fuel maps, as long as we perform at least three valid tests. We will use mean values for each point to specify our fuel maps and may use the resulting fuel maps as the official emission results. We may also consider how the different fuel maps affect GEM emission results as part of our decision. We will not replace individual points from your fuel map, but we may make separate determinations for steady-state, idle, cycle-average and powertrain fuel maps. 
(6) If you supply cycle-average engine 
fuel maps for the highway cruise cycles instead of generating a steady-state fuel map for these cycles, we may perform a confirmatory test of your engine fuel maps for the highway cruise cycles by either of the following methods: 
(i) Directly measuring the highway 
cruise cycle-average fuel maps. 
(ii) Measuring a steady-state fuel map 
as described in paragraph (c)(5) of this section and using it in GEM to create our own cycle-average engine fuel maps for the highway cruise cycles. 
(d) You may ask to use carryover 
emission data from a previous model year instead of doing new tests, but only if all the following are true: 
(1) The engine family from the 
previous model year differs from the current engine family only with respect to model year, items identified in § 1036.225(a), or other characteristics unrelated to emissions. We may waive this criterion for differences we determine not to be relevant. 
(2) The emission-data engine from the 
previous model year remains the appropriate emission-data engine under paragraph (b) of this section. 
(3) The data show that the emission- 
data engine would meet all the requirements that apply to the engine family covered by the application for certification. 
(e) We may require you to test a 
second engine of the same configuration in addition to the engine tested under paragraph (a) of this section. 
(f) If you use an alternate test 
procedure under 40 CFR 1065.10 and later testing shows that such testing does not produce results that are equivalent to the procedures specified 
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in subpart F of this part, we may reject 
data you generated using the alternate procedure. 
§ 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 electric hybrid engines. Base deterioration factors for engines with such emission patterns on the difference between (or ratio of) the point at which the highest emissions occur and the low-hour test point. Note that this applies for maintenance-related deterioration only where we allow such critical emission-related maintenance. 
(4) [Reserved] 
(5) Dual-fuel and flexible-fuel engines. 
In the case of dual-fuel and flexible-fuel 
engines, apply deterioration factors separately for each fuel type by measuring emissions with each fuel type at each test point. You may accumulate service hours on a single emission-data engine using the type of fuel or the fuel mixture expected to have the highest combustion and exhaust temperatures; you may ask us to approve a different fuel mixture if you demonstrate that a different criterion is more appropriate. 
(d) Calculate emission data using 
measurements to at least one more decimal place than the applicable standard. Apply the deterioration factor to the official emission result, as described in paragraph (c) of this section, then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission-data engine. 
(e) If you identify more than one 
configuration in § 1036.205(e), we may test (or require you to test) any of the identified configurations. We may also require you to provide an engineering analysis that demonstrates that untested configurations listed in § 1036.205(e) comply with their FCL. 
§ 1036.250 Reporting and recordkeeping 
for certification. 
(a) Within 90 days after the end of the 
model year, send the Designated 
Compliance Officer a report including the total U.S.-directed production volume of engines you produced in each engine family during the model year (based on information available at the time of the report). Report the production by serial number and engine configuration. Small manufacturers may omit this requirement. You may combine this report with reports required under subpart H of this part. 
(b) Organize and maintain the 
following records: 
(1) A copy of all applications and any 
summary information you send us. 
(2) Any of the information we specify 
in § 1036.205 that you were not required to include in your application. 
(c) Keep routine data from emission 
tests required by this part (such as test cell temperatures and relative humidity readings) for one year after we issue the associated certificate of conformity. Keep all other information specified in this section for eight years after we issue your certificate. 
(d) Store these records in any format 
and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time. 
§ 1036.255 What decisions may EPA make 
regarding my certificate of conformity? 
(a) If we determine your application is 
complete and shows that the engine 
family meets all the requirements of this part and the Act, we will issue a certificate of conformity for your engine family for that model year. We may make the approval subject to additional conditions. 
(b) We may deny your application for 
certification if we determine that your engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny your application, we will explain why in writing. 
(c) In addition, we may deny your 
application or suspend or revoke your certificate if you do any of the following: 
(1) Refuse to comply with any testing 
or reporting requirements. 
(2) Submit false or incomplete 
information (paragraph (e) of this section applies if this is fraudulent). This includes doing anything after submission of your application to 
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render any of the submitted information 
false or incomplete. 
(3) Render inaccurate any test data. 
(4) Deny us from completing 
authorized activities (see 40 CFR 
1068.20). This includes a failure to provide reasonable assistance. 
(5) Produce engines for importation 
into the United States at a location where local law prohibits us from carrying out authorized activities. 
(6) Fail to supply requested 
information or amend your application to include all engines being produced. 
(7) Take any action that otherwise 
circumvents the intent of the Act or this part, with respect to your engine family. 
(d) We may void the certificate of 
conformity for an engine family if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2). 
(e) We may void your certificate if we 
find that you intentionally submitted false or incomplete information. This includes rendering submitted information false or incomplete after submission. 
(f) If we deny your application or 
suspend, revoke, or void your certificate, you may ask for a hearing (see § 1036.820). 
Subpart D—Testing Production 
Engines 
§ 1036.301 Measurements related to GEM 
inputs in a selective enforcement audit. 
(a) Selective enforcement audits apply 
for engines as specified in 40 CFR part 
1068, subpart E. This section describes how this applies uniquely in certain circumstances. 
(b) Selective enforcement audit 
provisions apply with respect to your fuel maps as follows: 
(1) A selective enforcement audit for 
an engine with respect to fuel maps would consist of performing measurements with production engines to determine fuel-consumption rates as declared for GEM simulations, and running GEM for the vehicle configurations specified in paragraph (b)(2) of this section based on those measured values. The engine is considered passing for a given 
configuration if the new modeled emission result for each applicable duty cycle is at or below the modeled emission result corresponding to the declared GEM inputs. The engine is considered failing for a given configuration if the new modeled emission result for any applicable duty cycle is above the modeled emission result corresponding to the declared GEM inputs. 
(2) Evaluate cycle-average fuel maps 
by running GEM based on simulated vehicle configurations representing the interpolated center of every group of four test points that define a boundary of cycle work and average engine speed divided by average vehicle speed. These simulated vehicle configurations are defined from the four surrounding points based on averaging values for vehicle mass, drag area (if applicable), tire rolling resistance, tire size, and axle ratio. The regulatory subcategory is defined by the regulatory subcategory of the vehicle configuration with the greatest mass from those four test points. Figure 1 of this section illustrates a determination of vehicle configurations for engines used in tractors and Vocational HDV using a fixed tire size (see § 1036.540(c)(3)(iii)). The vehicle configuration from the upper-left quadrant is defined by values for Tests 1, 2, 4, and 5 from Table 3 of § 1036.540. Calculate vehicle mass as the average of the values from the four tests. Determine the weight reduction needed for GEM to simulate this calculated vehicle mass by comparing the average vehicle mass to the default vehicle mass for the vehicle subcategory from the four points that has the greatest mass, with the understanding that two- thirds of weight reduction for tractors is applied to vehicle weight and one-third is understood to represent increased payload. This is expressed mathematically as M
avg= Msubcategory ¥ 
2⁄3· Mreduction , which can be solved for 
Mreduction . For vocational vehicles, half of 
weight reduction is applied to vehicle 
weight and half is understood to represent increased payload. Use the following values for default vehicle masses by vehicle subcategory: TABLE 1 OF§ 1036.301—D EFAULT  
VEHICLE MASS BY VEHICLE SUB-
CATEGORY  
Vehicle subcategory Default 
vehicle mass 
(kg) 
Vocational Light HDV ........... 7,257 
Vocational Medium HDV ...... 11,408 
Class 7 Mid-Roof Day Cab .. 20,910 
Class 8 Mid-Roof Day Cab .. 29,529 
Class 8 High-Roof Sleeper 
Cab .................................... 31,978 
Heavy-Haul Tractor .............. 53,750 
(3) This paragraph (b)(3) provides an 
example to illustrate how to determine 
GEM input values for the four vehicle configurations identified in paragraph (b)(2) of this section. If axle ratio is 2.5 for Tests 1 and 2, and 3.5 for Tests 4 and 5, the average value is 3.0. A tire size of 500 revolutions per mile would apply for all four tests, so the average tire size would be that same value. Similarly, C
rr 
is 6.9 kg/tonne since that value applies for all four points. The calculated average value of C
dA is 6.9 m2. The 
calculated average vehicle mass is 28,746.5 kg. Weight reduction is 4,847 kg or 10,686 pounds (
3⁄2· (31,978 ¥ 
28,746.5)). 
(4) Because your cycle-average map 
may have more or fewer test points, you may have more than or fewer than the number of audit points shown in Figure 
1 of this section. If the audit includes fuel-map testing in conjunction with engine testing relative to exhaust emission standards, the fuel-map simulations for the whole set of vehicles and duty cycles counts as a single test result for purposes of evaluating whether the engine family meets the pass-fail criteria under 40 CFR 1068.420. If the audit includes only fuel-map testing, determine emission results from at least three different engine configurations simulated with each applicable vehicle configuration identified in § 1036.540; the fuel-map simulation for each vehicle configuration counts as a separate test for the engine. 
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(c) If your certification includes 
powertrain testing as specified in 40 
CFR 1036.630, these selective enforcement audit provisions apply with respect to powertrain test results as specified in 40 CFR part 1037, subpart D, and 40 CFR 1037.550. We may allow manufacturers to instead perform the engine-based testing to simulate the powertrain test as specified in 40 CFR 1037.551. 
(d) We may suspend or revoke 
certificates for any appropriate configurations within one or more engine families based on the outcome of a selective enforcement audit. 
Subpart E—In-Use Testing 
§ 1036.401 In-use testing. 
We may perform in-use testing of any 
engine family subject to the standards of 
this part, consistent with the Clean Air Act and the provisions of § 1036.235. Note that this provision does not affect 
your obligation to test your in-use engines as described in 40 CFR part 86, subpart T. 
Subpart F—Test Procedures 
§ 1036.501 How do I run a valid emission 
test? 
(a) Use the equipment and procedures 
specified in this subpart and 40 CFR 
86.1305 to determine whether engines meet the emission standards in § 1036.108. 
(b) You may use special or alternate 
procedures to the extent we allow them under 40 CFR 1065.10. 
(c) This subpart is addressed to you as 
a manufacturer, but it applies equally to anyone who does testing for you, and to us when we perform testing to determine if your engines meet emission standards. 
(d) For engines that use aftertreatment 
technology with infrequent regeneration events, apply infrequent regeneration adjustment factors as described in § 1036.530. 
(e) Test hybrid engines as described in 
§ 1036.525 and 40 CFR part 1065. 
(f) Determine engine fuel maps as 
described in § 1036.510(b). 
(g) The following additional 
provisions apply for testing to demonstrate compliance with the emission standards in § 1036.108 for model year 2021 and later engines: 
(1) If your engine is intended for 
installation in a vehicle equipped with stop-start technology, you may use good engineering judgment to turn the engine off during the idle portions of the duty cycle to represent in-use operation, consistent with good engineering judgment. 
(2) Use one of the following methods 
to measure CO
2emissions: (i) Use the ramped-modal cycle 
specified in § 1036.505 using either continuous or batch sampling. 
(ii) Measure CO
2emissions over the 
ramped-modal cycle specified in 40 CFR 86.1362 using continuous sampling. Integrate the test results by mode to establish separate emission rates for each mode (including the transition following each mode, as applicable). Apply the weighting factors specified in 40 CFR 86.1362 to calculate a composite emission result. 
(3) Measure or calculate emissions of 
criteria pollutants corresponding to your measurements to demonstrate compliance with CO
2standards. These 
test results are not subject to the duty- cycle standards of 40 CFR part 86, subart A. 
§ 1036.505 Ramped-modal testing 
procedures. 
(a) Starting in model year 2021, you 
must measure CO 2emissions using the 
ramped-modal cycle in 40 CFR 86.1362 
as described in § 1036.501, or using the ramped-modal cycle in this section. 
(b) Measure emissions using the 
ramped-modal duty cycle shown in the following table to determine whether engines meet the steady-state compression-ignition standards specified in subpart B of this part: 
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TABLE 1 OF§ 1036.505—R AMPED -MODAL DUTYCYCLE  
RMC mode Time in mode 
(seconds) Engine 
speed12 Torque 
(percent)23 
1a Steady-state ..................................... 124 Warm Idle ................................................ 0. 
1b Transition ......................................... 20 Linear Transition ...................................... Linear Transitio n. 
2a Steady-state ..................................... 196 A .............................................................. 100. 
2b Transition ......................................... 20 Linear Transition ...................................... Linear Transitio n. 
3a Steady-state ..................................... 220 B .............................................................. 50. 
3b Transition ......................................... 20 B .............................................................. Linear T ransition. 
4a Steady-state ..................................... 220 B .............................................................. 75. 
4b Transition ......................................... 20 Linear Transition ...................................... Linear Transitio n. 
5a Steady-state ..................................... 268 A .............................................................. 50. 
5b Transition ......................................... 20 A .............................................................. Linear T ransition. 
6a Steady-state ..................................... 268 A .............................................................. 75. 
6b Transition ......................................... 20 A .............................................................. Linear T ransition. 
7a Steady-state ..................................... 268 A .............................................................. 25. 
7b Transition ......................................... 20 Linear Transition ...................................... Linear Transitio n. 
8a Steady-state ..................................... 196 B .............................................................. 100. 
8b Transition ......................................... 20 B .............................................................. Linear T ransition. 
9a Steady-state ..................................... 196 B .............................................................. 25. 
9b Transition ......................................... 20 Linear Transition ...................................... Linear Transitio n. 
10a Steady-state ................................... 28 C .............................................................. 100. 
10b Transition ....................................... 20 C .............................................................. Linear Tr ansition. 
11a Steady-state ................................... 4 C .............................................................. 25. 
11b Transition ....................................... 20 C .............................................................. Linear Tr ansition. 
12a Steady-state ................................... 4 C .............................................................. 75. 
12b Transition ....................................... 20 C .............................................................. Linear Tr ansition. 
13a Steady-state ................................... 4 C .............................................................. 50. 
13b Transition ....................................... 20 Linear Transition ...................................... Linear Transition . 
14 Steady-state ..................................... 144 Warm Idle ................................................ 0. 
1Speed terms are defined in 40 CFR part 1065. 
2Advance from one mode to the next within a 20 second transition phase. During the transition phase, command a linear progression from the 
speed or torque setting of the current mode to the speed or torque setting of the next mode. 
3The percent torque is relative to maximum torque at the commanded engine speed. 
§ 1036.510 Engine data and information for 
vehicle certification. 
You must give vehicle manufacturers 
information as follows so they can 
certify model year 2021 and later vehicles: 
(a) Identify engine make, model, fuel 
type, engine family name, calibration identification, and engine displacement. Also identify which standards the engines meet. 
(b) This paragraph (b) describes three 
different methods to generate engine fuel maps. Manufacturers may generally rely on any of the three mapping methods. However, manufacturers must generate fuel maps using either cycle- average or powertrain testing as described in paragraphs (b)(2) and (3) of this section for hybrid engines and hybrid vehicles. Also, vehicle manufacturers must use the powertrain method for any vehicle with a transmission that is not automatic, automated manual, manual, or dual- clutch. 
(1) Combined steady-state and cycle- 
average. Determine steady-state engine 
fuel maps and fuel consumption at idle as described in § 1036.535, and determine cycle-average engine fuel maps as described in § 1036.540, excluding cycle-average fuel maps for highway cruise cycles. (2) Cycle-average. Determine fuel 
consumption at idle as described in 
§ 1036.535, and determine cycle-average engine fuel maps as described in § 1036.540, including cycle-average engine fuel maps for highway cruise cycles. In this case, you do not need to determine steady-state engine fuel maps under § 1036.535. Fuel mapping for highway cruise cycles using cycle- average testing is an alternate method, 
which means that we may do confirmatory testing based on steady- state fuel mapping for highway cruise cycles even if you do not; however, we will use the steady-state fuel maps to create cycle-average fuel maps. In § 1036.540 we define the vehicle configurations for testing; we may add more vehicle configurations to better represent your engine’s operation for the range of vehicles in which your engines will be installed (see 40 1065.10(c)(1)). 
(3) Powertrain. Generate a powertrain 
fuel map as described in 40 CFR 1037.550. In this case, you do not need to perform fuel mapping under § 1036.535 or § 1036.540. 
(d) Provide the following information 
if you generate engine fuel maps using either paragraph (b)(1) or (2) of this section: 
(1) Full-load torque curve for installed 
engines, and the full-load torque curve of the engine with the highest fueling rate that shares the same engine hardware, including the turbocharger, as described in 40 CFR 1065.510. You may use 40 CFR 1065.510(b)(5)(i) for engines subject to spark-ignition standards. Measure the torque curve for hybrid engines as described in 40 CFR 1065.510(g) with the hybrid system active. 
(2) Motoring torque map as described 
in 40 CFR 1065.510(c)(2) and (4) for conventional and hybrid engines, respectively. 
(3) Declared engine idle speed. For 
vehicles with manual transmissions, this is the engine speed with the transmission in neutral. For all other vehicles, this is the engine’s idle speed when the transmission is in drive. 
§ 1036.525 Hybrid engines. 
(a) If your engine system includes 
features that recover and store energy during engine motoring operation, test the engine as described in paragraph (d) of this section. For purposes of this section, features that recover energy between the engine and transmission are considered related to engine motoring. 
(b) If you produce a hybrid engine 
designed with power take-off capability and sell the engine coupled with a 
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transmission, you may calculate a 
reduction in CO 2emissions resulting 
from the power take-off operation as described in 40 CFR 1037.540. Quantify the CO
2reduction for your engines 
using the vehicle-based procedures, consistent with good engineering judgment. 
(c) For engines that include electric 
hybrid systems, test the engine with the hybrid electric motor, the rechargeable energy storage system (RESS), and the power electronics between the hybrid electric motor and the RESS. You may ask us to modify the provisions of this section for testing engines with other kinds of hybrid systems. 
(d) Measure emissions using the same 
procedures that apply for testing non- hybrid engines under this part, except as specified in this part and 40 CFR part 1065. For ramped-modal testing, deactivate the hybrid features unless we specify otherwise. The following provisions apply for testing hybrid engines: 
(1) Engine mapping. Map the engine 
as specified in 40 CFR 1065.510. This 
requires separate torque maps for the engine with and without the hybrid features active. For transient testing, denormalize the duty cycle using the map generated with the hybrid feature active. For steady-state testing, denormalize the duty cycle using the map generated without the hybrid feature. 
(2) Engine shutdown during testing. If 
you will configure production engines to shut down automatically during idle operation, you may let the engine shut down during the idle portions of the duty cycle. 
(3) Work calculation. Calculate 
positive and negative work done over the cycle according to 40 CFR 1065.650(d), except that you must set power to zero to calculate negative work done for any period over the cycle where the engine produces net positive power or where the negative power is solely from the engine and not the hybrid system. 
(4) Limits on braking energy. Calculate 
brake energy fraction, x
b,as follows: 
(i) Calculate x bas the integrated 
negative work over the cycle divided by the integrated positive work over the cycle according to Eq. 1036.525–1. Calculate the brake energy limit for the engine, x
bl,according to Eq. 1036.525– 
2. If x bis less than or equal to x bl, use 
the integrated positive work for your emission calculations. If x
bis greater 
than xbluse Eq. 1036.525–3 to calculate 
an adjusted value for cycle work, W cycle, 
and use W cycleas the work value for 
calculating emission results. You may set an instantaneous brake target that will prevent x
bfrom being larger than 
xblto avoid the need to subtract extra 
brake work from positive work. 
Where: 
Wneg= the negative work over the cycle. 
Wpos= the positive work over the cycle. 
Where: P
max= the maximum power of the engine 
with the hybrid system engaged. 
Where: W
cycle= cycle work when x bis greater than 
xbl. 
Example:  
Wneg= 4.69 kW-hr 
Wpos= 14.67 kW-hr 
Pmax= 223 kW 
xbl= 4.158.10¥4·.223 + 0.2247 = 0.317 kW 
since xb> xbl´; 
Wcycle= 14.67 ¥ (|4.59| ¥ 0.317·14.67) = 
14.63 kW-hr 
(ii) Convert from g/kW-hr to g/hp-hr 
as the final step in calculating emission 
results. 
(5) State of charge. Correct for the net 
energy change of the energy storage device as described in 40 CFR 1066.501. 
§ 1036.530 Calculating greenhouse gas 
emission rates. 
This section describes how to 
calculate official emission results for 
CO 2, CH 4, and N 2O. 
(a) Calculate brake-specific emission 
rates for each applicable duty cycle as specified in 40 CFR 1065.650. Apply infrequent regeneration adjustment factors to your cycle-average results as described in 40 CFR 86.004–28 for CO
2 
starting in model year 2021. You may optionally apply infrequent regeneration adjustment factors for CH
4and N 2O. 
(b) Adjust CO 2emission rates 
calculated under paragraph (a) of this section for measured test fuel properties as specified in this paragraph (b). This adjustment is intended to make official emission results independent of differences in test fuels within a fuel type. Use good engineering judgment to develop and apply testing protocols to minimize the impact of variations in test fuels. 
(1) Determine mass-specific net 
energy content, E
mfuelmeas, also known as 
lower heating value, in MJ/kg, expressed to at least three decimal places, as follows: 
(i) For liquid fuels, determine 
E
mfuelmeas according to ASTM D4809 
(incorporated by reference in § 1036.810). 
(ii) For gaseous fuels, determine 
E
mfuelmeas using good engineering 
judgment. 
(2) Determine your test fuel’s carbon 
mass fraction, w C,as described in 40 
CFR 1065.655(d), expressed to at least three decimal places; however, you must measure fuel properties rather than using the default values specified in Table 1 of 40 CFR 1065.655. Have the sample analyzed by three different labs and use the arithmetic mean of the results as your test fuel’s w
C. 
(3) If, over a period of time, you 
receive multiple fuel deliveries from a single stock batch of test fuel, you may use constant values for mass-specific energy content and carbon mass fraction, consistent with good engineering judgment. To use this provision, you must demonstrate that every subsequent delivery comes from the same stock batch and that the fuel has not been contaminated. 
(4) Correct measured CO
2emission 
rates as follows: 
Where: 
eCO2= the calculated CO 2emission result. 
Emfuelmeas = the mass-specific net energy 
content of the test fuel as determined in 
paragraph (b)(1) of this section. Note that dividing this value by w
Cmeas (as is done 
in this equation) equates to a carbon- specific net energy content having the same units as E
mfuelCref . 
EmfuelCref = the reference value of carbon- 
mass-specific net energy content for the appropriate fuel type, as determined in Table 1 of this section. 
w
Cmeas = carbon mass fraction of the test fuel 
(or mixture of test fuels) as determined in paragraph (b)(2) of this section. 
Example:  
e
CO2= 630.0 g/hp·hr 
Emfuelmeas = 42.528 MJ/kg 
EmfuelCref = 49.3112 MJ/kgC 
wCmeas = 0.870 
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eCO2cor = 624.5 g/hp·hr 
TABLE 1 OF§ 1036.530—R EFERENCE FUEL PROPERTIES  
Fuel type1 Reference fuel 
carbon-mass- 
specific net 
energy content, 
EmfuelCref,  
(MJ/kgC)2 Reference fuel 
carbon mass 
fraction, wCref2 
Diesel fuel .................................................................................................................... .................................... 49.3112 0.874 
Gasoline ....................................................................................................................... .................................... 50.4742 0.846 
Natural Gas .................................................................................................................... .................................. 66.2910 0.750 
LPG ............................................................................................................................ ...................................... 56.5218 0.820 
Dimethyl Ether ................................................................................................................. ................................ 55.3886 0.521 
High-level ethanol-gasoline blends ............................................................................................. ..................... 50.3211 0.576 
1For fuels that are not listed, you must ask us to approve reference fuel properties. 
2For multi-fuel streams, such as natural gas with diesel fuel pilot injection, use good engineering judgment to determine blended values for 
EmfuelCref and wCrefusing the values in this table. 
(c) Your official emission result for 
each pollutant equals your calculated 
brake-specific emission rate multiplied by all applicable adjustment factors, other than the deterioration factor. 
§ 1036.535 Determining steady-state 
engine fuel maps and fuel consumption at idle. 
This section describes how to 
determine an engine’s steady-state fuel 
map and fuel consumption at idle for model year 2021 and later vehicles. Vehicle manufacturers may need these values to demonstrate compliance with emission standards under 40 CFR part 1037 as described in § 1036.510. 
(a) General test provisions. Perform 
fuel mapping using the procedure described in paragraph (b) of this section to establish measured fuel- consumption rates at a range of engine speed and load settings. Measure fuel consumption at idle using the procedure described in paragraph (c) of this section. If you perform cycle-average mapping for highway cruise cycles as described in § 1037.540, omit mapping under paragraph (b) of the section and instead perform mapping as described in paragraph (c) and (d) of this section. Use these measured fuel-consumption values to declare fuel-consumption rates for certification as described in paragraph (e) of this section. 
(1) Map the engine as described in 
§ 1036.510(a)(2) and (3), and perform emission measurements as described in 40 CFR 1065.501 and 1065.530 for discrete-mode steady-state testing. This section uses engine parameters and variables that are consistent with 40 CFR part 1065. 
(2) Measure NO
Xemissions for each 
specified sampling period in g/s. You may perform these measurements using a NO
Xemission-measurement system that meets the requirements of 40 CFR 
part 1065, subpart J. Include these measured NO
Xvalues any time you 
report to us your fuel consumption values from testing under this section. If a system malfunction prevents you from measuring NO
Xemissions during a test 
under this section but the test otherwise gives valid results, you may consider this a valid test and omit the NO
X 
emission measurements; however, we may require you to repeat the test if we determine that you inappropriately voided the test with respect to NO
X 
emission measurement. 
(b) Steady-state fuel mapping. 
Determine fuel-consumption rates for each engine configuration over a series of steady-state engine operating points as described in this paragraph (b). You may use shared data across an engine platform to the extent that the fuel- consumption rates remain valid. For example, if you test a high-output configuration and create a different configuration that uses the same fueling strategy but limits the engine operation to be a subset of that from the high- output configuration, you may use the fuel-consumption rates for the reduced number of mapped points for the low- output configuration, as long as the 
narrower map includes at least 70 points. Perform fuel mapping as follows: 
(1) Select ten speed points that 
include warm idle speed, f
nidle,the 
highest speed above maximum power at which 70% of maximum power occurs, n
hi,and eight equally spaced points 
between fnidleand nhi.Control speed to 
within ±1% of n hi(see 40 CFR 
1065.610(c)). 
(2) Select ten torque values, including 
T = 0, maximum mapped torque, T max 
mapped , and eight equally spaced points 
between T = 0 and T max mapped . Replace 
any torque setpoints that are above the mapped torque at a given speed, T max, 
minus 5 percent of T max mapped . with one 
test point at T max.Control engine torque 
to within ±5% of T max mapped . 
(3) You may need to adjust 
dynamometer settings any time the engine is operating on the low-speed or high-speed governor to maintain stable engine operation. You may change the dynamometer’s speed setpoint as needed to avoid activating the engine’s governor. You may alternatively set the dynamometer mode to torque-control, in which case speed can fall outside of ±1% of n
hi. 
(4) Precondition the engine as 
described in 40 CFR 1065.510(b)(2). 
(5) Within 60 seconds after 
concluding the preconditioning procedure, operate the engine at n
hiand 
Tmax. 
(6) After the engine operates at the set 
speed and torque for 60 seconds, start recording measurements using one of the following methods: 
(i) Carbon mass balance. Record 
speed and torque and measure emissions and other inputs needed to run the chemical balance in 40 CFR 1065.655(c) for (29 to 31) seconds; determine the corresponding mean values for the sampling period. We will use carbon mass balance. 
(ii) Direct measurement of fuel flow. 
Record speed and torque and measure fuel consumption with a fuel flow meter for (29 to 31) seconds; determine the corresponding mean values for the sampling period. 
(7) After completing the sampling 
period described in paragraph (b)(6) of this section, linearly ramp the engine over 15 seconds to the next lowest torque value while holding speed constant. Perform the measurements described at the new torque setting and 
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repeat this sequence for all remaining 
torque values down to T = 0. 
(8) Continue testing to complete fuel 
mapping as follows: 
(i) At T = 0, linearly ramp the engine 
over 15 seconds to operate at the next lowest speed value and increase torque to T
max. Perform measurements for all 
the torque values at the selected speed as described in paragraphs (b)(6) and (7) of this section. Repeat this sequence for 
all remaining speed values down to f
nidle 
to complete the fuel-mapping procedure. You may interrupt the mapping sequence to calibrate emission- measurement instrumentation only 
during stabilization at T
maxfor a given 
speed. If you use batch sampling to measure background emissions, you may sample periodically into the bag over the course of multiple test intervals defined by the period between calibrations of emission-measurement instrumentation. The background 
sample must be applied to correct emissions sampled over the test interval(s) between calibrations. 
(ii) If an infrequent regeneration event 
occurs during fuel mapping, invalidate all the measurements made at that 
engine speed. Allow the regeneration event to finish, then restart engine stabilization at T
maxat the same engine 
speed and continue with measurements from that point in the fuel-mapping sequence. 
(9) If you determine fuel-consumption 
rates using emission measurements from the raw or diluted exhaust, calculate the mean fuel mass flow rate, mÔ
fuel, for each 
point in the fuel map using the following equation: 
Where: 
mÔ
fuel= mean fuel mass flow rate for a given 
fuel map setpoint, expressed to at least 
the nearest 0.001 g/s. 
MC= molar mass of carbon. 
wCmeas = carbon mass fraction of fuel (or 
mixture of test fuels) as determined in 40 CFR 1065.655(d), except that you may not use the default properties in Table 1 of 40 CFR 1065.655 to determine a, b, 
and w
Cfor liquid fuels. nÔ
exh= the mean raw exhaust molar flow rate 
from which you measured emissions 
according to 40 CFR 1065.655. 
x¯Ccombdry = the mean concentration of carbon 
from fuel and any injected fluids in the exhaust per mole of dry exhaust as determined in 40 CFR 1065.655(c). 
x¯
H2Oexhdry = the mean concentration of H 2O in 
exhaust per mole of dry exhaust as 
determined in 40 CFR 1065.655(c). 
mÔ
CO2DEF = the mean CO 2mass emission rate 
resulting from diesel exhaust fluid decomposition as determined in paragraph (b)(10) of this section. If your 
engine does not use diesel exhaust fluid, or if you choose not to perform this correction, set mÔ
CO2DEF equal to 0. 
MCO2= molar mass of carbon dioxide. 
Example:  
MC= 12.0107 g/mol 
wCmeas = 0.869 
nÔ
exh= 25.534 mol/s 
x¯Ccombdry = 0.002805 mol/mol 
x¯H2Oexhdry = 0.0353 mol/mol 
mÔ
CO2DEF = 0.0726 g/s 
MCO2= 44.0095 g/mol 
(10) If you determine fuel- 
consumption rates using emission 
measurements with engines that utilize diesel exhaust fluid for NO Xcontrol, 
correct for the mean CO 2mass 
emissions resulting from diesel exhaust fluid decomposition at each fuel map 
setpoint using the following equation: 
Where: 
mÔ
DEF= the mean mass flow rate of injected 
urea solution diesel exhaust fluid for a 
given sampling period, determined directly from the engine control module, or measured separately, consistent with good engineering judgment. 
M
CO2= molar mass of carbon dioxide. wCH4N2O = mass fraction of urea in diesel 
exhaust fluid aqueous solution. Note that 
the subscript ‘‘CH4N2O’’ refers to urea as a pure compound and the subscript ‘‘DEF’’ refers to the aqueous 32.5% urea diesel exhaust fluid as a solution of urea in water with a nominal urea 
concentration of 32.5%. M
CH4N2O = molar mass of urea. 
Example:  
mÔ
DEF= 0. 304 g/s 
MCO2= 44.0095 g/mol 
wCH4N2O = 32.5% = 0.325 
MCH4N2O = 60.05526 g/mol 
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(11) Correct the measured or 
calculated mean fuel mass flow rate, mÔfuelat each engine operating condition 
to a mass-specific net energy content of a reference fuel using the following 
equation: 
Where: 
Emfuelmeas = the mass-specific net energy 
content of the test fuel as determined in 
§ 1036.530(b)(1). 
EmfuelCref = the reference value of carbon- 
mass-specific net energy content for the appropriate fuel. Use the values shown in Table 1 of § 1036.530 for the designated fuel types, or values we 
approve for other fuel types. 
w
Cref= the reference value of carbon mass 
fraction for the test fuel as shown in Table 1 of § 1036.530 for the designated fuels. For other fuels, use the reference carbon mass fraction of diesel fuel for 
engines subject to compression-ignition standards, and use the reference carbon 
mass fraction of gasoline for engines subject to spark-ignition standards. 
Example:  
mÔ
fuel= 0.933 g/s 
Emfuelmeas = 42.7984 MJ/kgC 
EmfuelCref = 49.3112 MJ/kgC 
wCref= 0.874 
(c) Fuel consumption at idle. 
Determine values for fuel-consumption 
rate at idle for each engine configuration as described in this paragraph (c). You may use shared data across engine configurations, consistent with good engineering judgment. Perform measurements as follows: 
(1) Precondition the engine as 
described in 40 CFR 1065.510(b)(2). 
(2) Within 60 seconds after 
concluding the preconditioning procedure, operate the engine at its minimum declared warm idle speed, f
nidlemin , as described in 40 CFR 
1065.510(b)(3), set zero torque, and start the sampling period. Continue sampling for (595 to 605) seconds. Perform measurements using carbon mass balance. Record speed and torque and measure emissions and other inputs as 
described in 40 CFR 1065.655(c); determine the corresponding mean values for the sampling period. Calculate the mean fuel mass flow rate, mÔ
fuel, during the sampling period as described in paragraph (b)(9) of this section. 
Manufacturers may instead measure 
fuel consumption with a fuel flow meter and determine the corresponding mean values for the sampling period. 
(3) Repeat the steps in paragraphs 
(c)(1) and (2) of this section with the engine set to operate at a torque setting of 100 N·m. 
(4) Repeat the steps in paragraphs 
(c)(1) through (3) of this section with the engine operated at its declared maximum warm idle speed, f
nidlemax . 
(5) If an infrequent regeneration event 
occurs during this procedure, invalidate any measurements made at that idle condition. Allow the regeneration event to finish, then repeat the measurement and continue with the test sequence. 
(6) Correct the measured or calculated 
mean fuel mass flow rate, mÔ
fuelat each 
of the four idle settings to account for mass-specific net energy content as described in paragraph (b)(11) of this section. (d) Steady-state fuel maps used for 
cycle-average fuel mapping of the cruise 
cycles. Use the appropriate default 
steady-state engine fuel map as specified in Appendix I to this part to generate cycle-average fuel maps under § 1036.540, as amended based on the measurements specified in this paragraph (d). Measure fuel consumption at idle at the four specified engine operating conditions. For any values from the default map that lie within the boundaries of the engine speed and torque values represented by these idle-operating points, use the measured values instead of the default values. You may use shared data across engine configurations, consistent with good engineering judgment. Determine values for fuel-consumption rate at idle for each engine configuration as follows: 
(1) Determine idle torque, T
idle, at the 
engine’s maximum warm idle speed using the following equation: 
Where: 
Tfnstall = the maximum engine torque at f nstall. 
fnidle[speed] = the applicable engine idle speed 
as described in this paragraph (d). fnstall= the stall speed of the torque converter; 
use fntestor 2250 rpm, whichever is 
lower. 
Pacc= accessory power for the vehicle class; 
use 1500 W for Vocational Light HDV, 2500 
W for Vocational Medium HDV, and 3500 W for Tractors and Vocational Heavy HDV. Example:  
T
fnstall = 1870 N·m 
fntest= 1740.8 r/min = 182.30 rad/s 
fnstall= 1740.8 r/min = 182.30 rad/s 
fnidlemax = 700 r/min = 73.30 rad/s 
Pacc= 1500 W 
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(2) Precondition the engine as 
described in 40 CFR 1065.510(b)(2). 
(3) Within 60 seconds after 
concluding the preconditioning 
procedure, operate the engine at its maximum declared warm idle speed, f
nidlemax, as described in 40 CFR 
1065.510(b)(3), set torque to the value determined in paragraph (d)(1) of this section, after the engine operates at the set speed and torque for 60 seconds, start the sampling period. Continue sampling for (29 to 31) seconds. Perform measurements using carbon mass balance. Record speed and torque and measure emissions and other inputs as described in 40 CFR 1065.655(c); determine the corresponding mean values for the sampling period. Calculate the mean fuel mass flow rate, mÔ
fuel, during the sampling period as 
described in paragraph (b)(9) of this section. Manufacturers may instead measure fuel consumption with a fuel flow meter and determine the corresponding mean values for the sampling period. 
(4) Repeat the steps in paragraphs 
(d)(2) and (3) of this section with the engine set to operate at zero torque. 
(5) Repeat the steps in paragraphs 
(d)(1) through (4) of this section with the engine operated at its declared minimum warm idle speed, f
nidlemin . 
(6) If an infrequent regeneration event 
occurs during this procedure, invalidate any measurements made at that idle condition. Allow the regeneration event to finish, then repeat the measurement and continue with the test sequence. 
(7) Correct the measured or calculated 
mean fuel mass flow rate, mÔ
fuelat each 
of the four idle settings to account for mass-specific net energy content as described in paragraph (b)(11) of this section. 
(e) Measured vs. declared fuel- 
consumption rates. Select fuel- consumption rates in g/s to characterize the engine’s fuel maps. These declared values may not be lower than any corresponding measured values 
determined in paragraphs (b) through (d) of this section. You may select any value that is at or above the corresponding measured value. These declared fuel-consumption rates, which serve as emission standards under § 1036.108, are the values that vehicle manufacturers will use for certification under 40 CFR part 1037. Note that production engines are subject to GEM cycle-weighted limits as described in § 1036.301. 
§ 1036.540 Determining cycle-average 
engine fuel maps. 
(a) Overview. This section describes 
how to determine an engine’s cycle- 
average fuel maps for model year 2021 and later vehicles with transient cycles. This may also apply for highway cruise cycles as described in § 1036.510. Vehicle manufacturers may need one or both of these to demonstrate compliance with emission standards under 40 CFR part 1037. Generating cycle-average engine fuel maps consists of the following steps: 
(1) Determine the engine’s torque 
maps as described in § 1036.510(a). 
(2) Determine the engine’s steady- 
state fuel map and fuel consumption at idle as described in § 1036.535. 
(3) Simulate several different vehicle 
configurations using GEM (see 40 CFR 1037.520) to create new engine duty cycles, as described in paragraph (c) of this section. The transient vehicle duty cycles for this simulation are in 40 CFR part 1037, Appendix I; the highway cruise cycles with grade are in 40 CFR part 1037, Appendix IV. Note that GEM 
simulation relies on vehicle service classes as described in 40 CFR 1037.140. 
(4) Test the engines using the new 
duty cycles to determine fuel consumption, cycle work, and average vehicle speed as described in paragraph (d) of this section and establish GEM inputs for those parameters for further vehicle simulations as described in paragraph (e) of this section. (b) General test provisions. The 
following provisions apply for testing under this section: 
(1) To perform fuel mapping under 
this section for hybrid engines, make sure the engine and its hybrid features are appropriately configured to represent the hybrid features in your testing. 
(2) Measure NO
Xemissions for each 
specified sampling period in grams. You may perform these measurements using a NO
Xemission-measurement system 
that meets the requirements of 40 CFR part 1065, subpart J. Include these measured NO
Xvalues any time you 
report to us your fuel consumption values from testing under this section. If a system malfunction prevents you from measuring NO
Xemissions during a test 
under this section but the test otherwise gives valid results, you may consider this a valid test and omit the NO
X 
emission measurements; however, we may require you to repeat the test if we determine that you inappropriately voided the test with respect to NO
X 
emission measurement. 
(3) This section uses engine 
parameters and variables that are consistent with 40 CFR part 1065. 
(c) Create engine cycles. Use GEM to 
simulate several different vehicle configurations to create transient and highway cruise engine cycles corresponding to each vehicle configuration, as follows: 
(1) Set up GEM to simulate vehicle 
operation based on your engine’s torque maps, steady-state fuel maps, and fuel consumption at idle as described in paragraph (a)(1) and (2) of this section. 
(2) Set up GEM with transmission 
gear ratios for different vehicle service classes and vehicle duty cycles as described in Table 1 of this section. These values are based on automatic or automated manual transmissions, but they apply for all transmission types. 
TABLE 1 OF§ 1036.540—A SSIGNED TRANSMISSION GEARRATIOS  
Gear number Light HDV and 
medium HDV Tractors and 
heavy HDV, 
transient cycle Tractors and 
heavy HDV, 
highway cruise 
cycle 
1 .............................................................................................................................. ... 3.10 3.51 12.8 
2 .............................................................................................................................. ... 1.81 1.91 9.25 
3 .............................................................................................................................. ... 1.41 1.43 6.76 
4 .............................................................................................................................. ... 1.00 1.00 4.90 
5 .............................................................................................................................. ... 0.71 0.74 3.58 
6 .............................................................................................................................. ... 0.61 0.64 2.61 
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TABLE 1 OF§ 1036.540—A SSIGNED TRANSMISSION GEARRATIOS —Continued 
Gear number Light HDV and 
medium HDV Tractors and 
heavy HDV, 
transient cycle Tractors and 
heavy HDV, 
highway cruise 
cycle 
7 ................................................................................................................................. .............................. .............................. 1.89 
8 ................................................................................................................................. .............................. .............................. 1.38 
9 ................................................................................................................................. .............................. .............................. 1.00 
10 ............................................................................................................................... .............................. .............................. 0.73 
(3) Run GEM for each simulated 
vehicle configuration as follows: 
Where: 
fn[speed] = engine’s angular speed as 
determined in paragraph (c)(3)(ii) or (iii) 
of this section. ktopgear = transmission gear ratio in the 
highest available gear from Table 4 of 
this section (for powertrain testing use actual top gear ratio). v
ref= reference speed. Use 65 mi/hr for the 
transient cycle and the 65 mi/hr highway cruise cycle, and use 55 mi/hr for the 55 mi/hr highway cruise cycle. 
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Example:  
This example is for a vocational Light HDV 
or vocational Medium HDV with a 6-speed automatic transmission at B speed (Test 3 or 4 in Table 2 of this section). f
nrefB= 1870 r/min = 31.17 r/s kaB= 4.0 
ktopgear = 0.61 
vref= 65 mi/hr = 29.06 m/s 
(ii) Test at least eight different vehicle 
configurations for engines that will be 
installed in vocational Light HDV or vocational Medium HDV. If the engine will also be installed in vocational Heavy HDV, use good engineering judgment to select at least nine test configurations that best represent the range of vehicles. For example, if your engines will be installed in vocational Medium HDV and vocational Heavy HDV, you might select Tests 1 through 6 of Table 2 of this section to represent Class 7 vehicles and Tests 3, 6, and 9 of Table 3 of this section to represent Class 8 vehicles. You may test your engine using additional vehicle configurations with different k
aand Crr 
values to represent a wider range of in- use vehicle configurations. Set C
dAto 
5.4 for all test configurations. For powertrain testing, set M
rotating to 340 kg 
and Effaxleto 0.955 for all test 
configurations. 
corresponding designated engine speed (A, B, C, or f
ntest) at 65 mi/hr for the 
transient cycle and the 65 mi/hr highway cruise cycle, and at 55 mi/hr for the 55 mi/hr highway cruise cycle. These engine speeds apply equally for engines subject to spark-ignition standards. Use the following settings specific to each vehicle configuration: 
(iii) Test nine different vehicle 
configurations for engines that will be installed in vocational Heavy HDV and for tractors that are not heavy-haul tractors. Test over six different test configurations for heavy-haul tractors. You may test your engines for additional configurations with different k
a, CdA, and Crrvalues to represent a 
wider range of in-use vehicle configurations. Set C rrto 6.9 for all nine 
defined test configurations. For powertrain testing, set Eff
axleto 0.955 for 
all test configurations. Set the axle ratio, k
a, 
engine speed (B, f ntest,or the minimum 
NTE exclusion speed as determined in 40 CFR 86.1370(b)(1)) at 65 mi/hr. Use 
the settings specific to each test configuration as shown in Table 3 or Table 4 of this section, as appropriate. 
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Engines subject to testing under both 
Table 3 and Table 4 of this section need not repeat overlapping test configurations, so complete fuel mapping requires testing 12 (not 15) test configurations for those engines. Note that M
rotating is needed for powertrain 
testing but not for engine testing. Tables 3 and 4 follow: 
(iv) Use the defined values in Tables 
1 through 4 of this section to set up GEM with the correct regulatory subcategory and vehicle weight reduction, if applicable, to achieve the target vehicle mass, M, for each test. 
(4) Use the GEM output of 
instantaneous engine speed and engine flywheel torque for each of the vehicle configurations to generate a 10 Hz transient duty cycle corresponding to each vehicle configuration operating over each vehicle duty cycle. 
(d) Test the engine with GEM cycles. 
Test the engine over each of the transient duty cycles generated in paragraph (c) of this section as follows: 
(1) Precondition the engine either as 
described in 40 CFR 1037.510(a)(2)(i) for the transient duty-cycle and 40 CFR 1037.510(a)(2)(ii) for the highway cruise duty cycles using the Test 1 vehicle configuration, and then continue testing the different configurations in the order 
presented in this section. Measure emissions as described in 40 CFR part 1065; perform cycle validation according to 40 CFR part 1065, subpart F, except as noted in this paragraph (d)(1). If the range of reference speeds is less than 10 percent of the mean reference speed, you need to meet only the standard error of estimate in Table 2 of 40 CFR 1065.514. For purposes of cycle validation, treat points as being at idle if reference speed is at or below declared idle speed. For plug-in hybrid engines, precondition the battery and then complete all back-to-back tests for each test configuration according to 40 CFR 1066.501 before moving to the next test configuration. You may send signals to the engine controller during the test, such as current transmission gear and vehicle speed, if that allows engine operation during the test to better 
represent in-use operation. 
(2) If an infrequent regeneration event 
occurs during a mapping test interval, invalidate that test interval. Continue operating the vehicle to allow the regeneration event to finish, then repeat engine preconditioning and resume testing at the start of the invalidated test cycle. 
(3) For each test, record 
measurements needed to determine fuel mass using carbon mass balance. Record speed and torque and measure emissions and other inputs as described in 40 CFR 1065.655(c). Manufacturers may instead measure fuel consumption with a fuel flow meter. For hybrid powertrains with no plug-in capability, correct for the net energy change of the energy storage device as described in 40 CFR 1066.501. For plug-in hybrid engines, follow 40 CFR 1066.501 to 
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determine End-of-Test for charge- 
depleting operation; to do this, you must get our advance approval for a utility factor curve. We will approve your utility factor curve if you can show that you created it from sufficient in-use data of vehicles in the same application as the vehicles in which the PHEV engine will be installed. 
(4) Calculate the fuel mass flow rate, 
m
fuel,for each duty cycle using one of 
the following equations: 
(i) Determine fuel-consumption rates 
using emission measurements from the raw or diluted exhaust, calculate the mass of fuel for each duty cycle, m
fuel[cycle] , as follows: 
(A) For calculations that use 
continuous measurement of emissions and continuous CO
2from urea, calculate 
mfuel[cycle] using the following equation: 
Where: 
MC= molar mass of carbon. 
wCmeas = carbon mass fraction of fuel (or 
mixture of test fuels) as determined in 40 
CFR 1065.655(d), except that you may not use the default properties in Table 1 of 40 CFR 1065.655 to determine a, b, 
and w
Cfor liquid fuels. 
i = an indexing variable that represents one 
recorded emission value. 
N = total number of measurements over the 
duty cycle. 
n˙exh= exhaust molar flow rate from which 
you measured emissions. 
xCcombdry = amount of carbon from fuel and 
any injected fluids in the exhaust per mole of dry exhaust as determined in 40 CFR 1065.655(c). 
x
H2Oexhdry = amount of H 2O in exhaust per 
mole of exhaust as determined in 40 CFR 1065.655(c). 
Dt = 1/f
record. 
MCO2= molar mass of carbon dioxide. 
m˙CO2DEF = mass emission rate of CO 2 
resulting from diesel exhaust fluid decomposition over the duty cycle as determined from § 1036.535(b)(10). If your engine does not utilize diesel exhaust fluid for emission control, or if you choose not to perform this correction, set m ˙
CO2DEF equal to 0. 
Example:  MC= 12.0107 g/mol 
wCmeas = 0.867 
N = 6680 
n˙exh1= 2.876 mol/s 
n˙exh2= 2.224 mol/s 
xCcombdry1 = 2.61·10¥3mol/mol 
xCcombdry2 = 1.91·10¥3mol/mol 
xH2Oexhdry1 = 3.53·10¥2mol/mol 
xH2Oexhdry2 = 3.13·10¥2mol/mol 
frecord = 10 Hz 
Dt = 1/10 = 0.1 s 
MCO2= 44.0095 g/mol 
m˙CO2DEF1 = 0.0726 g/s 
m˙CO2DEF2 = 0.0751 g/s 
Mfueltransient = 1619.6 g (B) If you measure batch emissions 
and continuous CO 2from urea, calculate 
mfuel[cycle] using the following equation: 
(C) If you measure continuous 
emissions and batch CO 2from urea, calculate mfuel[cycle] using the following 
equation: 
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(D) If you measure batch emissions 
and batch CO 2from urea, calculate 
mfuel[cycle] using the following equation: 
(ii) Manufacturers may choose to 
measure fuel mass flow rate. Calculate the mass of fuel for each duty cycle, 
mfuel[cycle] , as follows: 
Where: 
i = an indexing variable that represents one 
recorded value. 
N = total number of measurements over the 
duty cycle. For batch fuel mass 
measurements, set N = 1. 
m˙fuel i= the fuel mass flow rate, for each point, 
i, starting from i = 1. 
Dt = 1/f record  
frecord = the data recording frequency. 
Example:  
N = 6680 m˙fuel 1= 1.856 g/s 
m˙fuel 2= 1.962 g/s 
frecord = 10 Hz 
Dt = 1/10 = 0.1 s 
mfueltransient = (1.856 + 1.962 + . . . + 
m˙fuel6680)·0.1 
mfueltransient = 111.95 g 
(5) Correct the measured or calculated 
fuel mass flow rate, m fuel, for each test 
result to a mass-specific net energy 
content of a reference fuel as described in § 1036.535(b)(11), replacing with 
mÔfuelwith mfuelin Eq. 1036.535–3. 
(6) For engines designed for plug-in 
hybrid electric vehicles, the mass of fuel 
for each cycle, m fuel[cycle] , is the utility 
factor-weighted fuel mass. This is done 
by calculating m fuelfor the full charge- 
depleting and charge-sustaining portions of the test and weighting the results, using the following equation: 
Where: 
mfuel[cycle],CD = total mass of fuel for all the 
tests in the charge-depleting portion of 
the test. UF DCD= utility factor fraction at distance D CD 
as determined by interpolating the 
approved utility factor curve. mfuel[cycle],CS = total mass of fuel for all the 
tests in the charge-sustaining portion of the test. 
Where: v = vehicle velocity at each time step. For 
tests completed under this section, v is the vehicle velocity in the GEM duty- cycle file. For tests under 40 CFR 
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1037.550, v is the vehicle velocity as 
determined by Eq. 1037.550–1. Note that 
this should include complete and 
incomplete charge-depleting tests. 
(e) Determine GEM inputs. Use the 
results of engine testing in paragraph (d) 
of this section to determine the GEM inputs for the transient duty cycle and 
optionally for each of the highway cruise cycles corresponding to each 
simulated vehicle configuration as follows: 
(1) Your declared fuel mass 
consumption, m
fueltransient . The declared values may be at or above the values 
calculated in paragraph (d) of this section, as described in § 1036.535(e). 
(2) Engine output speed per unit 
vehicle speed, 
by taking the average engine speed 
measured during the engine test while the vehicle is moving and dividing it by the average vehicle speed provided by GEM. Note that the engine cycle created by GEM has a flag to indicate when the 
vehicle is moving. 
(3) Positive work determined 
accordering to 40 CFR 1065, W
transient . (4) The following table illustrates the 
GEM data inputs corresponding to the different vehicle configurations: 
Subpart G—Special Compliance 
Provisions 
§ 1036.601 What compliance provisions 
apply? 
(a) Engine and vehicle manufacturers, 
as well as owners, operators, and 
rebuilders of engines subject to the requirements of this part, and all other persons, must observe the provisions of this part, the provisions of 40 CFR part 1068, and the provisions of the Clean Air Act. The provisions of 40 CFR part 1068 apply for heavy-duty highway engines as specified in that part, subject to the following provisions: 
(1) The exemption provisions of 40 
CFR 1068.201 through 1068.230, 1068.240, and 1068.260 through 265 apply for heavy-duty motor vehicle engines. The other exemption provisions, which are specific to nonroad engines, do not apply for heavy-duty vehicles or heavy-duty engines. 
(2) The tampering prohibition in 40 
CFR 1068.101(b)(1) applies for alternative fuel conversions as specified in 40 CFR part 85, subpart F. 
(3) The warranty-related prohibitions 
in section 203(a)(4) of the Act (42 U.S.C. 7522(a)(4)) apply to manufacturers of new heavy-duty highway engines in addition to the prohibitions described in 40 CFR 1068.101(b)(6). We may assess a civil penalty up to $44,539 for each engine or vehicle in violation. 
(b) Engines exempted from the 
applicable standards of 40 CFR part 86 under the provisions of 40 CFR part 1068 are exempt from the standards of this part without request. 
(c) The emergency vehicle field 
modification provisions of 40 CFR 85.1716 apply with respect to the standards of this part. 
(d) Subpart C of this part describes 
how to test and certify dual-fuel and flexible-fuel engines. Some multi-fuel engines may not fit either of those defined terms. For such engines, we will determine whether it is most appropriate to treat them as single-fuel engines, dual-fuel engines, or flexible- fuel engines based on the range of possible and expected fuel mixtures. For example, an engine might burn natural gas but initiate combustion with a pilot injection of diesel fuel. If the engine is designed to operate with a single fueling algorithm (i.e., fueling rates are fixed at 
a given engine speed and load condition), we would generally treat it as a single-fuel engine. In this context, the combination of diesel fuel and natural gas would be its own fuel type. If the engine is designed to also operate on diesel fuel alone, we would generally treat it as a dual-fuel engine. If the engine is designed to operate on varying mixtures of the two fuels, we would generally treat it as a flexible-fuel engine. To the extent that requirements vary for the different fuels or fuel mixtures, we may apply the more stringent requirements. 
§ 1036.605 GHG exemption for engines 
used in specialty vehicles. 
Engines certified to the alternative 
standards specified in 40 CFR 86.007– 
11 and 86.008–10 for use in specialty vehicles as described in 40 CFR 1037.605 are exempt from the standards of this part. See 40 CFR part 1037 for provisions that apply to the vehicle. 
§ 1036.610 Off-cycle technology credits 
and adjustments for reducing greenhouse gas emissions. 
(a) You may ask us to apply the 
provisions of this section for CO 2 
emission reductions resulting from 
powertrain technologies that were not in common use with heavy-duty vehicles before model year 2010 that are not reflected in the specified test procedure. While you are not required to prove that such technologies were not in common use with heavy-duty vehicles before model year 2010, we will not approve your request if we determine that they do not qualify. We will apply these provisions only for technologies that will result in a measurable, demonstrable, and verifiable real-world 
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CO 2reduction. Note that prior to model 
year 2016, these technologies were 
referred to as ‘‘innovative technologies’’. 
(b) The provisions of this section may 
be applied as either an improvement factor (used to adjust emission results) or as a separate credit, consistent with good engineering judgment. Note that the term ‘‘credit’’ in this section describes an additive adjustment to emission rates and is not equivalent to an emission credit in the ABT program of subpart H of this part. We recommend that you base your credit/ adjustment on A to B testing of pairs of engines/vehicles differing only with respect to the technology in question. 
(1) Calculate improvement factors as 
the ratio of in-use emissions with the technology divided by the in-use emissions without the technology. Adjust the emission results by multiplying by the improvement factor. Use the improvement-factor approach where good engineering judgment indicates that the actual benefit will be proportional to emissions measured over the test procedures specified in this part. For example, the benefits from technologies that reduce engine operation would generally be proportional to the engine’s emission rate. 
(2) Calculate separate credits based on 
the difference between the in-use emission rate (g/ton-mile) with the 
technology and the in-use emission rate without the technology. Subtract this value from your measured emission result and use this adjusted value to determine your FEL. We may also allow you to calculate the credits based on g/ hp-hr emission rates. Use the separate- credit approach where good engineering judgment indicates that the actual benefit will not be proportional to emissions measured over the test procedures specified in this part. 
(3) We may require you to discount or 
otherwise adjust your improvement factor or credit to account for uncertainty or other relevant factors. 
(c) Send your request to the 
Designated Compliance Officer. We recommend that you do not begin collecting test data (for submission to EPA) before contacting us. For technologies for which the vehicle manufacturer could also claim credits (such as transmissions in certain circumstances), we may require you to include a letter from the vehicle manufacturer stating that it will not seek credits for the same technology. Your request must contain the following items: 
(1) A detailed description of the off- 
cycle technology and how it functions to reduce CO
2emissions under conditions not represented on the duty cycles required for certification. 
(2) A list of the engine configurations 
that will be equipped with the technology. 
(3) A detailed description and 
justification of the selected test engines. 
(4) All testing and simulation data 
required under this section, plus any other data you have considered in your analysis. You may ask for our preliminary approval of your test plan under § 1036.210. 
(5) A complete description of the 
methodology used to estimate the off- cycle benefit of the technology and all supporting data, including engine testing and in-use activity data. Also include a statement regarding your recommendation for applying the provisions of this section for the given technology as an improvement factor or a credit. 
(6) An estimate of the off-cycle benefit 
by engine model, and the fleetwide benefit based on projected sales of engine models equipped with the technology. 
(7) A demonstration of the in-use 
durability of the off-cycle technology, based on any available engineering analysis or durability testing data (either by testing components or whole engines). 
(d) We may seek public comment on 
your request, consistent with the provisions of 40 CFR 86.1869–12(d). However, we will generally not seek public comment on credits/adjustments based on A to B engine dynamometer testing, chassis testing, or in-use testing. 
(e) We may approve an improvement 
factor or credit for any configuration that is properly represented by your testing. 
(1) For model years before 2021, you 
may continue to use an approved improvement factor or credit for any appropriate engine families in future model years through 2020. 
(2) For model years 2021 and later, 
you may not rely on an approval for model years before 2021. You must separately request our approval before applying an improvement factor or credit under this section for 2021 and later engines, even if we approved an improvement factor or credit for similar engine models before model year 2021. Note that approvals for model year 2021 and later may carry over for multiple years. 
§ 1036.615 Engines with Rankine cycle 
waste heat recovery and hybrid powertrains. 
This section specifies how to generate 
advanced-technology emission credits 
for hybrid powertrains that include energy storage systems and regenerative braking (including regenerative engine braking) and for engines that include Rankine-cycle (or other bottoming cycle) exhaust energy recovery systems. This section applies only for model year 2020 and earlier engines. 
(a) Pre-transmission hybrid 
powertrains. Test pre-transmission 
hybrid powertrains with the hybrid engine test procedures of 40 CFR part 1065 or with the post-transmission test procedures in 40 CFR 1037.550. Pre- transmission hybrid powertrains are those engine systems that include features to recover and store energy during engine motoring operation but not from the vehicle’s wheels. Engines certified with pre-transmission hybrid powertrains must be certified to meet the diagnostic requirements of 40 CFR 86.018–10 with respect to powertrain components and systems; if different manufacturers produce the engine and the hybrid powertrain, the hybrid powertrain manufacturer may separately certify its powertrain relative to diagnostic requirements. 
(b) Rankine engines. Test engines that 
include Rankine-cycle exhaust energy recovery systems according to the test procedures specified in subpart F of this part unless we approve alternate procedures. 
(c) Calculating credits. Calculate 
credits as specified in subpart H of this part. Credits generated from engines and powertrains certified under this section may be used in other averaging sets as described in § 1036.740(c). 
(d) Off-cycle technologies. You may 
certify using both the provisions of this section and the off-cycle technology provisions of § 1036.610, provided you do not double-count emission benefits. 
§ 1036.620 Alternate CO 2standards based 
on model year 2011 compression-ignition 
engines. 
For model years 2014 through 2016, 
you may certify your compression- 
ignition engines to the CO 2standards of 
this section instead of the CO 2standards 
in § 1036.108. However, you may not certify engines to these alternate standards if they are part of an averaging set in which you carry a balance of banked credits. You may submit applications for certifications before using up banked credits in the averaging set, but such certificates will not become effective until you have used up (or retired) your banked credits in the averaging set. For purposes of this section, you are deemed to carry credits in an averaging set if you carry credits from advanced technology that are allowed to be used in that averaging set. 
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(a) The standards of this section are 
determined from the measured emission 
rate of the test engine of the applicable baseline 2011 engine family or families as described in paragraphs (b) and (c) of this section. Calculate the CO
2emission 
rate of the baseline test engine using the same equations used for showing compliance with the otherwise applicable standard. The alternate CO
2 
standard for light and medium heavy- duty vocational-certified engines (certified for CO
2using the transient 
cycle) is equal to the baseline emission rate multiplied by 0.975. The alternate CO
2standard for tractor-certified 
engines (certified for CO 2using the 
ramped-modal cycle) and all other heavy heavy-duty engines is equal to the baseline emission rate multiplied by 0.970. The in-use FEL for these engines is equal to the alternate standard multiplied by 1.03. 
(b) This paragraph (b) applies if you 
do not certify all your engine families in the averaging set to the alternate standards of this section. Identify separate baseline engine families for each engine family that you are certifying to the alternate standards of this section. For an engine family to be considered the baseline engine family, it must meet the following criteria: 
(1) It must have been certified to all 
applicable emission standards in model 
year 2011. If the baseline engine was certified to a NO
XFEL above the 
standard and incorporated the same emission control technologies as the new engine family, you may adjust the baseline CO
2emission rate to be 
equivalent to an engine meeting the 0.20 g/hp-hr NO
Xstandard (or your higher 
FEL as specified in this paragraph (b)(1)), using certification results from model years 2009 through 2011, consistent with good engineering judgment. 
(i) Use the following equation to relate 
model year 2009–2011 NO
Xand CO 2 
emission rates (g/hp-hr): CO 2= a × 
log(NO X)+b. 
(ii) For model year 2014–2016 engines 
certified to NO XFELs above 0.20 g/hp- 
hr, correct the baseline CO 2emissions to 
the actual NO XFELs of the 2014–2016 
engines. 
(iii) Calculate separate adjustments for 
emissions over the ramped-modal cycle and the transient cycle. 
(2) The baseline configuration tested 
for certification must have the same engine displacement as the engines in the engine family being certified to the alternate standards, and its rated power must be within five percent of the highest rated power in the engine family being certified to the alternate standards. (3) The model year 2011 U.S.-directed 
production volume of the configuration 
tested must be at least one percent of the total 2011 U.S.-directed production volume for the engine family. 
(4) The tested configuration must 
have cycle-weighted BSFC equivalent to or better than all other configurations in the engine family. 
(c) This paragraph (c) applies if you 
certify all your engine families in the primary intended service class to the alternate standards of this section. For purposes of this section, you may combine light heavy-duty and medium heavy-duty engines into a single averaging set. Determine your baseline CO
2emission rate as the production- 
weighted emission rate of the certified engine families you produced in the 2011 model year. If you produce engines for both tractors and vocational vehicles, treat them as separate averaging sets. Adjust the CO
2emission 
rates to be equivalent to an engine meeting the average NO
XFEL of new 
engines (assuming engines certified to the 0.20 g/hp-hr NO
Xstandard have a 
NO XFEL equal to 0.20 g/hp-hr), as 
described in paragraph (b)(1) of this section. 
(d) Include the following statement on 
the emission control information label: ‘‘THIS ENGINE WAS CERTIFIED TO AN ALTERNATE CO
2STANDARD 
UNDER § 1036.620.’’ 
(e) You may not bank CO 2emission 
credits for any engine family in the same averaging set and model year in which you certify engines to the standards of this section. You may not bank any advanced-technology credits in any averaging set for the model year you certify under this section (since such credits would be available for use in this averaging set). Note that the provisions of § 1036.745 apply for 
deficits generated with respect to the standards of this section. 
(f) You need our approval before you 
may certify engines under this section, especially with respect to the numerical value of the alternate standards. We will not approve your request if we determine that you manipulated your engine families or test engine configurations to certify to less stringent standards, or that you otherwise have not acted in good faith. You must keep and provide to us any information we need to determine that your engine families meet the requirements of this section. Keep these records for at least five years after you stop producing engines certified under this section. § 1036.625 In-use compliance with family 
emission limits (FELs). 
Section 1036.225 describes how to 
change the FEL for an engine family 
during the model year. This section, which describes how you may ask us to increase an engine family’s FEL after the end of the model year, is intended to address circumstances in which it is in the public interest to apply a higher in- use FEL based on forfeiting an appropriate number of emission credits. For example, this may be appropriate where we determine that recalling vehicles would not significantly reduce in-use emissions. We will generally not allow this option where we determine the credits being forfeited would likely have expired. 
(a) You may ask us to increase an 
engine family’s FEL after the end of the model year if you believe some of your in-use engines exceed the CO
2FEL that 
applied during the model year (or the CO
2emission standard if the family did 
not generate or use emission credits). We may consider any available information in making our decision to approve or deny your request. 
(b) If we approve your request under 
this section, you must apply emission credits to cover the increased FEL for all affected engines. Apply the emission credits as part of your credit demonstration for the current production year. Include the appropriate calculations in your final report under § 1036.730. 
(c) Submit your request to the 
Designated Compliance Officer. Include the following in your request: 
(1) Identify the names of each engine 
family that is the subject of your request. Include separate family names for different model years. 
(2) Describe why your request does 
not apply for similar engine models or additional model years, as applicable. 
(3) Identify the FEL(s) that applied 
during the model year and recommend a replacement FEL for in-use engines; include a supporting rationale to describe how you determined the recommended replacement FEL. 
(4) Describe whether the needed 
emission credits will come from averaging, banking, or trading. 
(d) If we approve your request, we 
will identify the replacement FEL. The value we select will reflect our best judgment to accurately reflect the actual in-use performance of your engines, consistent with the testing provisions specified in this part. We may apply the higher FELs to other engine families from the same or different model years to the extent they used equivalent emission controls. We may include any 
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appropriate conditions with our 
approval. 
(e) If we order a recall for an engine 
family under 40 CFR 1068.505, we will no longer approve a replacement FEL under this section for any of your engines from that engine family, or from any other engine family that relies on equivalent emission controls. 
§ 1036.630 Certification of engine GHG 
emissions for powertrain testing. 
For engines included in powertrain 
families under 40 CFR part 1037, you 
may choose to include the corresponding engine emissions in your engine families under this part 1036 instead of (or in addition to) the otherwise applicable engine fuel maps. 
(a) If you choose to certify powertrain 
fuel maps in an engine family, the declared powertrain emission levels become standards that apply for selective enforcement audits and in-use testing. We may require that you provide to us the engine test cycle (not normalized) corresponding to a given powertrain for each of the specified duty cycles. 
(b) If you choose to certify only fuel 
map emissions for an engine family and to not certify emissions over powertrain test cycles under 40 CFR 1037.550, we will not presume you are responsible for emissions over the powertrain cycles. However, where we determine that you are responsible in whole or in part for the emission exceedance in such cases, we may require that you participate in any recall of the affected vehicles. Note that this provision to limit your responsibility does not apply if you also hold the certificate of conformity for the vehicle. 
(c) If you split an engine family into 
subfamilies based on different fuel- mapping procedures as described in § 1036.230(e), the fuel-mapping procedures you identify for certifying each subfamily also apply for selective enforcement audits and in-use testing. 
Subpart H—Averaging, Banking, and 
Trading for Certification 
§ 1036.701 General provisions. 
(a) You may average, bank, and trade 
(ABT) emission credits for purposes of certification as described in this subpart and in subpart B of this part to show compliance with the standards of 
§ 1036.108. Participation in this program is voluntary. (Note: As described in subpart B of this part, you must assign an FCL to all engine families, whether or not they participate in the ABT provisions of this subpart.) 
(b) The definitions of subpart I of this 
part apply to this subpart in addition to the following definitions: (1) Actual emission credits means 
emission credits you have generated that we have verified by reviewing your final report. 
(2) Averaging set means a set of 
engines in which emission credits may be exchanged. See § 1036.740. 
(3) Broker means any entity that 
facilitates a trade of emission credits between a buyer and seller. 
(4) Buyer means the entity that 
receives emission credits as a result of a trade. 
(5) Reserved emission credits means 
emission credits you have generated that we have not yet verified by reviewing your final report. 
(6) Seller means the entity that 
provides emission credits during a trade. 
(7) Standard means the emission 
standard that applies under subpart B of this part for engines not participating in the ABT program of this subpart. 
(8) Trade means to exchange emission 
credits, either as a buyer or seller. 
(c) Emission credits may be 
exchanged only within an averaging set, except as specified in § 1036.740. 
(d) You may not use emission credits 
generated under this subpart to offset any emissions that exceed an FCL or standard. This applies for all testing, including certification testing, in-use testing, selective enforcement audits, and other production-line testing. However, if emissions from an engine exceed an FCL or standard (for example, during a selective enforcement audit), you may use emission credits to recertify the engine family with a higher FCL that applies only to future production. 
(e) You may use either of the 
following approaches to retire or forego emission credits: 
(1) You may retire emission credits 
generated from any number of your engines. This may be considered donating emission credits to the environment. Identify any such credits in the reports described in § 1036.730. Engines must comply with the applicable FELs even if you donate or sell the corresponding emission credits under this paragraph (h). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards. 
(2) You may certify an engine family 
using an FEL (FCL for CO
2) below the 
emission standard as described in this part and choose not to generate emission credits for that family. If you do this, you do not need to calculate emission credits for those engine families and you do not need to submit or keep the associated records described in this subpart for that family. (f) Emission credits may be used in 
the model year they are generated. Surplus emission credits may be banked for future model years. Surplus emission credits may sometimes be used for past model years, as described in § 1036.745. 
(g) You may increase or decrease an 
FCL during the model year by amending your application for certification under § 1036.225. The new FCL may apply only to engines you have not already introduced into commerce. 
(h) See § 1036.740 for special credit 
provisions that apply for greenhouse gas credits generated under 40 CFR 86.1819–14(k)(7) or § 1036.615 or 40 CFR 1037.615. 
(i) Unless the regulations explicitly 
allow it, you may not calculate credits more than once for any emission reduction. For example, if you generate CO
2emission credits for a hybrid engine 
under this part for a given vehicle, no one may generate CO
2emission credits 
for that same hybrid engine and vehicle under 40 CFR part 1037. However, credits could be generated for identical vehicles using engines that did not generate credits under this part. 
(j) Credits you generate with 
compression-ignition engines in 2020 and earlier model years may be used in model year 2021 and later only if the credit-generating engines were certified to the tractor engine standards in § 1036.108 and credits were calculated relative to the tractor engine standards. You may otherwise use emission credits generated in one model year without adjustment for certifying vehicles in a later model year, even if emission standards are different. 
(k) Engine families you certify with a 
nonconformance penalty under 40 CFR part 86, subpart L, may not generate emission credits. 
§ 1036.705 Generating and calculating 
emission credits. 
(a) The provisions of this section 
apply separately for calculating 
emission credits for each pollutant. 
(b) For each participating family, 
calculate positive or negative emission credits relative to the otherwise applicable emission standard based on the engine family’s FCL for greenhouse gases. If your engine family is certified to both the vocational and tractor engine standards, calculate credits separately for the vocational engines and the tractor engines (as specified in paragraph (b)(3) of this section). Calculate positive emission credits for a family that has an FCL below the standard. Calculate negative emission credits for a family that has an FCL above the standard. Sum your positive 
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and negative credits for the model year 
before rounding. Round the sum of emission credits to the nearest megagram (Mg), using consistent units throughout the following equations: 
(1) For vocational engines: 
Emission credits (Mg) = (Std¥FCL) · 
(CF) · (Volume) · (UL) · (10
¥6) 
Where: 
Std = the emission standard, in g/hp-hr, that 
applies under subpart B of this part for 
engines not participating in the ABT program of this subpart (the ‘‘otherwise applicable standard’’). 
FCL = the Family Certification Level for the 
engine family, in g/hp-hr, measured over the transient duty cycle, rounded to the same number of decimal places as the emission standard. 
CF = a transient cycle conversion factor (hp- 
hr/mile), calculated by dividing the total (integrated) horsepower-hour over the duty cycle (average of vocational engine configurations weighted by their production volumes) by 6.3 miles for engines subject to spark-ignition standards and 6.5 miles for engines subject to compression-ignition. This represents the average work performed by vocational engines in the family over the mileage represented by operation over the duty cycle. 
Volume = the number of vocational engines 
eligible to participate in the averaging, banking, and trading program within the given engine family during the model 
year, as described in paragraph (c) of this section. 
UL = the useful life for the given engine 
family, in miles. 
(2) For tractor engines: 
Emission credits (Mg) = (Std¥FCL) · 
(CF) · (Volume) · (UL) · (10¥6) 
Where: 
Std = the emission standard, in g/hp-hr, that 
applies under subpart B of this part for 
engines not participating in the ABT program of this subpart (the ‘‘otherwise applicable standard’’). 
FCL = the Family Certification Level for the 
engine family, in g/hp-hr, measured over the ramped-modal cycle rounded to the same number of decimal places as the emission standard. 
CF = a transient cycle conversion factor (hp- 
hr/mile), calculated by dividing the total (integrated) horsepower-hour over the duty cycle (average of tractor-engine configurations weighted by their production volumes) by 6.3 miles for engines subject to spark-ignition standards and 6.5 miles for engines subject to compression-ignition standards. This represents the average work performed by tractor engines in the family over the mileage represented by operation over the duty cycle. Note that this calculation requires you to use the transient cycle conversion factor even for engines certified to standards based on the ramped-modal cycle. 
Volume = the number of tractor engines 
eligible to participate in the averaging, banking, and trading program within the given engine family during the model year, as described in paragraph (c) of this section. 
UL = the useful life for the given engine 
family, in miles. 
(3) For engine families certified to 
both the vocational and tractor engine 
standards, we may allow you to use statistical methods to estimate the total production volumes where a small fraction of the engines cannot be tracked precisely. 
(4) You may not generate emission 
credits for tractor engines (i.e., engines 
not certified to the transient cycle for CO
2) installed in vocational vehicles 
(including vocational tractors certified under 40 CFR 1037.630 or exempted under 40 CFR 1037.631). We will waive this provision where you demonstrate that less than five percent of the engines in your tractor family were installed in vocational vehicles. For example, if you know that 96 percent of your tractor engines were installed in non-vocational tractors, but cannot determine the vehicle type for the remaining four percent, you may generate credits for all the engines in the family. 
(5) You may generate CO
2emission 
credits from a model year 2021 or later medium heavy-duty engine family subject to spark-ignition standards for exchanging with other engine families only if the engines in the family are gasoline-fueled. You may generate CO
2 
credits from these engine families only for the purpose of offsetting CH
4and/or 
N2O emissions within the same engine 
family as described in paragraph (d) of this section. 
(c) As described in § 1036.730, 
compliance with the requirements of this subpart is determined at the end of the model year based on actual U.S.- directed production volumes. Keep appropriate records to document these production volumes. Do not include any of the following engines to calculate emission credits: 
(1) Engines that you do not certify to 
the CO
2standards of this part because 
they are permanently exempted under subpart G of this part or under 40 CFR part 1068. 
(2) Exported engines. 
(3) Engines not subject to the 
requirements of this part, such as those 
excluded under § 1036.5. For example, do not include engines used in vehicles certified to the greenhouse gas standards of 40 CFR 86.1819. 
(4) Any other engines if we indicate 
elsewhere in this part 1036 that they are not to be included in the calculations of this subpart. 
(d) You may use CO
2emission credits 
to show compliance with CH 4and/or N2O FELs instead of the otherwise 
applicable emission standards. To do this, calculate the CH
4and/or N 2O 
emission credits needed (negative credits) using the equation in paragraph (b) of this section, using the FEL(s) you specify for your engines during certification instead of the FCL. You must use 34 Mg of positive CO
2credits 
to offset 1 Mg of negative CH 4credits for 
model year 2021 and later engines, and you must use 25 Mg of positive CO
2 
credits to offset 1 Mg of negative CH 4 
credits for earlier engines. You must use 298 Mg of positive CO
2credits to offset 
1 Mg of negative N 2O credits. 
§ 1036.710 Averaging. 
(a) Averaging is the exchange of 
emission credits among your engine families. You may average emission credits only within the same averaging set, except as specified in § 1036.740. 
(b) You may certify one or more 
engine families to an FCL above the applicable standard, subject to any applicable FEL caps and other the provisions in subpart B of this part, if you show in your application for certification that your projected balance of all emission-credit transactions in that model year is greater than or equal to zero, or that a negative balance is allowed under § 1036.745. 
(c) If you certify an engine family to 
an FCL that exceeds the otherwise applicable standard, you must obtain enough emission credits to offset the engine family’s deficit by the due date for the final report required in § 1036.730. The emission credits used to address the deficit may come from your other engine families that generate emission credits in the same model year (or from later model years as specified in § 1036.745), from emission credits you have banked, or from emission credits you obtain through trading. 
§ 1036.715 Banking. 
(a) Banking is the retention of surplus 
emission credits by the manufacturer generating the emission credits for use in future model years for averaging or trading. 
(b) You may designate any emission 
credits you plan to bank in the reports you submit under § 1036.730 as reserved credits. During the model year and before the due date for the final report, you may designate your reserved emission credits for averaging or trading. 
(c) Reserved credits become actual 
emission credits when you submit your final report. However, we may revoke these emission credits if we are unable to verify them after reviewing your reports or auditing your records. 
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(d) Banked credits retain the 
designation of the averaging set in 
which they were generated. 
§ 1036.720 Trading. 
(a) Trading is the exchange of 
emission credits between manufacturers. You may use traded emission credits for averaging, banking, or further trading transactions. Traded emission credits remain subject to the averaging-set restrictions based on the averaging set in which they were generated. 
(b) You may trade actual emission 
credits as described in this subpart. You may also trade reserved emission credits, but we may revoke these emission credits based on our review of your records or reports or those of the company with which you traded emission credits. You may trade banked credits within an averaging set to any certifying manufacturer. 
(c) If a negative emission credit 
balance results from a transaction, both the buyer and seller are liable, except in cases we deem to involve fraud. See § 1036.255(e) for cases involving fraud. We may void the certificates of all engine families participating in a trade that results in a manufacturer having a negative balance of emission credits. See § 1036.745. 
§ 1036.725 What must I include in my 
application for certification? 
(a) You must declare in your 
application for certification your intent 
to use the provisions of this subpart for each engine family that will be certified using the ABT program. You must also declare the FELs/FCL you select for the engine family for each pollutant for which you are using the ABT program. Your FELs must comply with the specifications of subpart B of this part, including the FEL caps. FELs/FCLs must be expressed to the same number of decimal places as the applicable standards. 
(b) Include the following in your 
application for certification: 
(1) A statement that, to the best of 
your belief, you will not have a negative balance of emission credits for any averaging set when all emission credits are calculated at the end of the year; or a statement that you will have a negative balance of emission credits for one or more averaging sets, but that it is allowed under § 1036.745. 
(2) Detailed calculations of projected 
emission credits (positive or negative) based on projected U.S.-directed production volumes. We may require you to include similar calculations from your other engine families to project your net credit balances for the model year. If you project negative emission credits for a family, state the source of positive emission credits you expect to use to offset the negative emission credits. 
§ 1036.730 ABT reports. 
(a) If any of your engine families are 
certified using the ABT provisions of this subpart, you must send an end-of- year report by March 31 following the end of the model year and a final report by September 30 following the end of the model year. We may waive the requirement to send an end-of-year report. 
(b) Your end-of-year and final reports 
must include the following information for each engine family participating in the ABT program: 
(1) Engine-family designation and 
averaging set. 
(2) The emission standards that would 
otherwise apply to the engine family. 
(3) The FCL for each pollutant. If you 
change the FCL after the start of production, identify the date that you started using the new FCL and/or give the engine identification number for the first engine covered by the new FCL. In this case, identify each applicable FCL and calculate the positive or negative emission credits as specified in § 1036.225. 
(4) The projected and actual U.S.- 
directed production volumes for the model year. If you changed an FCL during the model year, identify the actual production volume associated with each FCL. 
(5) The transient cycle conversion 
factor for each engine configuration as described in § 1036.705. 
(6) Useful life. 
(7) Calculated positive or negative 
emission credits for the whole engine 
family. Identify any emission credits that you traded, as described in paragraph (d)(1) of this section. 
(c) Your end-of-year and final reports 
must include the following additional information: 
(1) Show that your net balance of 
emission credits from all your participating engine families in each averaging set in the applicable model year is not negative, except as allowed under § 1036.745. Your credit tracking must account for the limitation on credit life under § 1036.740(d). 
(2) State whether you will reserve any 
emission credits for banking. 
(3) State that the report’s contents are 
accurate. 
(d) If you trade emission credits, you 
must send us a report within 90 days after the transaction, as follows: 
(1) As the seller, you must include the 
following information in your report: (i) The corporate names of the buyer 
and any brokers. 
(ii) A copy of any contracts related to 
the trade. 
(iii) The averaging set corresponding 
to the engine families that generated 
emission credits for the trade, including the number of emission credits from each averaging set. 
(2) As the buyer, you must include the 
following information in your report: 
(i) The corporate names of the seller 
and any brokers. 
(ii) A copy of any contracts related to 
the trade. 
(iii) How you intend to use the 
emission credits, including the number of emission credits you intend to apply for each averaging set. 
(e) Send your reports electronically to 
the Designated Compliance Officer using an approved information format. If you want to use a different format, send us a written request with justification for a waiver. 
(f) Correct errors in your end-of-year 
or final report as follows: 
(1) You may correct any errors in your 
end-of-year report when you prepare the final report, as long as you send us the final report by the time it is due. 
(2) If you or we determine within 270 
days after the end of the model year that errors mistakenly decreased your balance of emission credits, you may correct the errors and recalculate the balance of emission credits. You may not make these corrections for errors that are determined more than 270 days after the end of the model year. If you report a negative balance of emission credits, we may disallow corrections under this paragraph (f)(2). 
(3) If you or we determine any time 
that errors mistakenly increased your balance of emission credits, you must correct the errors and recalculate the balance of emission credits. 
§ 1036.735 Recordkeeping. 
(a) You must organize and maintain 
your records as described in this section. We may review your records at any time. 
(b) Keep the records required by this 
section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any engines if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits. Store 
these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time. 
(c) Keep a copy of the reports we 
require in §§ 1036.725 and 1036.730. 
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(d) Keep records of the engine 
identification number (usually the serial 
number) for each engine you produce that generates or uses emission credits under the ABT program. You may identify these numbers as a range. If you change the FEL after the start of production, identify the date you started using each FCL and the range of engine identification numbers associated with each FCL. You must also identify the purchaser and destination for each engine you produce to the extent this information is available. 
(e) We may require you to keep 
additional records or to send us relevant information not required by this section in accordance with the Clean Air Act. 
§ 1036.740 Restrictions for using emission 
credits. 
The following restrictions apply for 
using emission credits: 
(a) Averaging sets. Except as specified 
in paragraph (c) of this section, emission 
credits may be exchanged only within the following averaging sets: 
(1) Engines subject to spark-ignition 
standards. 
(2) Light heavy-duty engines subject 
to compression-ignition standards. 
(3) Medium heavy-duty engines 
subject to compression-ignition standards. 
(4) Heavy heavy-duty engines. 
(b) Applying credits to prior year 
deficits. Where your credit balance for 
the previous year is negative, you may 
apply credits to that credit deficit only after meeting your credit obligations for the current year. 
(c) Credits from hybrid engines and 
other advanced technologies. Credits you generate under § 1036.615 may be used for any of the averaging sets identified in paragraph (a) of this section; you may also use those credits to demonstrate compliance with the CO
2 
emission standards in 40 CFR 86.1819 and 40 CFR part 1037. Similarly, you may use Phase 1 advanced-technology credits generated under 40 CFR 86.1819–14(k)(7) or 40 CFR 1037.615 to demonstrate compliance with the CO
2 
standards in this part. In the case of engines subject to spark-ignition standards and compression-ignition light heavy-duty engines, you may not use more than 60,000 Mg of credits from other averaging sets in any model year. 
(1) The maximum amount of CO
2 
credits you may bring into the following service class groups is 60,000 Mg per model year: 
(i) Engines subject to spark-ignition 
standards, light heavy-duty compression-ignition engines, and light heavy-duty vehicles. This group comprises the averaging sets listed in paragraphs (a)(1) and (2) of this section and the averaging set listed in 40 CFR 1037.740(a)(1). 
(ii) Medium heavy-duty engines 
subject to compression-ignition standards and medium heavy-duty vehicles. This group comprises the averaging sets listed in paragraph (a)(3) of this section and 40 CFR 1037.740(a)(2). 
(iii) Heavy heavy-duty engines subject 
to compression-ignition standards and heavy heavy-duty vehicles. This group comprises the averaging sets listed in paragraph (a)(4) of this section and 40 CFR 1037.740(a)(3). 
(2) Paragraph (c)(1) of this section 
does not limit the advanced-technology credits that can be used within a service class group if they were generated in that same service class group. 
(d) Credit life. Credits may be used 
only for five model years after the year in which they are generated. For example, credits you generate in model year 2018 may be used to demonstrate compliance with emission standards only through model year 2023. 
(e) Other restrictions. Other sections 
of this part specify additional restrictions for using emission credits under certain special provisions. 
§ 1036.745 End-of-year CO 2credit deficits. 
Except as allowed by this section, we 
may void the certificate of any engine family certified to an FCL above the applicable standard for which you do not have sufficient credits by the deadline for submitting the final report. 
(a) Your certificate for an engine 
family for which you do not have sufficient CO
2credits will not be void 
if you remedy the deficit with surplus credits within three model years. For example, if you have a credit deficit of 500 Mg for an engine family at the end of model year 2015, you must generate (or otherwise obtain) a surplus of at least 500 Mg in that same averaging set by the end of model year 2018. 
(b) You may not bank or trade away 
CO
2credits in the averaging set in any 
model year in which you have a deficit. 
(c) You may apply only surplus 
credits to your deficit. You may not apply credits to a deficit from an earlier model year if they were generated in a model year for which any of your engine families for that averaging set had an end-of-year credit deficit. 
(d) You must notify us in writing how 
you plan to eliminate the credit deficit within the specified time frame. If we determine that your plan is unreasonable or unrealistic, we may deny an application for certification for a vehicle family if its FEL would increase your credit deficit. We may determine that your plan is unreasonable or unrealistic based on a consideration of past and projected use of specific technologies, the historical sales mix of your vehicle models, your commitment to limit production of higher-emission vehicles, and expected access to traded credits. We may also consider your plan unreasonable if your credit deficit increases from one model year to the next. We may require that you send us interim reports describing your progress toward resolving your credit deficit over the course of a model year. 
(e) If you do not remedy the deficit 
with surplus credits within three model years, we may void your certificate for that engine family. We may void the certificate based on your end-of-year report. Note that voiding a certificate applies ab initio. Where the net deficit 
is less than the total amount of negative credits originally generated by the family, we will void the certificate only with respect to the number of engines needed to reach the amount of the net deficit. For example, if the original engine family generated 500 Mg of negative credits, and the manufacturer’s net deficit after three years was 250 Mg, we would void the certificate with respect to half of the engines in the family. 
(f) For purposes of calculating the 
statute of limitations, the following actions are all considered to occur at the expiration of the deadline for offsetting a deficit as specified in paragraph (a) of this section: 
(1) Failing to meet the requirements of 
paragraph (a) of this section. 
(2) Failing to satisfy the conditions 
upon which a certificate was issued relative to offsetting a deficit. 
(3) Selling, offering for sale, 
introducing or delivering into U.S. commerce, or importing vehicles that are found not to be covered by a certificate as a result of failing to offset a deficit. 
§ 1036.750 What can happen if I do not 
comply with the provisions of this subpart? 
(a) For each engine family 
participating in the ABT program, the 
certificate of conformity is conditioned upon full compliance with the provisions of this subpart during and after the model year. You are responsible to establish to our satisfaction that you fully comply with applicable requirements. We may void the certificate of conformity for an engine family if you fail to comply with any provisions of this subpart. 
(b) You may certify your engine 
family to an FCL above an applicable standard based on a projection that you 
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will have enough emission credits to 
offset the deficit for the engine family. See § 1036.745 for provisions specifying what happens if you cannot show in your final report that you have enough actual emission credits to offset a deficit for any pollutant in an engine family. 
(c) We may void the certificate of 
conformity for an engine family if you fail to keep records, send reports, or give us information we request. Note that failing to keep records, send reports, or give us information we request is also a violation of 42 U.S.C. 7522(a)(2). 
(d) You may ask for a hearing if we 
void your certificate under this section (see § 1036.820). 
§ 1036.755 Information provided to the 
Department of Transportation. 
After receipt of each manufacturer’s 
final report as specified in § 1036.730 
and completion of any verification testing required to validate the manufacturer’s submitted final data, we will issue a report to the Department of Transportation with CO
2emission 
information and will verify the accuracy of each manufacturer’s equivalent fuel consumption data that required by NHTSA under 49 CFR 535.8. We will send a report to DOT for each engine manufacturer based on each regulatory category and subcategory, including sufficient information for NHTSA to determine fuel consumption and associated credit values. See 49 CFR 535.8 to determine if NHTSA deems submission of this information to EPA to also be a submission to NHTSA. 
Subpart I—Definitions and Other 
Reference Information 
§ 1036.801 Definitions. 
The following definitions apply to 
this part. The definitions apply to all subparts unless we note otherwise. All undefined terms have the meaning the Act gives to them. The definitions follow: 
Act means the Clean Air Act, as 
amended, 42 U.S.C. 7401—7671q. 
Adjustable parameter has the 
meaning given in 40 CFR part 86. 
Advanced technology means 
technology certified under 40 CFR 86.1819–14(k)(7), § 1036.615, or 40 CFR 1037.615. 
Aftertreatment means relating to a 
catalytic converter, particulate filter, or any other system, component, or technology mounted downstream of the exhaust valve (or exhaust port) whose design function is to decrease emissions in the engine exhaust before it is exhausted to the environment. Exhaust gas recirculation (EGR) and turbochargers are not aftertreatment. Aircraft means any vehicle capable of 
sustained air travel more than 100 feet above the ground. 
Alcohol-fueled engine mean an engine 
that is designed to run using an alcohol fuel. For purposes of this definition, alcohol fuels do not include fuels with a nominal alcohol content below 25 percent by volume. 
Auxiliary emission control device 
means any element of design that senses temperature, motive speed, engine rpm, transmission gear, or any other parameter for the purpose of activating, modulating, delaying, or deactivating the operation of any part of the emission control system. 
Averaging set has the meaning given 
in § 1036.740. 
Calibration means the set of 
specifications and tolerances specific to a particular design, version, or application of a component or assembly capable of functionally describing its operation over its working range. 
Carryover means relating to 
certification based on emission data generated from an earlier model year as described in § 1036.235(d). 
Certification means relating to the 
process of obtaining a certificate of conformity for an engine family that complies with the emission standards and requirements in this part. 
Certified emission level means the 
highest deteriorated emission level in an engine family for a given pollutant from the applicable transient and/or steady- state testing, rounded to the same number of decimal places as the applicable standard. Note that you may have two certified emission levels for CO
2if you certify a family for both 
vocational and tractor use. 
Complete vehicle means a vehicle 
meeting the definition of complete vehicle in 40 CFR 1037.801 when it is first sold as a vehicle. For example, where a vehicle manufacturer sells an incomplete vehicle to a secondary vehicle manufacturer, the vehicle is not a complete vehicle under this part, even after its final assembly. 
Compression-ignition means relating 
to a type of reciprocating, internal- combustion engine that is not a spark- ignition engine. Note that § 1036.1 also deems gas turbine engines and other engines to be compression-ignition engines. 
Crankcase emissions means airborne 
substances emitted to the atmosphere from any part of the engine crankcase’s ventilation or lubrication systems. The crankcase is the housing for the crankshaft and other related internal parts. 
Criteria pollutants means emissions of 
NO
X,HC, PM, and CO. Note that these pollutants are also sometimes described collectively as ‘‘non-greenhouse gas pollutants’’, although they do not necessarily have negligible global warming potentials. 
Designated Compliance Officer means 
one of the following: 
(1) For engines subject to 
compression-ignition standards, Designated Compliance Officer means Director, Diesel Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; complianceinfo@epa.gov; epa.gov/otaq/verify. 
(2) For engines subject to spark- 
ignition standards, Designated Compliance Officer means Director, Gasoline Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; nonroad-si-cert@epa.gov; 
epa.gov/otaq/verify. 
Deteriorated emission level means the 
emission level that results from applying the appropriate deterioration factor to the official emission result of the emission-data engine. Note that where no deterioration factor applies, references in this part to the deteriorated emission level mean the official emission result. 
Deterioration factor means the 
relationship between emissions at the end of useful life (or point of highest emissions if it occurs before the end of useful life) and emissions at the low- hour/low-mileage test point, expressed in one of the following ways: 
(1) For multiplicative deterioration 
factors, the ratio of emissions at the end of useful life (or point of highest emissions) to emissions at the low-hour test point. 
(2) For additive deterioration factors, 
the difference between emissions at the end of useful life (or point of highest emissions) and emissions at the low- hour test point. 
Diesel exhaust fluid (DEF) means a 
liquid reducing agent (other than the engine fuel) used in conjunction with selective catalytic reduction to reduce NO
Xemissions. Diesel exhaust fluid is 
generally understood to be an aqueous solution of urea conforming to the specifications of ISO 22241. 
Dual-fuel means relating to an engine 
designed for operation on two different types of fuel but not on a continuous mixture of those fuels (see § 1036.601(d)). For purposes of this part, such an engine remains a dual-fuel engine even if it is designed for operation on three or more different fuels. 
Emission control system means any 
device, system, or element of design that 
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controls or reduces the emissions of 
regulated pollutants from an engine. 
Emission-data engine means an 
engine that is tested for certification. This includes engines tested to establish deterioration factors. 
Emission-related maintenance means 
maintenance that substantially affects emissions or is likely to substantially affect emission deterioration. 
Engine configuration means a unique 
combination of engine hardware and calibration (related to the emission standards) within an engine family. Engines within a single engine configuration differ only with respect to normal production variability or factors unrelated to compliance with emission standards. 
Engine family has the meaning given 
in § 1036.230. 
Excluded means relating to engines 
that are not subject to some or all of the requirements of this part as follows: 
(1) An engine that has been 
determined not to be a heavy-duty engine is excluded from this part. 
(2) Certain heavy-duty engines are 
excluded from the requirements of this part under § 1036.5. 
(3) Specific regulatory provisions of 
this part may exclude a heavy-duty engine generally subject to this part from one or more specific standards or requirements of this part. 
Exempted has the meaning given in 
40 CFR 1068.30. 
Exhaust gas recirculation means a 
technology that reduces emissions by routing exhaust gases that had been exhausted from the combustion chamber(s) back into the engine to be mixed with incoming air before or during combustion. The use of valve timing to increase the amount of residual exhaust gas in the combustion chamber(s) that is mixed with incoming air before or during combustion is not considered exhaust gas recirculation for the purposes of this part. 
Family certification level (FCL) means 
a CO
2emission level declared by the 
manufacturer that is at or above emission test results for all emission- data engines. The FCL serves as the emission standard for the engine family with respect to certification testing if it is different than the otherwise applicable standard. The FCL must be expressed to the same number of decimal places as the emission standard it replaces. 
Family emission limit (FEL) means an 
emission level declared by the manufacturer to serve in place of an otherwise applicable emission standard (other than CO
2standards) under the 
ABT program in subpart H of this part. The FEL must be expressed to the same number of decimal places as the 
emission standard it replaces. The FEL serves as the emission standard for the engine family with respect to all required testing except certification testing for CO
2.The CO 2FEL is equal to 
the CO 2FCL multiplied by 1.03 and 
rounded to the same number of decimal places as the standard (e.g., the nearest 
whole g/hp-hr for the 2016 CO
2 
standards). 
Flexible-fuel means relating to an 
engine designed for operation on any 
mixture of two or more different types of fuels (see § 1036.601(d)). 
Fuel type means a general category of 
fuels such as diesel fuel, gasoline, or natural gas. There can be multiple grades within a single fuel type, such as premium gasoline, regular gasoline, or gasoline with 10 percent ethanol. 
Good engineering judgment has the 
meaning given in 40 CFR 1068.30. See 40 CFR 1068.5 for the administrative process we use to evaluate good engineering judgment. 
Greenhouse gas means one or more 
compounds regulated under this part based primarily on their impact on the climate. This generally includes CO
2, 
CH 4, and N 2O. 
Greenhouse gas Emissions Model 
(GEM) means the GEM simulation tool 
described in 40 CFR 1037.520. Note that an updated version of GEM applies starting in model year 2021. 
Gross vehicle weight rating (GVWR) 
means the value specified by the vehicle manufacturer as the maximum design loaded weight of a single vehicle, consistent with good engineering judgment. 
Heavy-duty engine means any engine 
which the engine manufacturer could reasonably expect to be used for motive power in a heavy-duty vehicle. For purposes of this definition in this part, the term ‘‘engine’’ includes internal combustion engines and other devices that convert chemical fuel into motive power. For example, a fuel cell or a gas turbine used in a heavy-duty vehicle is a heavy-duty engine. 
Heavy-duty vehicle means any motor 
vehicle above 8,500 pounds GVWR or that has a vehicle curb weight above 6,000 pounds or that has a basic vehicle frontal area greater than 45 square feet. Curb weight and Basic vehicle frontal 
area have the meaning given in 40 CFR 
86.1803. 
Hybrid means relating to an engine or 
powertrain that includes energy storage features other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note that certain provisions in this part treat hybrid engines and powertrains intended for vehicles that include regenerative braking different than those intended for vehicles that do not include regenerative braking. 
Hydrocarbon (HC) means the 
hydrocarbon group on which the emission standards are based for each fuel type. For alcohol-fueled engines, HC means nonmethane hydrocarbon equivalent (NMHCE). For all other engines, HC means nonmethane hydrocarbon (NMHC). 
Identification number means a unique 
specification (for example, a model number/serial number combination) that allows someone to distinguish a particular engine from other similar engines. 
Incomplete vehicle means a vehicle 
meeting the definition of incomplete vehicle in 40 CFR 1037.801 when it is first sold (or otherwise delivered to another entity) as a vehicle. 
Innovative technology means 
technology certified under § 1036.610 (also described as ‘‘off-cycle technology’’). 
Liquefied petroleum gas (LPG) means 
a liquid hydrocarbon fuel that is stored under pressure and is composed primarily of nonmethane compounds that are gases at atmospheric conditions. Note that, although this commercial term includes the word ‘‘petroleum’’, LPG is not considered to be a petroleum fuel under the definitions of this section. 
Low-hour means relating to an engine 
that has stabilized emissions and represents the undeteriorated emission level. This would generally involve less than 125 hours of operation. 
Manufacture means the physical and 
engineering process of designing, constructing, and/or assembling a heavy-duty engine or a heavy-duty vehicle. 
Manufacturer has the meaning given 
in section 216(1) of the Act. In general, this term includes any person who manufactures or assembles an engine, vehicle, or piece of equipment for sale in the United States or otherwise introduces a new engine into commerce in the United States. This includes importers who import engines or vehicles for resale. 
Medium-duty passenger vehicle has 
the meaning given in 40 CFR 86.1803. 
Model year means the manufacturer’s 
annual new model production period, except as restricted under this definition. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. Manufacturers 
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may not adjust model years to 
circumvent or delay compliance with emission standards or to avoid the obligation to certify annually. 
Motor vehicle has the meaning given 
in 40 CFR 85.1703. 
Natural gas means a fuel whose 
primary constituent is methane. 
New motor vehicle engine has the 
meaning given in the Act. This generally means a motor vehicle engine meeting the criteria of either paragraph (1), (2), or (3) of this definition. 
(1) A motor vehicle engine for which 
the ultimate purchaser has never received the equitable or legal title is a new motor vehicle engine. This kind of engine might commonly be thought of as ‘‘brand new’’ although a new motor vehicle engine may include previously used parts. Under this definition, the engine is new from the time it is produced until the ultimate purchaser receives the title or places it into service, whichever comes first. 
(2) An imported motor vehicle engine 
is a new motor vehicle engine if it was 
originally built on or after January 1, 1970. 
(3) Any motor vehicle engine installed 
in a new motor vehicle. 
Noncompliant engine means an 
engine that was originally covered by a certificate of conformity, but is not in the certified configuration or otherwise does not comply with the conditions of the certificate. 
Nonconforming engine means an 
engine not covered by a certificate of conformity that would otherwise be subject to emission standards. 
Nonmethane hydrocarbon (NMHC) 
means the sum of all hydrocarbon species except methane, as measured according to 40 CFR part 1065. 
Nonmethane hydrocarbon equivalent 
(NMHCE) has the meaning given in 40 
CFR 1065.1001. 
Off-cycle technology means 
technology certified under § 1036.610 (also described as ‘‘innovative technology’’). 
Official emission result means the 
measured emission rate for an emission- data engine on a given duty cycle before the application of any deterioration factor, but after the applicability of any required regeneration or other adjustment factors. 
Owners manual means a document or 
collection of documents prepared by the engine or vehicle manufacturer for the owner or operator to describe appropriate engine maintenance, applicable warranties, and any other information related to operating or keeping the engine. The owners manual is typically provided to the ultimate purchaser at the time of sale. The owners manual may be in paper or electronic format. 
Oxides of nitrogen has the meaning 
given in 40 CFR 1065.1001. 
Percent has the meaning given in 40 
CFR 1065.1001. Note that this means percentages identified in this part are assumed to be infinitely precise without regard to the number of significant figures. For example, one percent of 1,493 is 14.93. 
Placed into service means put into 
initial use for its intended purpose, excluding incidental use by the manufacturer or a dealer. 
Preliminary approval means approval 
granted by an authorized EPA representative prior to submission of an application for certification, consistent with the provisions of § 1036.210. 
Primary intended service class has the 
meaning given in § 1036.140. 
Rechargeable Energy Storage System 
(RESS) means the component(s) of a 
hybrid engine or vehicle that store recovered energy for later use, such as the battery system in an electric hybrid vehicle. 
Relating to as used in this section 
means relating to something in a specific, direct manner. This expression is used in this section only to define terms as adjectives and not to broaden the meaning of the terms. 
Revoke has the meaning given in 40 
CFR 1068.30. 
Round has the meaning given in 40 
CFR 1065.1001. 
Scheduled maintenance means 
adjusting, repairing, removing, disassembling, cleaning, or replacing components or systems periodically to keep a part or system from failing, malfunctioning, or wearing prematurely. It also may mean actions you expect are necessary to correct an overt indication of failure or malfunction for which periodic maintenance is not appropriate. 
Small manufacturer means a 
manufacturer meeting the criteria specified in 13 CFR 121.201. The employee and revenue limits apply to the total number of employees and total revenue together for affiliated companies. Note that manufacturers with low production volumes may or may not be ‘‘small manufacturers’’. 
Spark-ignition means relating to a 
gasoline-fueled engine or any other type of engine with a spark plug (or other sparking device) and with operating characteristics significantly similar to the theoretical Otto combustion cycle. Spark-ignition engines usually use a throttle to regulate intake air flow to control power during normal operation. 
Steady-state has the meaning given in 
40 CFR 1065.1001. Suspend has the meaning given in 40 
CFR 1068.30. 
Test engine means an engine in a test 
sample. 
Test sample means the collection of 
engines selected from the population of an engine family for emission testing. This may include testing for certification, production-line testing, or in-use testing. 
Tractor means a vehicle meeting the 
definition of ‘‘tractor’’ in 40 CFR 1037.801, but not classified as a ‘‘vocational tractor’’ under 40 CFR 1037.630, or relating to such a vehicle. 
Tractor engine means an engine 
certified for use in tractors. Where an engine family is certified for use in both tractors and vocational vehicles, ‘‘tractor engine’’ means an engine that the engine manufacturer reasonably believes will be (or has been) installed in a tractor. Note that the provisions of this part may require a manufacturer to document how it determines that an engine is a tractor engine. 
Ultimate purchaser means, with 
respect to any new engine or vehicle, the first person who in good faith purchases such new engine or vehicle for purposes other than resale. 
United States has the meaning given 
in 40 CFR 1068.30. 
Upcoming model year means for an 
engine family the model year after the one currently in production. 
U.S.-directed production volume 
means the number of engines, subject to the requirements of this part, produced by a manufacturer for which the manufacturer has a reasonable assurance that sale was or will be made to ultimate purchasers in the United States. This does not include engines certified to state emission standards that are different than the emission standards in this part. 
Vehicle has the meaning given in 40 
CFR 1037.801. 
Vocational engine means an engine 
certified for use in vocational vehicles. Where an engine family is certified for use in both tractors and vocational vehicles, ‘‘vocational engine’’ means an engine that the engine manufacturer reasonably believes will be (or has been) installed in a vocational vehicle. Note that the provisions of this part may require a manufacturer to document how it determines that an engine is a vocational engine. 
Vocational vehicle means a vehicle 
meeting the definition of ‘‘vocational’’ vehicle in 40 CFR 1037.801. 
Void has the meaning given in 40 CFR 
1068.30. 
We (us, our) means the Administrator 
of the Environmental Protection Agency and any authorized representatives. 
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§ 1036.805 Symbols, abbreviations, and 
acronyms. 
The procedures in this part generally 
follow either the International System of 
Units (SI) or the United States customary units, as detailed in NIST Special Publication 811 (incorporated by reference in § 1036.810). See 40 CFR 1065.20 for specific provisions related to these conventions. This section summarizes the way we use symbols, units of measure, and other abbreviations. (a) Symbols for chemical species. This 
part uses the following symbols for chemical species and exhaust constituents: 
Symbol Species 
C .............. carbon. 
CH 4.......... methane. 
CH 4N2O ... urea. 
CO ........... carbon monoxide. 
CO 2.......... carbon dioxide. 
H2O .......... water. 
HC ........... hydrocarbon. Symbol Species 
NMHC ...... nonmethane hydrocarbon. 
NMHCE ... nonmethane hydrocarbon equiv-
alent. 
NO ........... nitric oxide. 
NO 2.......... nitrogen dioxide. 
NO X......... oxides of nitrogen. 
N2O .......... nitrous oxide. 
PM ........... particulate matter. 
(b) Symbols for quantities. This part 
uses the following symbols and units of measure for various quantities: 
Symbol Quantity Unit Unit 
symbol Unit in terms of SI 
base units 
α............. atomic hydrogen-to-carbon ratio ............................. mole per mole .............................. mol/mol .... ......... 1. 
β.............. atomic oxygen-to-carbon ratio ................................. mole per mole .............................. mol/mol . ............ 1. 
CdA.......... drag area ................................................................. meter squared .............................. m2..................... m2. 
Crr........... coefficient of rolling resistance ................................ kilogram per metric ton ................ kg/tonne .... ........ 10¥3. 
D............. distance ................................................................... miles or meters ............................ mi or m .............. m. 
e.............. mass weighted emission result ............................... grams/ton-mile .............................. g/ton-mi . ............ g/kg-km. 
Eff........... efficiency .................................................................. ....................................................... ...........................
Em........... mass-specific net energy content ............................ megajoules/kilogram .................... MJ/kg ............ .... m2C˙s¥2. 
fn............. angular speed (shaft) .............................................. revolutions per minute .................. r/min .. ................ πC˙30·s¥1. 
i............... indexing variable ...................................................... ......................................... .............. ...........................
ka............. drive axle ratio ......................................................... ......................................... .............. ...........................
ktopgear ..... highest available transmission gear ........................ ....................................................... ........ ...................
m............. mass ........................................................................ pound mass or kilogram .............. lbm or kg ........... kg. 
M............. molar mass .............................................................. gram per mole ............................. . g/mol ................. 10¥3C˙kgC˙mol¥1. 
M............. vehicle mass ............................................................ kilogram .................................. ...... kg ...................... kg. 
Mrotating .... inertial mass of rotating components ...................... kilogram ........................................ kg ............... ....... kg. 
N............. total number in a series ........................................... ............................................... ........ ...........................
P............. power ....................................................................... kilowatt ......................................... kW ..................... 103C˙m2C˙kgC˙s¥3. 
T............. torque (moment of force) ......................................... newton meter ............................... NC ˙m. ................. m2C˙kgC˙s¥2. 
t............... time .......................................................................... second .......................................... s ........................ s. 
Δt............ time interval, period, 1/frequency ............................ second .......................................... s .... .................... s. 
UF........... utility factor .............................................................. ........................................ ............... ...........................
v.............. speed ....................................................................... miles per hour or meters 
persecond.mi/hr or m/s ....... mC ˙s¥1. 
W............ work ......................................................................... kilowatt-hour ................................. kWC ˙hr ............... 3.6C ˙m2C˙kgC˙s¥1. 
wC........... carbon mass fraction ............................................... gram/gram .................................... g/g . .................... 1. 
wCH4N2O .. urea mass fraction ................................................... gram/gram .................................... g/g ........ ............. 1. 
x.............. amount of substance mole fraction ......................... mole per mole .............................. mol/mol ..... ........ 1. 
xb............ brake energy fraction ............................................... ............................................... ........ ...........................
xbl............ brake energy limit .................................................... ............................................. .......... ...........................
(c) Superscripts. This part uses the 
following superscripts to define a quantity: 
Superscript Quantity 
overbar (such as y ¯) arithmetic mean. 
overdot overdot 
(such as y ˙).quantity per unit time. 
(d) Subscripts. This part uses the 
following subscripts to define a quantity: 
Subscript Quantity 
65 ......................... 65 miles per hour. 
A ........................... A speed. 
acc ........................ accessory. 
app ....................... approved. 
axle ....................... axle. 
B ........................... B speed. 
C ........................... C speed. Subscript Quantity 
Ccombdry ............. carbon from fuel per 
mole of dry exhaust. 
CD ........................ charge-depleting. 
CO2DEF ............... CO 2resulting from diesel 
exhaust fluid decom-
position. 
comb .................... combustion. 
cor ........................ corrected. 
CS ........................ charge-sustaining. 
cycle ..................... test cycle. 
DEF ...................... diesel exhaust fluid. 
engine .................. engine. 
exh ....................... raw exhaust. 
fuel ....................... fuel. 
H2Oexhaustdry .... H 2O in exhaust per mole 
of exhaust. 
hi .......................... high. 
i ............................ an individual of a series. 
idle ........................ idle. 
m .......................... mass. 
max ...................... maximum. 
mapped ................ mapped. Subscript Quantity 
meas .................... measured quantity. 
neg ....................... negative. 
pos ....................... positive. 
record ................... record. 
ref ......................... reference quantity. 
speed ................... speed. 
stall ....................... stall. 
test ....................... test. 
tire ........................ tire. 
transient ............... transient. 
vehicle .................. vehicle. 
(e) Other acronyms and abbreviations. 
This part uses the following additional 
abbreviations and acronyms: 
ABT averaging, banking, and trading 
AECD auxiliary emission control 
device 
ASTM American Society for Testing 
and Materials 
BTU British thermal units 
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CD charge-depleting 
CFR Code of Federal Regulations CI compression ignition CS charge-sustaining DF deterioration factor DOT Department of Transportation E85 gasoline blend including 
nominally 85 percent denatured 
ethanol 
EPA Environmental Protection Agency 
FCL Family Certification Level FEL Family Emission Limit GEM Greenhouse gas Emissions Model 
g/hp-hr grams per brake horsepower- 
hour 
GVWR gross vehicle weight rating LPG liquefied petroleum gas NARA National Archives and Records 
Administration 
NHTSA National Highway Traffic 
Safety Administration 
NTE not-to-exceed RESS rechargeable energy storage 
system 
RMC ramped-modal cycle rpm revolutions per minute SCR Selective catalytic reduction SI spark ignition U.S. United States U.S.C. United States Code 
(f) Prefixes. This part uses the 
following prefixes to define a quantity: 
Symbol Quantity Value 
μ............ micro ..................... 10¥6 
m ........... milli ........................ 10¥3 
c ............. centi ...................... 10¥2 
k ............. kilo ......................... 103 
M ........... mega ..................... 106 
§ 1036.810 Incorporation by reference. 
(a) Certain material is incorporated by 
reference into this part with the 
approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the Environmental Protection Agency must publish a document in the Federal Register and the material must be 
available to the public. All approved material is available for inspection at U.S. EPA, Air and Radiation Docket and Information Center, 1301 Constitution Ave., NW., Room B102, EPA West Building, Washington, DC 20460, (202) 202–1744, and is available from the sources listed below. It is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202–741– 6030, or go to http://www.archives.gov/ federal_ register/code_ of_federal_
regulations/ibr_ locations.html. 
(b) American Society for Testing and 
Materials, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA, 19428–2959, (877) 909–2786, http://www.astm.org/. 
(1) ASTM D4809–13 Standard Test 
Method for Heat of Combustion of Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method), approved May 1, 2013, (‘‘ASTM D4809’’), IBR approved for § 1036.530(b). 
(2) [Reserved] 
(c) National Institute of Standards and 
Technology, 100 Bureau Drive, Stop 
1070, Gaithersburg, MD 20899–1070, (301) 975–6478, or www.nist.gov. 
(1) NIST Special Publication 811, 
Guide for the Use of the International System of Units (SI), 2008 Edition, March 2008, IBR approved for § 1036.805. 
(2) [Reserved] 
§ 1036.815 Confidential information. 
The provisions of 40 CFR 1068.10 
apply for information you consider confidential. 
§ 1036.820 Requesting a hearing. 
(a) You may request a hearing under 
certain circumstances, as described elsewhere in this part. To do this, you must file a written request, including a description of your objection and any supporting data, within 30 days after we make a decision. 
(b) For a hearing you request under 
the provisions of this part, we will approve your request if we find that your request raises a substantial factual issue. 
(c) If we agree to hold a hearing, we 
will use the procedures specified in 40 CFR part 1068, subpart G. 
§ 1036.825 Reporting and recordkeeping 
requirements. 
(a) This part includes various 
requirements to submit and record data 
or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. You are expected to keep your own copy of required records rather than relying on someone else to keep records on your behalf. We may review these records at any time. You must promptly send us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format. 
(b) The regulations in § 1036.255 and 
40 CFR 1068.25 and 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties. 
(c) Send all reports and requests for 
approval to the Designated Compliance Officer (see § 1036.801). 
(d) Any written information we 
require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. Keep these records for eight years unless the regulations specify a different period. We may require you to send us these records whether or not you are a certificate holder. 
(e) Under the Paperwork Reduction 
Act (44 U.S.C. 3501 et seq.), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations. The following items illustrate the kind of reporting and recordkeeping we require for engines and vehicles regulated under this part: 
(1) We specify the following 
requirements related to engine certification in this part 1036: 
(i) In § 1036.135 we require engine 
manufacturers to keep certain records related to duplicate labels sent to vehicle manufacturers. 
(ii) In § 1036.150 we include various 
reporting and recordkeeping requirements related to interim provisions. 
(iii) In subpart C of this part we 
identify a wide range of information required to certify engines. 
(iv) In subpart G of this part we 
identify several reporting and recordkeeping items for making demonstrations and getting approval related to various special compliance provisions. 
(v) In §§ 1036.725, 1036.730, and 
1036.735 we specify certain records related to averaging, banking, and trading. 
(2) We specify the following 
requirements related to testing in 40 CFR part 1065: 
(i) In 40 CFR 1065.2 we give an 
overview of principles for reporting information. 
(ii) In 40 CFR 1065.10 and 1065.12 we 
specify information needs for establishing various changes to published test procedures. 
(iii) In 40 CFR 1065.25 we establish 
basic guidelines for storing test information. 
(iv) In 40 CFR 1065.695 we identify 
the specific information and data items to record when measuring emissions. 
(3) We specify the following 
requirements related to the general 
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compliance provisions in 40 CFR part 
1068: 
(i) In 40 CFR 1068.5 we establish a 
process for evaluating good engineering judgment related to testing and certification. 
(ii) In 40 CFR 1068.25 we describe 
general provisions related to sending and keeping information 
(iii) In 40 CFR 1068.27 we require 
manufacturers to make engines available for our testing or inspection if we make such a request. 
(iv) In 40 CFR 1068.105 we require 
vehicle manufacturers to keep certain records related to duplicate labels from engine manufacturers. 
(v) In 40 CFR 1068.120 we specify 
recordkeeping related to rebuilding engines. 
(vi) In 40 CFR part 1068, subpart C, 
we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various exemptions. 
(vii) In 40 CFR part 1068, subpart D, 
we identify several reporting and recordkeeping items for making demonstrations and getting approval related to importing engines. 
(viii) In 40 CFR 1068.450 and 
1068.455 we specify certain records related to testing production-line engines in a selective enforcement audit. 
(ix) In 40 CFR 1068.501 we specify 
certain records related to investigating and reporting emission-related defects. 
(x) In 40 CFR 1068.525 and 1068.530 
we specify certain records related to recalling nonconforming engines. 
(xi) In 40 CFR part 1068, subpart G, 
we specify certain records for requesting a hearing. 
Appendix I to Part 1036 — Default 
Engine Fuel Maps for § 1036.540 
This appendix includes default steady- 
state fuel maps for performing cycle-average 
engine fuel mapping as described in §§ 1036.535 and 1036.540. 
(a) Use the following default fuel map for 
compression-ignition engines that will be installed in Tractors and Vocational Heavy HDV: 
Engine speed 
(r/min) Engine 
torque 
(N·m) Fuel mass 
rate 
(g/sec) 
666.7 ................. 0 0.436 
833.3 ................. 0 0.665 
1000 .................. 0 0.94 
1166.7 ............... 0 1.002 
1333.3 ............... 0 1.17 
1500 .................. 0 1.5 
1666.7 ............... 0 1.899 
1833.3 ............... 0 2.378 
2000 .................. 0 2.93 
2166.7 ............... 0 3.516 
2333.3 ............... 0 4.093 Engine speed 
(r/min) Engine 
torque 
(N·m) Fuel mass 
rate 
(g/sec) 
2500 .................. 0 4.672 
500 .................... 300 0.974 
666.7 ................. 300 1.405 
833.3 ................. 300 1.873 
1000 .................. 300 2.324 
1166.7 ............... 300 2.598 
1333.3 ............... 300 2.904 
1500 .................. 300 3.397 
1666.7 ............... 300 3.994 
1833.3 ............... 300 4.643 
2000 .................. 300 5.372 
2166.7 ............... 300 6.141 
2333.3 ............... 300 7.553 
2500 .................. 300 8.449 
500 .................... 600 1.723 
666.7 ................. 600 2.391 
833.3 ................. 600 3.121 
1000 .................. 600 3.756 
1166.7 ............... 600 4.197 
1333.3 ............... 600 4.776 
1500 .................. 600 5.492 
1666.7 ............... 600 6.277 
1833.3 ............... 600 7.129 
2000 .................. 600 8.069 
2166.7 ............... 600 9.745 
2333.3 ............... 600 11.213 
2500 .................. 600 12.59 
500 .................... 900 2.637 
666.7 ................. 900 3.444 
833.3 ................. 900 4.243 
1000 .................. 900 4.997 
1166.7 ............... 900 5.802 
1333.3 ............... 900 6.702 
1500 .................. 900 7.676 
1666.7 ............... 900 8.7 
1833.3 ............... 900 9.821 
2000 .................. 900 11.08 
2166.7 ............... 900 13.051 
2333.3 ............... 900 15.002 
2500 .................. 900 16.862 
500 .................... 1200 3.833 
666.7 ................. 1200 4.679 
833.3 ................. 1200 5.535 
1000 .................. 1200 6.519 
1166.7 ............... 1200 7.603 
1333.3 ............... 1200 8.735 
1500 .................. 1200 9.948 
1666.7 ............... 1200 11.226 
1833.3 ............... 1200 12.622 
2000 .................. 1200 14.228 
2166.7 ............... 1200 16.488 
2333.3 ............... 1200 18.921 
2500 .................. 1200 21.263 
500 .................... 1500 6.299 
666.7 ................. 1500 6.768 
833.3 ................. 1500 6.95 
1000 .................. 1500 8.096 
1166.7 ............... 1500 9.399 
1333.3 ............... 1500 10.764 
1500 .................. 1500 12.238 
1666.7 ............... 1500 13.827 
1833.3 ............... 1500 15.586 
2000 .................. 1500 17.589 
2166.7 ............... 1500 20.493 
2333.3 ............... 1500 23.366 
2500 .................. 1500 26.055 
500 .................... 1800 9.413 
666.7 ................. 1800 9.551 
833.3 ................. 1800 8.926 
1000 .................. 1800 9.745 
1166.7 ............... 1800 11.26 
1333.3 ............... 1800 12.819 Engine speed 
(r/min) Engine 
torque 
(N·m) Fuel mass 
rate 
(g/sec) 
1500 .................. 1800 14.547 
1666.7 ............... 1800 16.485 
1833.3 ............... 1800 18.697 
2000 .................. 1800 21.535 
2166.7 ............... 1800 24.981 
2333.3 ............... 1800 28.404 
2500 .................. 1800 31.768 
500 .................... 2100 13.128 
666.7 ................. 2100 12.936 
833.3 ................. 2100 12.325 
1000 .................. 2100 11.421 
1166.7 ............... 2100 13.174 
1333.3 ............... 2100 14.969 
1500 .................. 2100 16.971 
1666.7 ............... 2100 19.274 
1833.3 ............... 2100 22.09 
2000 .................. 2100 25.654 
2166.7 ............... 2100 29.399 
2333.3 ............... 2100 32.958 
2500 .................. 2100 36.543 
500 .................... 2400 17.446 
666.7 ................. 2400 16.922 
833.3 ................. 2400 15.981 
1000 .................. 2400 14.622 
1166.7 ............... 2400 15.079 
1333.3 ............... 2400 17.165 
1500 .................. 2400 19.583 
1666.7 ............... 2400 22.408 
1833.3 ............... 2400 25.635 
2000 .................. 2400 29.22 
2166.7 ............... 2400 33.168 
2333.3 ............... 2400 37.233 
2500 .................. 2400 41.075 
500 .................... 2700 22.365 
666.7 ................. 2700 21.511 
833.3 ................. 2700 20.225 
1000 .................. 2700 17.549 
1166.7 ............... 2700 17.131 
1333.3 ............... 2700 19.588 
1500 .................. 2700 22.514 
1666.7 ............... 2700 25.574 
1833.3 ............... 2700 28.909 
2000 .................. 2700 32.407 
2166.7 ............... 2700 36.18 
2333.3 ............... 2700 40.454 
2500 .................. 2700 44.968 
500 .................... 3000 27.476 
666.7 ................. 3000 22.613 
833.3 ................. 3000 19.804 
1000 .................. 3000 17.266 
1166.7 ............... 3000 19.197 
1333.3 ............... 3000 22.109 
1500 .................. 3000 25.288 
1666.7 ............... 3000 28.44 
1833.3 ............... 3000 31.801 
2000 .................. 3000 35.405 
2166.7 ............... 3000 39.152 
2333.3 ............... 3000 42.912 
2500 .................. 3000 47.512 
(b) Use the following default fuel map for 
compression-ignition engines that will be installed in Vocational Light HDV and Medium HDV: 
Engine speed 
(r/min) Engine 
torque 
(N·m) Fuel mass 
rate 
(g/sec) 
708.3 ................. 0 0.255 
916.7 ................. 0 0.263 
1125 .................. 0 0.342 
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Engine speed 
(r/min) Engine 
torque 
(N·m) Fuel mass 
rate 
(g/sec) 
1333.3 ............... 0 0.713 
1541.7 ............... 0 0.885 
1750 .................. 0 1.068 
1958.3 ............... 0 1.27 
2166.7 ............... 0 1.593 
2375 .................. 0 1.822 
2583.3 ............... 0 2.695 
2791.7 ............... 0 4.016 
3000 .................. 0 5.324 
500 .................... 120 0.515 
708.3 ................. 120 0.722 
916.7 ................. 120 0.837 
1125 .................. 120 1.097 
1333.3 ............... 120 1.438 
1541.7 ............... 120 1.676 
1750 .................. 120 1.993 
1958.3 ............... 120 2.35 
2166.7 ............... 120 2.769 
2375 .................. 120 3.306 
2583.3 ............... 120 4.004 
2791.7 ............... 120 4.78 
3000 .................. 120 5.567 
500 .................... 240 0.862 
708.3 ................. 240 1.158 
916.7 ................. 240 1.462 
1125 .................. 240 1.85 
1333.3 ............... 240 2.246 
1541.7 ............... 240 2.603 
1750 .................. 240 3.086 
1958.3 ............... 240 3.516 
2166.7 ............... 240 4.093 
2375 .................. 240 4.726 
2583.3 ............... 240 5.372 
2791.7 ............... 240 6.064 
3000 .................. 240 6.745 
500 .................... 360 1.221 
708.3 ................. 360 1.651 
916.7 ................. 360 2.099 
1125 .................. 360 2.62 
1333.3 ............... 360 3.116 
1541.7 ............... 360 3.604 
1750 .................. 360 4.172 
1958.3 ............... 360 4.754 
2166.7 ............... 360 5.451 
2375 .................. 360 6.16 
2583.3 ............... 360 7.009 
2791.7 ............... 360 8.007 
3000 .................. 360 8.995 
500 .................... 480 1.676 
708.3 ................. 480 2.194 
916.7 ................. 480 2.76 
1125 .................. 480 3.408 
1333.3 ............... 480 4.031 
1541.7 ............... 480 4.649 
1750 .................. 480 5.309 
1958.3 ............... 480 6.052 
2166.7 ............... 480 6.849 
2375 .................. 480 7.681 
2583.3 ............... 480 8.783 
2791.7 ............... 480 10.073 
3000 .................. 480 11.36 
500 .................... 600 2.147 
708.3 ................. 600 2.787 
916.7 ................. 600 3.478 
1125 .................. 600 4.227 
1333.3 ............... 600 4.999 
1541.7 ............... 600 5.737 
1750 .................. 600 6.511 
1958.3 ............... 600 7.357 
2166.7 ............... 600 8.289 
2375 .................. 600 9.295 
2583.3 ............... 600 10.541 Engine speed 
(r/min) Engine 
torque 
(N·m) Fuel mass 
rate 
(g/sec) 
2791.7 ............... 600 11.914 
3000 .................. 600 13.286 
500 .................... 720 2.744 
708.3 ................. 720 3.535 
916.7 ................. 720 4.356 
1125 .................. 720 5.102 
1333.3 ............... 720 5.968 
1541.7 ............... 720 6.826 
1750 .................. 720 7.733 
1958.3 ............... 720 8.703 
2166.7 ............... 720 9.792 
2375 .................. 720 10.984 
2583.3 ............... 720 12.311 
2791.7 ............... 720 13.697 
3000 .................. 720 15.071 
500 .................... 840 3.518 
708.3 ................. 840 4.338 
916.7 ................. 840 5.186 
1125 .................. 840 6.063 
1333.3 ............... 840 6.929 
1541.7 ............... 840 7.883 
1750 .................. 840 8.94 
1958.3 ............... 840 10.093 
2166.7 ............... 840 11.329 
2375 .................. 840 12.613 
2583.3 ............... 840 13.983 
2791.7 ............... 840 15.419 
3000 .................. 840 16.853 
500 .................... 960 4.251 
708.3 ................. 960 5.098 
916.7 ................. 960 5.974 
1125 .................. 960 6.917 
1333.3 ............... 960 7.889 
1541.7 ............... 960 8.913 
1750 .................. 960 10.152 
1958.3 ............... 960 11.482 
2166.7 ............... 960 12.87 
2375 .................. 960 14.195 
2583.3 ............... 960 15.562 
2791.7 ............... 960 16.995 
3000 .................. 960 18.492 
500 .................... 1080 4.978 
708.3 ................. 1080 5.928 
916.7 ................. 1080 6.877 
1125 .................. 1080 7.827 
1333.3 ............... 1080 8.838 
1541.7 ............... 1080 9.91 
1750 .................. 1080 11.347 
1958.3 ............... 1080 12.85 
2166.7 ............... 1080 14.398 
2375 .................. 1080 15.745 
2583.3 ............... 1080 17.051 
2791.7 ............... 1080 18.477 
3000 .................. 1080 19.971 
500 .................... 1200 5.888 
708.3 ................. 1200 6.837 
916.7 ................. 1200 7.787 
1125 .................. 1200 8.736 
1333.3 ............... 1200 9.786 
1541.7 ............... 1200 10.908 
1750 .................. 1200 12.541 
1958.3 ............... 1200 14.217 
2166.7 ............... 1200 15.925 
2375 .................. 1200 17.3 
2583.3 ............... 1200 18.606 
2791.7 ............... 1200 19.912 
3000 .................. 1200 21.357 
(c) Use the following default fuel map for 
all spark-ignition engines: Engine speed 
(r/min) Engine 
torque 
(N·m) Fuel mass 
rate 
(g/sec) 
875 .................... 0 0.535 
1250 .................. 0 0.734 
1625 .................. 0 0.975 
2000 .................. 0 1.238 
2375 .................. 0 1.506 
2750 .................. 0 1.772 
3125 .................. 0 2.07 
3500 .................. 0 2.394 
3875 .................. 0 2.795 
4250 .................. 0 3.312 
4625 .................. 0 3.349 
5000 .................. 0 3.761 
500 .................... 65 0.458 
875 .................... 65 0.759 
1250 .................. 65 1.065 
1625 .................. 65 1.43 
2000 .................. 65 1.812 
2375 .................. 65 2.22 
2750 .................. 65 2.65 
3125 .................. 65 3.114 
3500 .................. 65 3.646 
3875 .................. 65 4.225 
4250 .................. 65 4.861 
4625 .................. 65 5.328 
5000 .................. 65 6.028 
500 .................... 130 0.666 
875 .................... 130 1.063 
1250 .................. 130 1.497 
1625 .................. 130 1.976 
2000 .................. 130 2.469 
2375 .................. 130 3.015 
2750 .................. 130 3.59 
3125 .................. 130 4.218 
3500 .................. 130 4.9 
3875 .................. 130 5.652 
4250 .................. 130 6.484 
4625 .................. 130 7.308 
5000 .................. 130 8.294 
500 .................... 195 0.856 
875 .................... 195 1.377 
1250 .................. 195 1.923 
1625 .................. 195 2.496 
2000 .................. 195 3.111 
2375 .................. 195 3.759 
2750 .................. 195 4.49 
3125 .................. 195 5.269 
3500 .................. 195 6.13 
3875 .................. 195 7.124 
4250 .................. 195 8.189 
4625 .................. 195 9.288 
5000 .................. 195 10.561 
500 .................... 260 1.079 
875 .................... 260 1.716 
1250 .................. 260 2.373 
1625 .................. 260 3.083 
2000 .................. 260 3.832 
2375 .................. 260 4.599 
2750 .................. 260 5.443 
3125 .................. 260 6.391 
3500 .................. 260 7.444 
3875 .................. 260 8.564 
4250 .................. 260 9.821 
4625 .................. 260 11.268 
5000 .................. 260 12.828 
500 .................... 325 1.354 
875 .................... 325 2.06 
1250 .................. 325 2.844 
1625 .................. 325 3.696 
2000 .................. 325 4.579 
2375 .................. 325 5.466 
2750 .................. 325 6.434 
3125 .................. 325 7.542 
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Engine speed 
(r/min) Engine 
torque 
(N·m) Fuel mass 
rate 
(g/sec) 
3500 .................. 325 8.685 
3875 .................. 325 9.768 
4250 .................. 325 11.011 
4625 .................. 325 13.249 
5000 .................. 325 15.095 
500 .................... 390 1.609 
875 .................... 390 2.44 
1250 .................. 390 3.317 
1625 .................. 390 4.31 
2000 .................. 390 5.342 
2375 .................. 390 6.362 
2750 .................. 390 7.489 
3125 .................. 390 8.716 
3500 .................. 390 9.865 
3875 .................. 390 10.957 
4250 .................. 390 12.405 
4625 .................. 390 15.229 
5000 .................. 390 17.363 
500 .................... 455 2.245 
875 .................... 455 2.969 
1250 .................. 455 3.867 
1625 .................. 455 4.992 
2000 .................. 455 6.215 
2375 .................. 455 7.415 
2750 .................. 455 8.76 
3125 .................. 455 10.175 
3500 .................. 455 11.53 
3875 .................. 455 12.889 
4250 .................. 455 14.686 
4625 .................. 455 17.243 
5000 .................. 455 19.633 
500 .................... 520 3.497 
875 .................... 520 4.444 
1250 .................. 520 5.084 
1625 .................. 520 5.764 
2000 .................. 520 7.205 
2375 .................. 520 8.597 
2750 .................. 520 10.135 
3125 .................. 520 11.708 
3500 .................. 520 12.962 
3875 .................. 520 14.225 
4250 .................. 520 15.647 
4625 .................. 520 17.579 
5000 .................. 520 20.031 
500 .................... 585 5.179 
875 .................... 585 5.962 
1250 .................. 585 5.8 
1625 .................. 585 6.341 
2000 .................. 585 7.906 
2375 .................. 585 9.452 
2750 .................. 585 10.979 
3125 .................. 585 13.019 
3500 .................. 585 13.966 
3875 .................. 585 15.661 
4250 .................. 585 16.738 
4625 .................. 585 17.935 
5000 .................. 585 19.272 
500 .................... 650 6.834 
875 .................... 650 7.316 
1250 .................. 650 5.632 
1625 .................. 650 6.856 
2000 .................. 650 8.471 
2375 .................. 650 10.068 
2750 .................. 650 11.671 
3125 .................. 650 14.655 
3500 .................. 650 14.804 
3875 .................. 650 16.539 
4250 .................. 650 18.415 
4625 .................. 650 19.152 
5000 .................. 650 20.33 ■138. Part 1037 is revised to read as 
follows: 
PART 1037—CONTROL OF EMISSIONS 
FROM NEW HEAVY-DUTY MOTOR VEHICLES 
Subpart A—Overview and Applicability 
Sec. C 
1037.1 Applicability. 1037.2 Who is responsible for compliance? 1037.5 Excluded vehicles. 1037.10 How is this part organized? 1037.15 Do any other regulation parts 
apply to me? 
1037.30 Submission of information. 
Subpart B—Emission Standards and 
Related Requirements 
1037.101 Overview of emission standards 
for heavy-duty vehicles. 
1037.102 Exhaust emission standards for 
NO
X, HC, PM, and CO. 
1037.103 Evaporative and refueling 
emission standards. 
1037.104 Exhaust emission standards for 
chassis-certified heavy-duty vehicles at 
or below 14,000 pounds GVWR. 
1037.105 CO 2emission standards for 
vocational vehicles. 
1037.106 Exhaust emission standards for 
tractors above 26,000 pounds GVWR. 
1037.107 Emission standards for trailers. 1037.115 Other requirements. 1037.120 Emission-related warranty 
requirements. 
1037.125 Maintenance instructions and 
allowable maintenance. 
1037.130 Assembly instructions for 
secondary vehicle manufacturers. 
1037.135 Labeling. 1037.140 Classifying vehicles and 
determining vehicle parameters. 
1037.150 Interim provisions. 
Subpart C—Certifying Vehicle Families 
1037.201 General requirements for 
obtaining a certificate of conformity. 
1037.205 What must I include in my 
application? 
1037.210 Preliminary approval before 
certification. 
1037.211 Preliminary approval for 
manufacturers of aerodynamic devices. 
1037.220 Amending maintenance 
instructions. 
1037.225 Amending applications for 
certification. 
1037.230 Vehicle families, sub-families, 
and configurations. 
1037.231 Powertrain families. 
1037.232 Axle and transmission families. 1037.235 Testing requirements for 
certification. 
1037.241 Demonstrating compliance with 
exhaust emission standards for greenhouse gas pollutants. 
1037.243 Demonstrating compliance with 
evaporative emission standards. 
1037.250 Reporting and recordkeeping. 
1037.255 What decisions may EPA make 
regarding my certificate of conformity? Subpart D—Testing Production Vehicles 
and Engines 
1037.301 Overview of measurements 
related to GEM inputs in a selective 
enforcement audit. 
1037.305 Audit procedures for tractors— 
aerodynamic testing. 
1037.310 Audit procedures for trailers. 1037.315 Audit procedures related to 
powertrain testing. 
1037.320 Audit procedures for axles and 
transmissions. 
Subpart E—In-use Testing 
1037.401 General provisions. 
Subpart F—Test and Modeling Procedures 
1037.501 General testing and modeling 
provisions. 
1037.510 Duty-cycle exhaust testing. 
1037.515 Determining CO
2emissions to 
show compliance for trailers. 
1037.520 Modeling CO 2emissions to show 
compliance for vocational vehicles and tractors. 
1037.525 Aerodynamic measurements for 
tractors. 
1037.526 Aerodynamic measurements for 
trailers. 
1037.527 Aerodynamic measurements for 
vocational vehicles. 
1037.528 Coastdown procedures for 
calculating drag area (C
dA). 
1037.530 Wind-tunnel procedures for 
calculating drag area (C dA). 
1037.532 Using computational fluid 
dynamics to calculate drag area (C dA). 
1037.534 Constant-speed procedure for 
calculating drag area (C dA). 
1037.540 Special procedures for testing 
vehicles with hybrid power take-off. 
1037.550 Powertrain testing. 
1037.551 Engine-based simulation of 
powertrain testing. 
1037.555 Special procedures for testing 
Phase 1 hybrid systems. 
1037.560 Axle efficiency test. 1037.565 Transmission efficiency test. 
Subpart G—Special Compliance Provisions 
1037.601 General compliance provisions. 
1037.605 Installing engines certified to 
alternate standards for specialty vehicles. 
1037.610 Vehicles with off-cycle 
technologies. 
1037.615 Advanced technologies. 1037.620 Responsibilities for multiple 
manufacturers. 
1037.621 Delegated assembly. 1037.622 Shipment of partially complete 
vehicles to secondary vehicle manufacturers. 
1037.630 Special purpose tractors. 1037.631 Exemption for vocational vehicles 
intended for off-road use. 
1037.635 Glider kits and glider vehicles. 1037.640 Variable vehicle speed limiters. 1037.645 In-use compliance with family 
emission limits (FELs). 
1037.655 Post-useful life vehicle 
modifications. 
1037.660 Idle-reduction technologies. 1037.665 Production and in-use tractor 
testing. 
1037.670 Optional CO
2emission standards 
for tractors at or above 120,000 pounds GCWR. 
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Subpart H—Averaging, Banking, and 
Trading for Certification 
1037.701 General provisions. 
1037.705 Generating and calculating 
emission credits. 
1037.710 Averaging. 1037.715 Banking. 1037.720 Trading. 1037.725 What must I include in my 
application for certification? 
1037.730 ABT reports. 1037.735 Recordkeeping. 1037.740 Restrictions for using emission 
credits. 
1037.745 End-of-year CO
2credit deficits. 
1037.750 What can happen if I do not 
comply with the provisions of this subpart? 
1037.755 Information provided to the 
Department of Transportation. 
Subpart I—Definitions and Other Reference 
Information 
1037.801 Definitions. 
1037.805 Symbols, abbreviations, and 
acronyms. 
1037.810 Incorporation by reference. 1037.815 Confidential information. 1037.820 Requesting a hearing. 1037.825 Reporting and recordkeeping 
requirements. 
Appendix I to Part 1037—Heavy-duty 
Transient Test Cycle 
Appendix II to Part 1037—Power 
Take-Off Test Cycle 
Appendix III to Part 1037—Emission 
Control Identifiers 
Appendix IV to Part 1037—Heavy- 
duty Grade Profile for Phase 2 Steady- 
State Test Cycles 
Appendix V to Part 1037—Power 
Take-Off Utility Factors 
Authority: 42 U.S.C. 7401—7671q. 
Subpart A—Overview and Applicability 
§ 1037.1 Applicability. 
(a) This part contains standards and 
other regulations applicable to the emission of the air pollutant defined as the aggregate group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. The regulations in this part 1037 apply for all new heavy-duty vehicles, except as provided in §§ 1037.5 and 1037.104. This includes electric vehicles and vehicles fueled by conventional and alternative fuels. This also includes certain trailers as described in §§ 1037.5, 1037.150, and 1037.801. 
(b) The provisions of this part apply 
for alternative fuel conversions as specified in 40 CFR part 85, subpart F. 
§ 1037.2 Who is responsible for 
compliance? 
The regulations in this part 1037 
contain provisions that affect both 
vehicle manufacturers and others. However, the requirements of this part are generally addressed to the vehicle manufacturer(s). The term ‘‘you’’ generally means the vehicle manufacturer(s), especially for issues related to certification. See § 1037.801 for the definition of ‘‘manufacturer’’ and § 1037.620 for provisions related to compliance when there are multiple entities meeting the definition of ‘‘manufacturer.’’ Additional requirements and prohibitions apply to other persons as specified in subpart G of this part and 40 CFR part 1068. 
§ 1037.5 Excluded vehicles. 
Except for the definitions specified in 
§ 1037.801, this part does not apply to the following vehicles: 
(a) Vehicles not meeting the definition 
of ‘‘motor vehicle’’ in § 1037.801. 
(b) Vehicles excluded from the 
definition of ‘‘heavy-duty vehicle’’ in § 1037.801 because of vehicle weight, weight rating, and frontal area (such as light-duty vehicles and light-duty trucks). 
(c) Vehicles produced in model years 
before 2014, unless they were certified under § 1037.150. 
(d) Medium-duty passenger vehicles 
and other vehicles subject to the light- duty greenhouse gas standards of 40 CFR part 86. See 40 CFR 86.1818 for greenhouse gas standards that apply for these vehicles. An example of such a vehicle would be a vehicle meeting the definition of ‘‘heavy-duty vehicle’’ in § 1037.801 and 40 CFR 86.1803, but also meeting the definition of ‘‘light truck’’ in 40 CFR 86.1818–12(b)(2). 
(e) Vehicles subject to the heavy-duty 
greenhouse gas standards of 40 CFR part 86. See 40 CFR 86.1819 for greenhouse gas standards that apply for these vehicles. This generally applies for complete heavy-duty vehicles at or below 14,000 pounds GVWR. 
(f) Aircraft meeting the definition of 
‘‘motor vehicle’’. For example, this would include certain convertible aircraft that can be adjusted to operate on public roads. Standards apply separately to certain aircraft engines, as described in 40 CFR part 87. 
(g) Non-box trailers other than flatbed 
trailers, tank trailers, and container chassis. 
(h) Trailers meeting one or more of 
the following characteristics: 
(1) Trailers with four or more axles 
and trailers less than 35 feet long with three axles (i.e., trailers intended for 
hauling very heavy loads). 
(2) Trailers intended for temporary or 
permanent residence, office space, or other work space, such as campers, mobile homes, and carnival trailers. (3) Trailers with a gap of at least 120 
inches between adjacent axle centerlines. In the case of adjustable axle spacing, this refers to the closest possible axle positioning. 
(4) Trailers built before January 1, 
2018. 
(5) Note that the definition of ‘‘trailer’’ 
in § 1037.801 excludes equipment that serves similar purposes but are not intended to be pulled by a tractor. This exclusion applies to such equipment whether or not they are known commercially as trailers. For example, any equipment pulled by a heavy-duty vehicle with a pintle hook or hitch instead of a fifth wheel does not qualify as a trailer under this part. 
(i) Where it is unclear, you may ask 
us to make a determination regarding the exclusions identified in this section. We recommend that you make your request before you produce the vehicle. 
§ 1037.10 How is this part organized? 
This part 1037 is divided into the 
following subparts: 
(a) Subpart A of this part defines the 
applicability of part 1037 and gives an overview of regulatory requirements. 
(b) Subpart B of this part describes the 
emission standards and other requirements that must be met to certify vehicles under this part. Note that § 1037.150 discusses certain interim requirements and compliance provisions that apply only for a limited time. 
(c) Subpart C of this part describes 
how to apply for a certificate of conformity for vehicles subject to the standards of § 1037.105 or § 1037.106. 
(d) Subpart D of this part addresses 
testing of production vehicles. 
(e) Subpart E of this part addresses 
testing of in-use vehicles. 
(f) Subpart F of this part describes 
how to test your vehicles and perform emission modeling (including references to other parts of the Code of Federal Regulations) for vehicles subject to the standards of § 1037.105 or § 1037.106. 
(g) Subpart G of this part and 40 CFR 
part 1068 describe requirements, prohibitions, and other provisions that apply to manufacturers, owners, operators, rebuilders, and all others. Section 1037.601 describes how 40 CFR part 1068 applies for heavy-duty vehicles. 
(h) Subpart H of this part describes 
how you may generate and use emission credits to certify vehicles. 
(i) Subpart I of this part contains 
definitions and other reference information. 
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§ 1037.15 Do any other regulation parts 
apply to me? 
(a) Parts 1065 and 1066 of this chapter 
describe procedures and equipment 
specifications for testing engines and vehicles to measure exhaust emissions. Subpart F of this part 1037 describes how to apply the provisions of part 1065 and part 1066 of this chapter to determine whether vehicles meet the exhaust emission standards in this part. 
(b) As described in § 1037.601, certain 
requirements and prohibitions of part 1068 of this chapter apply to everyone, including anyone who manufactures, imports, installs, owns, operates, or rebuilds any of the vehicles subject to this part 1037. Part 1068 of this chapter describes general provisions that apply broadly, but do not necessarily apply for all vehicles or all persons. The issues addressed by these provisions include these seven areas: 
(1) Prohibited acts and penalties for 
manufacturers and others. 
(2) Rebuilding and other aftermarket 
changes. 
(3) Exclusions and exemptions for 
certain vehicles. 
(4) Importing vehicles. 
(5) Selective enforcement audits of 
your production. 
(6) Recall. (7) Procedures for hearings. (c) [Reserved] 
(d) Other parts of this chapter apply 
if referenced in this part. 
§ 1037.30 Submission of information. 
Unless we specify otherwise, send all 
reports and requests for approval to the Designated Compliance Officer (see § 1037.801). See § 1037.825 for additional reporting and recordkeeping provisions. 
Subpart B—Emission Standards and 
Related Requirements 
§ 1037.101 Overview of emission 
standards for heavy-duty vehicles. 
(a) This part specifies emission 
standards for certain vehicles and for 
certain pollutants. This part contains standards and other regulations applicable to the emission of the air pollutant defined as the aggregate group of six greenhouse gases: Carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. 
(b) The regulated emissions are 
addressed in four groups: 
(1) Exhaust emissions of NO
x, HC, 
PM, and CO. These pollutants are sometimes described collectively as ‘‘criteria pollutants’’ because they are either criteria pollutants under the Clean Air Act or precursors to the criteria pollutant ozone. These pollutants are also sometimes described collectively as ‘‘non-greenhouse gas pollutants’’, although they do not necessarily have negligible global warming potential. As described in § 1037.102, standards for these pollutants are provided in 40 CFR part 86. 
(2) Exhaust emissions of CO
2,CH 4, 
and N2O. These pollutants are described 
collectively in this part as ‘‘greenhouse gas pollutants’’ because they are regulated primarily based on their impact on the climate. These standards are provided in §§ 1037.105 through 1037.107. 
(3) Hydrofluorocarbons. These 
pollutants are also ‘‘greenhouse gas pollutants’’ but are treated separately from exhaust greenhouse gas pollutants listed in paragraph (b)(2) of this section. These standards are provided in § 1037.115. 
(4) Fuel evaporative emissions. These 
requirements are described in § 1037.103. 
(c) The regulated heavy-duty vehicles 
are addressed in different groups as follows: 
(1) For criteria pollutants, vocational 
vehicles and tractors are regulated based on gross vehicle weight rating (GVWR), whether they are considered ‘‘spark- ignition’’ or ‘‘compression-ignition,’’ and whether they are first sold as complete or incomplete vehicles. 
(2) For greenhouse gas pollutants, 
vehicles are regulated in the following groups: 
(i) Tractors above 26,000 pounds 
GVWR. 
(ii) Trailers. 
(iii) Vocational vehicles. (3) The greenhouse gas emission 
standards apply differently depending 
on the vehicle service class as described in § 1037.140. In addition, standards apply differently for vehicles with spark-ignition and compression-ignition engines. References in this part 1037 to ‘‘spark-ignition’’ or ‘‘compression- ignition’’ generally relate to the application of standards under 40 CFR 1036.140. For example, a vehicle with an engine certified to spark-ignition standards under 40 CFR part 1036 is generally subject to requirements under this part 1037 that apply for spark- ignition vehicles. However, note that emission standards for heavy heavy- duty engines are considered to be compression-ignition standards for purposes of applying vehicle emission standards under this part. Also, for spark-ignition engines voluntarily certified as compression-ignition engines under 40 CFR part 1036, you must choose at certification whether your vehicles are subject to spark- ignition standards or compression- ignition standards. 
(4) For evaporative and refueling 
emissions, vehicles are regulated based on the type of fuel they use. Vehicles fueled with volatile liquid fuels or gaseous fuels are subject to evaporative emission standards. Vehicles up to a certain size that are fueled with gasoline, diesel fuel, ethanol, methanol, or LPG are subject to refueling emission standards. 
§ 1037.102 Exhaust emission standards 
for NO X, HC, PM, and CO. 
See 40 CFR part 86 for the exhaust 
emission standards for NO X, HC, PM, 
and CO that apply for heavy-duty 
vehicles. 
§ 1037.103 Evaporative and refueling 
emission standards. 
(a) Applicability. Evaporative and 
refueling emission standards apply to 
heavy-duty vehicles as follows: 
(1) Complete and incomplete heavy- 
duty vehicles at or below 14,000 pounds GVWR must meet evaporative and refueling emission standards as specified in 40 CFR part 86, subpart S, instead of the requirements specified in this section. 
(2) Heavy-duty vehicles above 14,000 
pounds GVWR that run on volatile liquid fuel (such as gasoline or ethanol) or gaseous fuel (such as natural gas or LPG) must meet evaporative and refueling emission standards as specified in this section. 
(b) Emission standards. The 
evaporative and refueling emission standards and measurement procedures specified in 40 CFR 86.1813 apply for vehicles above 14,000 pounds GVWR, except as described in this section. The evaporative emission standards phase in over model years 2018 through 2022, with provisions allowing for voluntary compliance with the standards as early as model year 2015. Count vehicles subject to standards under this section the same as heavy-duty vehicles at or below 14,000 pounds GVWR to comply with the phase-in requirements specified in 40 CFR 86.1813. These vehicles may generate and use emission credits as described in 40 CFR part 86, subpart S, but only for vehicles that are tested for certification instead of relying on the provisions of paragraph (c) of this section. The following provisions apply instead of what is specified in 40 CFR 86.1813: 
(1) The refueling standards in 40 CFR 
86.1813–17(b) apply to complete vehicles starting in model year 2022; they are optional for incomplete vehicles. 
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(2) The leak standard in 40 CFR 
86.1813–17(a)(4) does not apply. 
(3) The FEL cap relative to the diurnal 
plus hot soak standard for low-altitude 
testing is 1.9 grams per test. 
(4) The diurnal plus hot soak standard 
for high-altitude testing is 2.3 grams per test. 
(5) Testing does not require 
measurement of exhaust emissions. Disregard references in subpart B of this part to procedures, equipment specifications, and recordkeeping related to measuring exhaust emissions. All references to the exhaust test under 40 CFR part 86, subpart B, are considered the ‘‘dynamometer run’’ as part of the evaporative testing sequence under this subpart. 
(6) Vehicles not yet subject to the Tier 
3 standards in 40 CFR 86.1813 must meet evaporative emission standards as specified in 40 CFR 86.008–10(b)(1) and (2) for Otto-cycle applications and 40 CFR 86.007–11(b)(3)(ii) and (b)(4)(ii) for diesel-cycle applications. 
(c) Compliance demonstration. You 
may provide a statement in the application for certification that vehicles above 14,000 pounds GVWR 
comply with evaporative and refueling emission standards instead of submitting test data if you include an engineering analysis describing how vehicles include design parameters, equipment, operating controls, or other elements of design that adequately demonstrate that vehicles comply with the standards. We would expect emission control components and systems to exhibit a comparable degree of control relative to vehicles that comply based on testing. For example, vehicles that comply under this paragraph (c) should rely on comparable material specifications to limit fuel permeation, and components should be sized and calibrated to correspond with the appropriate fuel capacities, fuel flow rates, purge strategies, and other vehicle operating characteristics. You may alternatively show that design parameters are comparable to those for vehicles at or below 14,000 pounds GVWR certified under 40 CFR part 86, subpart S. 
(d) CNG refueling requirement. 
Compressed natural gas vehicles must meet the requirements for fueling connection devices as specified in 40 CFR 86.1813–17(f)(1). Vehicles meeting these requirements are deemed to comply with evaporative and refueling emission standards. 
(e) LNG refueling requirement. Fuel 
tanks for liquefied natural gas vehicles must meet the hold-time requirements in Section 4.2 of SAE J2343 (incorporated by reference in § 1037.810), as modified by this 
paragraph (e). All pressures noted are gauge pressure. Vehicles with tanks meeting these requirements are deemed to comply with evaporative and refueling emission standards. The provisions of this paragraph (e) are optional for vehicles produced before January 1, 2020. The hold-time 
requirements of SAE J2343 apply, with the following clarifications and additions: 
(1) Hold time must be at least 120 
hours. Use the following procedure to determine hold time for an LNG fuel tank that will be installed on a heavy- duty vehicle: 
(i) Prepare the stored (offboard) fuel 
and the vehicle such that tank pressure after the refueling event stabilizes below 690 kPa. 
(ii) Fill the tank to the point of 
automatic shutoff using a conventional refueling system. This is intended to achieve a net full condition. 
(iii) The hold time starts when tank 
pressure increases to 690 kPa, and ends when the tank first vents for pressure relief. Use good engineering judgment to document the point at which the pressure-relief valve opens. 
(iv) Keep the tank at rest away from 
direct sun with ambient temperatures between (10 and 30) °C throughout the measurement procedure. 
(2) Following a complete refueling 
event as described in paragraph (e)(1) of this section and a short drive, installed tanks may not increase in pressure by more than 9 kPa per hour over a minimum 12 hour interval when parked away from direct sun with ambient temperatures at or below 30 °C. Calculate the allowable pressure gain by multiplying the park time in hours by 9 and rounding to the nearest whole number. Do not include the first hour after engine shutdown, and start the test only when tank pressure is between 345 and 900 kPa. 
(3) The standards described in this 
paragraph (e) apply over the vehicle’s useful life as specified in paragraph (f) of this section. The warranty requirements of § 1037.120 also apply for these standards. 
(4) You may specify any amount of 
inspection and maintenance, consistent with good engineering judgment, to ensure that tanks meet the standards in this paragraph (e) during and after the useful life. 
(f) Useful life. The evaporative 
emission standards of this section apply for the full useful life, expressed in service miles or calendar years, whichever comes first. The useful life values for the standards of this section are the same as the values described for evaporative emission standards in 40 CFR 86.1805. 
(g) Auxiliary engines and separate 
fuel systems. The provisions of this paragraph (g) apply for vehicles with auxiliary engines. This includes any engines installed in the final vehicle configuration that contribute no motive power through the vehicle’s transmission. 
(1) Auxiliary engines and associated 
fuel-system components must be installed when testing complete vehicles. If the auxiliary engine draws fuel from a separate fuel tank, you must fill the extra fuel tank before the start of diurnal testing as described for the vehicle’s main fuel tank. Use good engineering judgment to ensure that any nonmetal portions of the fuel system related to the auxiliary engine have reached stabilized levels of permeation emissions. The auxiliary engine must not operate during the running loss test or any other portion of testing under this section. 
(2) For testing with incomplete 
vehicles, you may omit installation of auxiliary engines and associated fuel- system components as long as those components installed in the final configuration are certified to meet the applicable emission standards for Small SI equipment described in 40 CFR 1054.112 or for Large SI engines in 40 CFR 1048.105. For any fuel-system components that you do not install, your installation instructions must describe this certification requirement. 
§ 1037.104 Exhaust emission standards 
for chassis-certified heavy-duty vehicles at or below 14,000 pounds GVWR. 
Heavy-duty vehicles at or below 
14,000 pounds GVWR are not subject to 
the provisions of this part 1037 if they are subject to 40 CFR part 86, subpart S, including all vehicles certified under 40 CFR part 86, subpart S. See especially 40 CFR 86.1819 and 86.1865 for emission standards and compliance provisions that apply for these vehicles. 
§ 1037.105 CO 2emission standards for 
vocational vehicles. 
(a) The standards of this section apply 
for the following vehicles: 
(1) Heavy-duty vehicles at or below 
14,000 pounds GVWR that are excluded from the standards in 40 CFR 86.1819 or that use engines certified under § 1037.150(m). 
(2) Vehicles above 14,000 pounds 
GVWR and at or below 26,000 pounds GVWR, but not certified to the vehicle standards in 40 CFR 86.1819. 
(3) Vehicles above 26,000 pounds 
GVWR that are not tractors. 
(4) Vocational tractors. 
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(b) CO 2standards in this paragraph (b) 
apply based on modeling and testing as 
specified in subpart F of this part. The provisions of § 1037.241 specify how to comply with these standards. Standards differ based on engine cycle, vehicle 
size, and intended vehicle duty cycle. See § 1037.510(c) to determine which duty cycle applies. (1) Model year 2027 and later vehicles 
are subject to CO
2standards 
corresponding to the selected 
subcategories as shown in the following table: 
TABLE 1 OF§ 1037.105—P HASE 2 CO 2STANDARDS FOR MODEL YEAR2027 ANDLATER VOCATIONAL VEHICLES  
[g/ton-mile] 
Engine cycle Vehicle size Multi-purpose Regional Urban 
Compression-ignition ...................................... Light HDV ....................................................... 330 291 367 
Compression-ignition ...................................... Medium HDV .................................................. 235 218 258 
Compression-ignition ...................................... Heavy HDV .................................................... 230 189 269 
Spark-ignition .................................................. Light HDV ...................................................... . 372 319 413 
Spark-ignition .................................................. Medium HDV .................................................. 268 247 297 
(2) Model year 2024 through 2026 
vehicles are subject to CO 2standards 
corresponding to the selected subcategories as shown in the following 
table: 
TABLE 2 OF§ 1037.105—P HASE 2 CO 2STANDARDS FOR MODEL YEAR2024 T HROUGH 2026 V OCATIONAL VEHICLES  
[g/ton-mile] 
Engine cycle Vehicle size Multi-purpose Regional Urban 
Compression-ignition ...................................... Light HDV ....................................................... 344 296 385 
Compression-ignition ...................................... Medium HDV .................................................. 246 221 271 
Compression-ignition ...................................... Heavy HDV .................................................... 242 194 283 
Spark-ignition .................................................. Light HDV ...................................................... . 385 324 432 
Spark-ignition .................................................. Medium HDV .................................................. 279 251 310 
(3) Model year 2021 Through 2023 
vehicles are subject to CO 2standards 
corresponding to the selected subcategories as shown in the following table: 
TABLE 3 OF§ 1037.105—P HASE 2 CO 2STANDARDS FOR MODEL YEAR2021 T HROUGH 2023 V OCATIONAL VEHICLES  
[g/ton-mile] 
Engine cycle Vehicle size Multi-purpose Regional Urban 
Compression-ignition ...................................... Light HDV ....................................................... 373 311 424 
Compression-ignition ...................................... Medium HDV .................................................. 265 234 296 
Compression-ignition ...................................... Heavy HDV .................................................... 261 205 308 
Spark-ignition .................................................. Light HDV ...................................................... . 407 335 461 
Spark-ignition .................................................. Medium HDV .................................................. 293 261 328 
(4) Model year 2014 through 2020 
vehicles are subject to Phase 1 CO 2 standards as shown in the following 
table: 
TABLE 4 OF§ 1037.105—P HASE 1 CO 2STANDARDS FOR MODEL YEAR2014 T HROUGH 2020 V OCATIONAL VEHICLES  
[g/ton-mile] 
Vehicle size CO 2standard for 
model years 
2014–2016 CO 2standard for 
model year 2017 
and later 
Light HDV ...................................................................................................................... .................................. 388 373 
Medium HDV ..................................................................................................................... .............................. 234 225 
Heavy HDV ...................................................................................................................... ................................ 226 222 
(c) No CH 4or N 2O standards apply 
under this section. See 40 CFR part 1036 
for CH 4or N 2O standards that apply to 
engines used in these vehicles. (d) You may generate or use emission 
credits for averaging, banking, and trading to demonstrate compliance with the standards in paragraph (b) of this section as described in subpart H of this part. This requires that you specify a Family Emission Limit (FEL) for CO
2for 
each vehicle subfamily. The FEL may not be less than the result of emission modeling from § 1037.520. These FELs 
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serve as the emission standards for the 
vehicle subfamily instead of the standards specified in paragraph (b) of this section. 
(e) The exhaust emission standards of 
this section apply for the full useful life, expressed in service miles or calendar years, whichever comes first. The following useful life values apply for the standards of this section: 
(1) 150,000 miles or 15 years, 
whichever comes first, for Light HDV. 
(2) 185,000 miles or 10 years, 
whichever comes first, for Medium HDV. 
(3) 435,000 miles or 10 years, 
whichever comes first, for Heavy HDV. 
(f) See § 1037.631 for provisions that 
exempt certain vehicles used in off-road operation from the standards of this section. 
(g) You may optionally certify a 
vocational vehicle to the standards and useful life applicable to a heavier vehicle service class (such as Medium HDV instead of Light HDV). Provisions related to generating emission credits apply as follows: 
(1) If you certify all your vehicles 
from a given vehicle service class in a given model year to the standards and useful life that applies for a heavier vehicle service class, you may generate credits as appropriate for the heavier service class. 
(2) Class 8 hybrid vehicles with light 
or medium heavy-duty engines may be certified to compression-ignition standards for the Heavy HDV service class. You may generate and use credits as allowed for the Heavy HDV service class. 
(3) Except as specified in paragraphs 
(g)(1) and (2) of this section, you may not generate credits with the vehicle. If you include lighter vehicles in a subfamily of heavier vehicles with an FEL below the standard, exclude the production volume of lighter vehicles from the credit calculation. Conversely, if you include lighter vehicles in a subfamily with an FEL above the standard, you must include the production volume of lighter vehicles in the credit calculation. 
(h) You may optionally certify certain 
vocational vehicles to alternative Phase 2 standards as specified in this paragraph (h) instead of the standards specified in paragraph (b) of this section. You may apply these provisions to any qualifying vehicles even though these standards were established for custom chassis. For example, large diversified vehicle manufacturers may certify vehicles to the refuse hauler standards of this section as long as the manufacturer ensures that those vehicles qualify as refuse haulers when placed into service. GEM simulates vehicle operation for each type of vehicle based on an assigned vehicle service class, independent of the vehicle’s actual characteristics, as shown in Table 5 of this section; however, standards apply for the vehicle’s useful life based on its actual characteristics as specified in paragraph (e) of this section. Vehicles certified to these standards must include the following statement on the emission control label: ‘‘THIS VEHICLE WAS CERTIFIED AS A [identify vehicle type as identified in Table 5 of this section] UNDER 40 CFR 1037.105(h)].’’ These custom-chassis standards apply as follows: 
(1) The following alternative emission 
standards apply by vehicle type and model year as follows: 
TABLE 5 OF§ 1037.105—P HASE 2 CUSTOM CHASSIS STANDARDS  
[g/ton-mile] 
Vehicle type1 Assigned vehicle service class MY 
2021–2026 MY 2027+ 
School bus .................................................................... Medium HDV ....................................... ......................... 291 271 
Motor home .................................................................. Medium HDV ......................................... ....................... 228 226 
Coach bus .................................................................... Heavy HDV ......................................... .......................... 210 205 
Other bus ...................................................................... Heavy HDV ....................................... ............................ 300 286 
Refuse hauler ............................................................... Heavy HDV .......................................... ......................... 313 298 
Concrete mixer ............................................................. Heavy HDV ........................................... ........................ 319 316 
Mixed-use vehicle ......................................................... Heavy HDV ............................................ ....................... 319 316 
Emergency vehicle ....................................................... Heavy HDV .............................................. ..................... 324 319 
1Vehicle types are generally defined in § 1037.801. ‘‘Other bus’’ includes any bus that is not a school bus or a coach bus. A ‘‘mixed-use vehi-
cle’’ is one that meets at least one of the criteria specified in § 1037.631(a)(1) and at least one of the criteria in § 1037.631(a)(2), but not both. 
(2) You may generate or use emission 
credits for averaging to demonstrate 
compliance with the alternative standards as described in subpart H of this part. This requires that you specify a Family Emission Limit (FEL) for CO
2 
for each vehicle subfamily. The FEL may not be less than the result of emission modeling as described in 
§ 1037.520. These FELs serve as the emission standards for the vehicle subfamily instead of the standards specified in this paragraph (h). Calculate credits using the equation in § 1037.705(b) with the standard payload for the assigned vehicle service class and the useful life identified in paragraph (e) of this section. Each separate vehicle type identified in Table 5 of this section (or group of vehicle types identified in a single row) 
represents a separate averaging set. You may not use averaging for vehicles meeting standards under paragraph (h)(5) through (7) of this section, and you may not bank or trade emission 
credits from any vehicles certified under this paragraph (h). 
(3) [Reserved] 
(4) For purposes of emission modeling 
under § 1037.520, consider motor homes 
and coach buses to be subject to the Regional duty cycle, and consider all other vehicles to be subject to the Urban duty cycle. 
(5) Emergency vehicles are deemed to 
comply with the standards of this paragraph (h) if they use tires with TRRL at or below 8.4 kg/tonne (8.7 g/ tonne for model years 2021 through 
2026). 
(6) Concrete mixers and mixed-use 
vehicles are deemed to comply with the standards of this paragraph (h) if they use tires with TRRL at or below 7.1 kg/ tonne (7.6 g/tonne for model years 2021 through 2026). 
(7) Motor homes are deemed to 
comply with the standards of this paragraph (h) if they have tires with TRRL at or below 6.0 kg/tonne (6.7 g/ tonne for model years 2021 through 2026) and automatic tire inflation systems or tire pressure monitoring systems with wheels on all axles. 
(8) Vehicles certified to standards 
under this paragraph (h) must use engines certified under 40 CFR part 1036 for the appropriate model year, 
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except that motor homes and emergency 
vehicles may use engines certified with the loose-engine provisions of § 1037.150(m). This also applies for vehicles meeting standards under paragraphs (h)(5) through (7) of this section. § 1037.106 Exhaust emission standards 
for tractors above 26,000 pounds GVWR. 
(a) The CO 2standards of this section 
apply for tractors above 26,000 pounds 
GVWR. Note that the standards of this section do not apply for vehicles classified as ‘‘vocational tractors’’ under § 1037.630. (b) The CO
2standards for tractors 
above 26,000 pounds GVWR in Table 1 
of this section apply based on modeling and testing as described in subpart F of this part. The provisions of § 1037.241 specify how to comply with these standards. 
TABLE 1 OF§ 1037.106—CO 2STANDARDS FOR CLASS 7 ANDCLASS 8 TRACTORS BY MODEL YEAR 
[g/ton-mile] 
Subcategory1 Phase 1 
standards for 
model years 
2014–2016 Phase 1 
standards for 
model years 
2017–2020 Phase 2 
standards for 
model years 
2021–2023 Phase 2 
standards for 
model years 
2024–2026 Phase 2 
standards for 
model year 
2027 and later 
Class 7 Low-Roof (all cab styles) ........................................ 107 104 105.5 99.8 96.2 
Class 7 Mid-Roof (all cab styles) ......................................... 119 115 113.2 107.1 103.4 
Class 7 High-Roof (all cab styles) ....................................... 124 120 113.5 106.6 100.0 
Class 8 Low-Roof Day Cab ................................................. 81 80 80.5 76.2 73.4 
Class 8 Low-Roof Sleeper Cab ........................................... 68 66 72.3 68.0 64.1 
Class 8 Mid-Roof Day Cab .................................................. 88 86 85.4 80.9 78.0 
Class 8 Mid-Roof Sleeper Cab ............................................ 76 73 78.0 73.5 69.6 
Class 8 High-Roof Day Cab ................................................ 92 89 85.6 80.4 75.7 
Class 8 High-Roof Sleeper Cab .......................................... 75 72 75.7 70.7 64.3 
Heavy-Haul Tractors ............................................................ ........................ ........................ 52.4 50.2 48.3 
1Sub-category terms are defined in § 1037.801. 
(c) No CH 4or N 2O standards apply 
under this section. See 40 CFR part 1036 
for CH 4or N 2O standards that apply to 
engines used in these vehicles. 
(d) You may generate or use emission 
credits for averaging, banking, and trading as described in subpart H of this part. This requires that you calculate a credit quantity if you specify a Family Emission Limit (FEL) that is different than the standard specified in this section for a given pollutant. The FEL may not be less than the result of emission modeling from § 1037.520. These FELs serve as the emission standards for the specific vehicle subfamily instead of the standards specified in paragraph (a) of this section. 
(e) The exhaust emission standards of 
this section apply for the full useful life, expressed in service miles or calendar years, whichever comes first. The following useful life values apply for the standards of this section: 
(1) 185,000 miles or 10 years, 
whichever comes first, for vehicles at or below 33,000 pounds GVWR. 
(2) 435,000 miles or 10 years, 
whichever comes first, for vehicles above 33,000 pounds GVWR. 
(f) You may optionally certify Class 7 
tractors to Class 8 standards as follows: 
(1) You may optionally certify 4×2 
tractors with heavy heavy-duty engines to the standards and useful life for Class 8 tractors, with no restriction on generating or using emission credits within the Class 8 averaging set. (2) You may optionally certify Class 7 
tractors not covered by paragraph (f)(1) of this section to the standards and useful life for Class 8 tractors. Credit provisions apply as follows: 
(i) If you certify all your Class 7 
tractors to Class 8 standards, you may use these Heavy HDV credits without restriction. 
(ii) This paragraph (f)(2)(ii) applies if 
you certify some Class 7 tractors to Class 8 standards under this paragraph (f)(2) but not all of them. If you include Class 7 tractors in a subfamily of Class 8 tractors with an FEL below the standard, exclude the production volume of Class 7 tractors from the credit calculation. Conversely, if you include Class 7 tractors in a subfamily of Class 8 tractors with an FEL above the standard, you must include the production volume of Class 7 tractors in the credit calculation. 
(g) Diesel auxiliary power units 
installed on tractors subject to standards under this section must meet PM standards as follows: 
(1) For model years 2021 through 
2023, the APU engine must be certified under 40 CFR part 1039 with a deteriorated emission level for PM at or below 0.15 g/kW-hr. 
(2) Starting in model year 2024, 
auxiliary power units installed on tractors subject to standards under this section must be certified to the PM emission standard specified in 40 CFR 1039.699. Selling, offering for sale, or introducing or delivering into commerce in the United States or importing into the United States a new tractor subject to this standard is a violation of 40 CFR 1068.101(a)(1) unless the auxiliary power unit has a valid certificate of conformity and the required label showing that it meets the PM standard of this paragraph (g)(2). 
(3) See § 1037.660(e) for requirements 
that apply for diesel APUs in model year 2020 and earlier tractors. 
§ 1037.107 Emission standards for trailers. 
The exhaust emission standards 
specified in this section apply to trailers based on the effect of trailer designs on the performance of the trailer in conjunction with a tractor; this accounts for the effect of the trailer on the tractor’s exhaust emissions, even though trailers themselves have no exhaust emissions. 
(a) Standards apply for trailers based 
on modeling and testing as described in subpart F of this part, as follows: 
(1) Different levels of stringency apply 
for box vans depending on features that may affect aerodynamic performance. You may optionally meet less stringent standards for different trailer types, which we characterize as follows: 
(i) For trailers 35 feet or longer, you 
may designate as ‘‘non-aero box vans’’ those box vans that have a rear lift gate or rear hinged ramp, and at least one of the following side features: Side lift gate, side-mounted pull-out platform, steps for side-door access, a drop-deck design, or belly boxes that occupy at least half the length of both sides of the trailer between the centerline of the landing gear and the leading edge of the 
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front wheels. For trailers less than 35 
feet long, you may designate as ‘‘non- aero box vans’’ any refrigerated box vans with at least one of the side features identified for longer trailers. 
(ii) You may designate as ‘‘partial-aero 
box vans’’ those box vans that have at least one of the side features identified in paragraph (a)(1)(i) of this section. 
Long box vans may also qualify as partial-aero box vans if they have a rear lift gate or rear hinged ramp. Note that this paragraph (a)(1)(ii) does not apply for box vans designated as ‘‘non-aero box vans’’ under paragraph (a)(1)(i) of this section. (iii) ‘‘Full-aero box vans’’ are box vans 
that are not designated as non-aero box 
vans or partial-aero box vans under this paragraph (a)(1). 
(2) CO
2standards apply for full-aero 
box vans as specified in the following 
table: 
TABLE 1 OF§ 1037.107—P HASE 2 CO 2STANDARDS FOR FULL-AEROBOXVANS 
[g/ton-mile] 
Model year Dry van Refrigerated van 
Short Long Short Long 
2018–2020 ....................................................................................................... 125.4 81.3 129. 1 83.0 
2021–2023 ....................................................................................................... 123.7 78.9 127. 5 80.6 
2024–2026 ....................................................................................................... 120.9 77.2 124. 7 78.9 
2027+ ............................................................................................................... 118.8 75.7 122.7 77.4 
(3) CO 2standards apply for partial- 
aero box vans as specified in the 
following table: 
TABLE 2 OF§ 1037.107—P HASE 2 CO 2STANDARDS FOR PARTIAL -AEROBOXVANS 
[g/ton-mile] 
Model year Dry van Refrigerated van 
Short Long Short Long 
2018–2020 ....................................................................................................... 125.4 81.3 129. 1 83.0 
2021+ ............................................................................................................... 123.7 80.6 127.5 82.3 
(4) Non-box trailers and non-aero box 
vans must meet standards as follows: 
(i) Trailers must use automatic tire 
inflation systems or tire pressure monitoring systems with wheels on all axles. 
(ii) Non-box trailers must use tires 
with a TRRL at or below 5.1 kg/tonne. 
Through model year 2020, non-box trailers may instead use tires with a TRRL at or below 6.0 kg/tonne. 
(iii) Non-aero box vans must use tires 
with a TRRL at or below 4.7 kg/tonne. Through model year 2020, non-aero box vans may instead use tires with a TRRL at or below 5.1 kg/tonne. 
(5) Starting in model year 2027, you 
may generate or use emission credits for averaging to demonstrate compliance with the standards specified in paragraph (a)(2) of this section as described in subpart H of this part. This requires that you specify a Family Emission Limit (FEL) for CO
2for each 
vehicle subfamily. The FEL may not be less than the result of the emission calculation in § 1037.515. The FEL may not be greater than the appropriate standard for model year 2018 trailers. These FELs serve as the emission standards for the specific vehicle subfamily instead of the standards specified in paragraph (a) of this section. You may not use averaging for non-box trailers, partial-aero box vans, or non-aero box vans that meet standards under paragraph (a)(3) or (a)(4) of this section, and you may not use emission credits for banking or trading for any trailers. 
(6) The provisions of § 1037.241 
specify how to comply with the standards of this section. 
(b) No CH
4, N2O, or HFC standards 
apply under this section. 
(c) The emission standards of this 
section apply for a useful life of 10 years. 
§ 1037.115 Other requirements. 
Vehicles required to meet the 
emission standards of this part must meet the following additional requirements, except as noted elsewhere in this part: 
(a) Adjustable parameters. Vehicles 
that have adjustable parameters must meet all the requirements of this part for any adjustment in the physically adjustable range. We may require that you set adjustable parameters to any specification within the adjustable range during any testing. See 40 CFR 86.094– 22 for information related to determining whether or not an operating parameter is considered adjustable. You must ensure safe vehicle operation 
throughout the physically adjustable range of each adjustable parameter, including consideration of production tolerances. Note that adjustable roof fairings and trailer rear fairings are 
deemed not to be adjustable parameters. 
(b) Prohibited controls. You may not 
design your vehicles with emission control devices, systems, or elements of design that cause or contribute to an unreasonable risk to public health, welfare, or safety while operating. For example, this would apply if the vehicle emits a noxious or toxic substance it would otherwise not emit that contributes to such an unreasonable risk. 
(c) [Reserved] 
(d) Defeat devices. 40 CFR 1068.101 
prohibits the use of defeat devices. 
(e) Air conditioning leakage. Loss of 
refrigerant from your air conditioning 
systems may not exceed a total leakage rate of 11.0 grams per year or a percent leakage rate of 1.50 percent per year, whichever is greater. This applies for all refrigerants. Calculate the total leakage rate in g/year as specified in 40 CFR 86.1867–12(a). Calculate the percent leakage rate as: [total leakage rate (g/yr)] ÷ [total refrigerant capacity (g)] × 100. 
Round your percent leakage rate to the 
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nearest one-hundredth of a percent. 
This paragraph (e) does not apply for refrigeration units on trailers; similarly, this paragraph (e) does not apply for self-contained air conditioning or refrigeration units on vocational vehicles even if they draw electrical power from engines used to propel the vehicles. For purposes of this requirement, ‘‘refrigerant capacity’’ is the total mass of refrigerant recommended by the vehicle manufacturer as representing a full charge. Where full charge is specified as a pressure, use good engineering judgment to convert the pressure and system volume to a mass. If air conditioning systems with capacity above 3000 grams of refrigerant are designed such that a compliance demonstration under 40 CFR 86.1867– 12(a) is impossible or impractical, you may ask to use alternative means to demonstrate that your air conditioning system achieves an equivalent level of control. 
§ 1037.120 Emission-related warranty 
requirements. 
(a) General requirements. You must 
warrant to the ultimate purchaser and 
each subsequent purchaser that the new vehicle, including all parts of its emission control system, meets two conditions: 
(1) It is designed, built, and equipped 
so it conforms at the time of sale to the ultimate purchaser with the requirements of this part. 
(2) It is free from defects in materials 
and workmanship that cause the vehicle to fail to conform to the requirements of this part during the applicable warranty period. 
(b) Warranty period. (1) Your 
emission-related warranty must be valid for at least: 
(i) 5 years or 50,000 miles for Light 
HDV. 
(ii) 5 years or 100,000 miles for 
Medium HDV (except tires). 
(iii) 5 years for trailers (except tires). 
(iv) 1 year for tires installed on 
trailers, and 2 years or 24,000 miles for 
all other tires. 
(2) You may offer an emission-related 
warranty more generous than we require. The emission-related warranty for the vehicle may not be shorter than any basic mechanical warranty you provide to that owner without charge for the vehicle. Similarly, the emission- related warranty for any component may not be shorter than any warranty you provide to that owner without charge for that component. This means that your warranty for a given vehicle may not treat emission-related and nonemission-related defects differently for any component. The warranty period 
begins when the vehicle is placed into service. 
(c) Components covered. The 
emission-related warranty covers tires, automatic tire inflation systems, tire pressure monitoring systems, vehicle speed limiters, idle-reduction systems, hybrid system components, and devices added to the vehicle to improve 
aerodynamic performance (not including standard components such as hoods or mirrors even if they have been optimized for aerodynamics), to the extent such emission-related components are included in your application for certification. The emission-related warranty also covers other added emission-related components to the extent they are included in your application for certification. The emission-related warranty covers all components whose failure would increase a vehicle’s emissions of air conditioning refrigerants (for vehicles subject to air conditioning leakage standards), and it covers all components whose failure would increase a vehicle’s evaporative emissions (for vehicles subject to evaporative emission standards). The emission-related warranty covers these components even if another company produces the component. Your emission-related warranty does not need to cover components whose failure would not increase a vehicle’s emissions of any regulated pollutant. 
(d) Limited applicability. You may 
deny warranty claims under this section if the operator caused the problem through improper maintenance or use, as described in 40 CFR 1068.115. For example, it may be appropriate to require the seals on automatic tire inflation systems to be replaced during the warranty period. 
(e) Owners manual. Describe in the 
owners manual the emission-related warranty provisions from this section that apply to the vehicle. 
§ 1037.125 Maintenance instructions and 
allowable maintenance. 
Give the ultimate purchaser of each 
new vehicle written instructions for 
properly maintaining and using the vehicle, including the emission control system. The maintenance instructions also apply to service accumulation on any of your emission-data vehicles. See paragraph (i) of this section for requirements related to tire replacement. 
(a) Critical emission-related 
maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we approve it in advance. You may schedule critical emission-related maintenance on these components if you demonstrate that the maintenance is reasonably likely to be done at the recommended intervals on in-use vehicles. We will accept scheduled maintenance as reasonably likely to occur if you satisfy any of the following conditions: 
(1) You present data showing that, if 
a lack of maintenance increases emissions, it also unacceptably degrades the vehicle’s performance. 
(2) You present survey data showing 
that at least 80 percent of vehicles in the field get the maintenance you specify at the recommended intervals. 
(3) You provide the maintenance free 
of charge and clearly say so in your maintenance instructions. 
(4) You otherwise show us that the 
maintenance is reasonably likely to be done at the recommended intervals. 
(b) Recommended additional 
maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph (a) 
of this section, as long as you state clearly that these maintenance steps are not necessary to keep the emission- related warranty valid. If operators do the maintenance specified in paragraph (a) of this section, but not the recommended additional maintenance, this does not allow you to disqualify those vehicles from in-use testing or deny a warranty claim. Do not take these maintenance steps during service accumulation on your emission-data vehicles. 
(c) Special maintenance. You may 
specify more frequent maintenance to address problems related to special situations, such as atypical vehicle operation. You must clearly state that this additional maintenance is associated with the special situation you are addressing. We may disapprove your maintenance instructions if we determine that you have specified special maintenance steps to address vehicle operation that is not atypical, or that the maintenance is unlikely to occur in use. If we determine that certain maintenance items do not qualify as special maintenance under this paragraph (c), you may identify this as recommended additional maintenance under paragraph (b) of this section. 
(d) Noncritical emission-related 
maintenance. Subject to the provisions 
of this paragraph (d), you may schedule any amount of emission-related inspection or maintenance that is not covered by paragraph (a) of this section 
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(that is, maintenance that is neither 
explicitly identified as critical emission- related maintenance, nor that we approve as critical emission-related maintenance). Noncritical emission- related maintenance generally includes maintenance on the components we specify in 40 CFR part 1068, Appendix I, that is not covered in paragraph (a) of this section. You must state in the owners manual that these steps are not necessary to keep the emission-related warranty valid. If operators fail to do this maintenance, this does not allow you to disqualify those vehicles from in- use testing or deny a warranty claim. Do not take these inspection or maintenance steps during service accumulation on your emission-data vehicles. 
(e) Maintenance that is not emission- 
related. For maintenance unrelated to 
emission controls, you may schedule any amount of inspection or maintenance. You may also take these inspection or maintenance steps during service accumulation on your emission- data vehicles, as long as they are reasonable and technologically necessary. You may perform this nonemission-related maintenance on emission-data vehicles at the least frequent intervals that you recommend to the ultimate purchaser (but not the intervals recommended for severe service). 
(f) Source of parts and repairs. State 
clearly in your written maintenance instructions that a repair shop or person of the owner’s choosing may maintain, replace, or repair emission control devices and systems. Your instructions may not require components or service identified by brand, trade, or corporate name. Also, do not directly or indirectly condition your warranty on a requirement that the vehicle be serviced by your franchised dealers or any other service establishments with which you have a commercial relationship. You may disregard the requirements in this paragraph (f) if you do one of two things: 
(1) Provide a component or service 
without charge under the purchase agreement. 
(2) Get us to waive this prohibition in 
the public’s interest by convincing us the vehicle will work properly only with the identified component or service. 
(g) [Reserved] 
(h) Owners manual. Explain the 
owner’s responsibility for proper 
maintenance in the owners manual. 
(i) Tire maintenance and 
replacement. Include instructions that 
will enable the owner to replace tires so that the vehicle conforms to the original 
certified vehicle configuration. 
§ 1037.130 Assembly instructions for 
secondary vehicle manufacturers. 
(a) If you sell a certified incomplete 
vehicle to a secondary vehicle 
manufacturer, give the secondary vehicle manufacturer instructions for completing vehicle assembly consistent with the requirements of this part. Include all information necessary to ensure that the final vehicle assembly (including the engine for vehicles other than trailers) will be in its certified configuration. 
(b) Make sure these instructions have 
the following information: 
(1) Include the heading: ‘‘Emission- 
related installation instructions’’. 
(2) State: ‘‘Failing to follow these 
instructions when completing assembly of a heavy-duty motor vehicle violates federal law, subject to fines or other penalties as described in the Clean Air Act.’’ 
(3) Describe the necessary steps for 
installing any diagnostic system required under 40 CFR part 86. 
(4) Describe how your certification is 
limited for any type of application, as illustrated in the following examples: 
(i) If the incomplete vehicle is at or 
below 8,500 pounds GVWR, state that the vehicle’s certification is valid under this part 1037 only if the final configuration has a vehicle curb weight above 6,000 pounds or basic vehicle frontal area above 45 square feet. 
(ii) If your engine will be installed in 
a vehicle that you certify to meet 
diurnal emission standards using an evaporative canister, but you do not install the fuel tank, identify the maximum permissible fuel tank capacity. 
(5) Describe any other instructions to 
make sure the vehicle will operate according to design specifications in your application for certification. 
(c) Provide instructions in writing or 
in an equivalent format. You may include this information with the incomplete vehicle document required by DOT. If you do not provide the instructions in writing, explain in your application for certification how you will ensure that each installer is informed of the installation requirements. 
§ 1037.135 Labeling. 
(a) Assign each vehicle a unique 
identification number and permanently affix, engrave, or stamp it on the vehicle in a legible way. The vehicle identification number (VIN) serves this purpose. 
(b) At the time of manufacture, affix 
a permanent and legible label identifying each vehicle. The label must meet the requirements of 40 CFR 1068.45. 
(c) The label must— 
(1) Include the heading ‘‘VEHICLE 
EMISSION CONTROL 
INFORMATION’’. 
(2) Include your full corporate name 
and trademark. You may identify another company and use its trademark instead of yours if you comply with the branding provisions of 40 CFR 1068.45. 
(3) Include EPA’s standardized 
designation for the vehicle family. 
(4) State the regulatory subcategory 
that determines the applicable emission standards for the vehicle family (see definition in § 1037.801). 
(5) State the date of manufacture 
[DAY (optional), MONTH, and YEAR]. You may omit this from the label if you stamp, engrave, or otherwise permanently identify it elsewhere on the vehicle, in which case you must also describe in your application for certification where you will identify the date on the vehicle. 
(6) Identify the emission control 
system. Use terms and abbreviations as described in Appendix III to this part or other applicable conventions. Phase 2 tractors and Phase 2 vocational vehicles may omit this information. 
(7) Identify any requirements for fuel 
and lubricants that do not involve fuel- sulfur levels. 
(8) State: ‘‘THIS VEHICLE COMPLIES 
WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] HEAVY–DUTY VEHICLES.’’ 
(9) If you rely on another company to 
design and install fuel tanks in incomplete vehicles that use an evaporative canister for controlling diurnal emissions, include the following statement: ‘‘THIS VEHICLE IS DESIGNED TO COMPLY WITH EVAPORATIVE EMISSION STANDARDS WITH UP TO x GALLONS OF FUEL TANK CAPACITY.’’ Complete this statement by identifying the maximum specified fuel tank capacity associated with your certification. 
(d) You may add information to the 
emission control information label as follows: 
(1) You may identify other emission 
standards that the vehicle meets or does not meet (such as European standards). 
(2) You may add other information to 
ensure that the vehicle will be properly maintained and used. 
(3) You may add appropriate features 
to prevent counterfeit labels. For example, you may include the vehicle’s unique identification number on the label. 
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(e) You may ask us to approve 
modified labeling requirements in this 
part 1037 if you show that it is necessary or appropriate. We will approve your request if your alternate label is consistent with the requirements of this part. 
§ 1037.140 Classifying vehicles and 
determining vehicle parameters. 
(a) Where applicable, a vehicle’s roof 
height and a trailer’s length are 
determined from nominal design specifications, as provided in this section. Specify design values for roof height and trailer length to the nearest inch. 
(b) Base roof height on fully inflated 
tires having a static loaded radius equal to the arithmetic mean of the largest and smallest static loaded radius of tires you offer or a standard tire we approve. 
(c) Base trailer length on the outer 
dimensions of the load-carrying structure. Do not include aerodynamic devices or HVAC units. 
(d) The nominal design specifications 
must be within the range of the actual values from production vehicles considering normal production variability. In the case of roof height, use the mean tire radius specified in paragraph (b) of this section. If after production begins it is determined that your nominal design specifications do not represent production vehicles, we may require you to amend your application for certification under § 1037.225. 
(e) If your vehicle is equipped with an 
adjustable roof fairing, measure the roof height with the fairing in its lowest setting. 
(f) For any provisions in this part that 
depend on the number of axles on a vehicle, include lift axles or any other installed axles that can be used to carry the vehicle’s weight while in motion. 
(g) The standards and other 
provisions of this part apply to specific vehicle service classes for tractors and vocational vehicles as follows: 
(1) Phase 1 and Phase 2 tractors are 
divided based on GVWR into Class 7 tractors and Class 8 tractors. Where provisions apply to both tractors and vocational vehicles, Class 7 tractors are considered ‘‘Medium HDV’’ and Class 8 tractors are considered ‘‘Heavy HDV’’. 
(2) Phase 1 vocational vehicles are 
divided based on GVWR. ‘‘Light HDV’’ includes Class 2b through Class 5 vehicles; ‘‘Medium HDV includes Class 6 and Class 7 vehicles; and ‘‘Heavy HDV includes Class 8 vehicles. 
(3) Phase 2 vocational vehicles with 
spark-ignition engines are divided based on GVWR. ‘‘Light HDV’’ includes Class 2b through Class 5 vehicles, and ‘‘Medium HDV includes Class 6 through Class 8 vehicles. 
(4) Phase 2 vocational vehicles with 
compression-ignition engines are divided as follows: 
(i) Class 2b through Class 5 vehicles 
are considered ‘‘Light HDV’’. 
(ii) Class 6 through 8 vehicles are 
considered ‘‘Heavy HDV’’ if the installed engine’s primary intended service class is heavy heavy-duty (see 40 CFR 1036.140). All other Class 6 through Class 8 vehicles are considered ‘‘Medium HDV’’. 
(5) In certain circumstances, you may 
certify vehicles to standards that apply for a different vehicle service class. For example, see §§ 1037.105(g) and 1037.106(f). If you optionally certify vehicles to different standards, those vehicles are subject to all the regulatory requirements as if the standards were mandatory. 
(h) Use good engineering judgment to 
identify the intended duty cycle (Urban, Multi-Purpose, or Regional) for each of your vocational vehicle configurations based on the expected use of the vehicles. 
§ 1037.150 Interim provisions. 
The provisions in this section apply 
instead of other provisions in this part. 
(a) Incentives for early introduction. 
The provisions of this paragraph (a) apply with respect to tractors and vocational vehicles produced in model years before 2014. Manufacturers may voluntarily certify in model year 2013 (or earlier model years for electric vehicles) to the greenhouse gas standards of this part. 
(1) This paragraph (a)(1) applies for 
regulatory subcategories subject to the standards of § 1037.105 or § 1037.106. Except as specified in paragraph (a)(3) of this section, to generate early credits under this paragraph for any vehicles other than electric vehicles, you must certify your entire U.S.-directed production volume within the regulatory subcategory to these standards. Except as specified in paragraph (a)(4) of this section, if some vehicle families within a regulatory subcategory are certified after the start of the model year, you may generate credits only for production that occurs after all families are certified. For example, if you produce three vehicle families in an averaging set and you receive your certificates for those families on January 4, 2013, March 15, 2013, and April 24, 2013, you may not generate credits for model year 2013 production in any of the families that occurs before April 24, 2013. Calculate credits relative to the standard that would apply in model year 2014 using the equations in subpart H of this part. 
You may bank credits equal to the surplus credits you generate under this paragraph (a) multiplied by 1.50. For example, if you have 1.0 Mg of surplus credits for model year 2013, you may bank 1.5 Mg of credits. Credit deficits for an averaging set prior to model year 2014 do not carry over to model year 2014. These credits may be used to show compliance with the standards of this part for 2014 and later model years. We recommend that you notify EPA of your intent to use this provision before submitting your applications. 
(2) [Reserved] 
(3) You may generate emission credits 
for the number of additional SmartWay 
designated tractors (relative to your 2012 production), provided you do not generate credits for those vehicles under paragraph (a)(1) of this section. Calculate credits for each regulatory subcategory relative to the standard that would apply in model year 2014 using the equations in subpart H of this part. Use a production volume equal to the number of designated model year 2013 SmartWay tractors minus the number of designated model year 2012 SmartWay tractors. You may bank credits equal to the surplus credits you generate under this paragraph (a)(3) multiplied by 1.50. Your 2012 and 2013 model years must be equivalent in length. 
(4) This paragraph (a)(4) applies 
where you do not receive your final certificate in a regulatory subcategory within 30 days of submitting your final application for that subcategory. Calculate your credits for all production that occurs 30 days or more after you submit your final application for the subcategory. 
(b) Phase 1 coastdown procedures. 
For tractors subject to Phase 1 standards 
under § 1037.106, the default method for measuring drag area (C
dA) is the 
coastdown procedure specified in 40 CFR part 1066, subpart D. This includes preparing the tractor and the standard trailer with wheels meeting specifications of § 1037.528(b) and submitting information related to your coastdown testing under § 1037.528(h). 
(c) Provisions for small 
manufacturers. Standards apply on a 
delayed schedule for manufacturers meeting the small business criteria specified in 13 CFR 121.201. Apply the small business criteria for NAICS code 336120 for vocational vehicles and tractors and 336212 for trailers; the employee limits apply to the total number employees together for affiliated companies. Qualifying small manufacturers are not subject to the greenhouse gas standards of §§ 1037.105 and 1037.106 for vehicles with a date of 
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manufacture before January 1, 2022, 
Similarly, qualifying small manufacturers are not subject to the greenhouse gas standards of § 1037.107 for trailers with a date of manufacture before January 1, 2019. In addition, qualifying small manufacturers producing vehicles that run on any fuel other than gasoline, E85, or diesel fuel may delay complying with every later standard under this part by one model year. Qualifying manufacturers must notify the Designated Compliance Officer each model year before introducing these excluded vehicles into U.S. commerce. This notification must include a description of the manufacturer’s qualification as a small business under 13 CFR 121.201. You must label your excluded vehicles with the following statement: ‘‘THIS VEHICLE IS EXCLUDED UNDER 40 CFR 1037.150(c).’’ Small manufacturers may certify their vehicles under this part 1037 before standards start to apply; however, they may generate emission credits only if they certify their entire U.S.-directed production volume within the applicable averaging set for that model year. 
(d) Air conditioning leakage for 
vocational vehicles. The air conditioning leakage standard of § 1037.115 does not apply for model year 2020 and earlier vocational vehicles. 
(e) Delegated assembly. The 
delegated-assembly provisions of § 1037.621 do not apply before January 1, 2018. 
(f) Electric vehicles. Tailpipe 
emissions of regulated pollutants from electric vehicles (as defined in § 1037.801) are deemed to be zero. No emission testing is required for electric vehicles. Use good engineering judgment to apply other requirements of this part to electric vehicles. 
(g) Compliance date. Compliance with 
the standards of this part was optional prior to January 1, 2014. This means that if your 2014 model year begins before January 1, 2014, you may certify for a partial model year that begins on January 1, 2014 and ends on the day your model year would normally end. You must label model year 2014 vehicles excluded under this paragraph (g) with the following statement: ‘‘THIS VEHICLE IS EXCLUDED UNDER 40 CFR 1037.150(g).’’ 
(h) Off-road vehicle exemption. (1) 
Vocational vehicles with a date of manufacture before January 1, 2021 automatically qualify for an exemption under § 1037.631 if the tires installed on the vehicle have a maximum speed rating at or below 55 miles per hour. (2) In unusual circumstances, vehicle 
manufacturers may ask us to exempt vehicles under § 1037.631 based on other criteria that are equivalent to those specified in § 1037.631(a); however, we will normally not grant relief in cases where the vehicle manufacturer has credits or can otherwise comply with applicable standards. Request approval for an exemption under this paragraph (h) before you produce the subject vehicles. Send your request with supporting information to the Designated Compliance Officer; we will coordinate with NHTSA in making a determination under § 1037.210. If you introduce into U.S. commerce vehicles that depend on our approval under this paragraph (h) before we inform you of our approval, those vehicles violate 40 CFR 1068.101(a)(1). 
(i) Limited carryover from Phase 1 to 
Phase 2. The provisions for carryover data in § 1037.235(d) do not allow you to use aerodynamic test results from Phase 1 to support a compliance demonstration for Phase 2 certification. 
(j) Limited prohibition related to early 
model year engines. The provisions of this paragraph (j) apply only for vehicles that have a date of manufacture before January 1, 2018. See § 1037.635 for related provisions that apply in later model years. The prohibition in § 1037.601 against introducing into U.S. commerce a vehicle containing an engine not certified to the standards applicable for the calendar year of installation does not apply for vehicles using model year 2014 or 2015 spark- ignition engines, or any model year 2013 or earlier engines. 
(k) Verifying drag areas from in-use 
tractors. This paragraph (k) applies for 
tractors instead of § 1037.401(b) through model year 2020. We may measure the drag area of your vehicles after they have been placed into service. To account for measurement variability, your vehicle is deemed to conform to the regulations of this part with respect to aerodynamic performance if we measure its drag area to be at or below the maximum drag area allowed for the bin above the bin to which you certified (for example, Bin II if you certified the vehicle to Bin III), unless we determine that you knowingly produced the vehicle to have a higher drag area than is allowed for the bin to which it was certified. 
(l) Optional sister-vehicle certification 
under 40 CFR part 86. You may certify certain complete or cab-complete vehicles to the GHG standards of 40 CFR 86.1819 instead of the standards of § 1037.105 as specified in 40 CFR 86.1819–14(j). (m) Loose engine sales. Manufacturers 
may certify certain spark-ignition 
engines along with chassis-certified heavy-duty vehicles where they are identical to engines used in those vehicles as described in 40 CFR 86.1819–14(k)(8). Vehicles in which those engines are installed are subject to standards under this part as specified in § 1037.105. 
(n) Transition to engine-based model 
years. The following provisions apply 
for production and ABT reports during the transition to engine-based model year determinations for tractors and vocational vehicles in 2020 and 2021: 
(1) If you install model year 2020 or 
earlier engines in your vehicles in calendar year 2020, include all those Phase 1 vehicles in your production and ABT reports related to model year 2020 compliance, although we may require you identify these separately from vehicles produced in calendar year 2019. 
(2) If you install model year 2020 
engines in your vehicles in calendar year 2021, submit production and ABT 
reports for those Phase 1 vehicles separate from the reports you submit for Phase 2 vehicles with model year 2021 engines. 
(o) Interim useful life for light heavy- 
duty vocational vehicles. Class 2b through Class 5 vocational vehicles certified to Phase 1 standards are subject to a useful life of 110,000 miles or 10 years, whichever comes first, instead of the useful life specified in § 1037.105. For emission credits generated from these Phase 1 vehicles, multiply any banked credits that you carry forward to demonstrate compliance with Phase 2 standards by 1.36. 
(p) Credit multiplier for advanced 
technology. If you generate credits from 
Phase 1 vehicles certified with advanced technology, you may multiply these credits by 1.50, except that you may not apply this multiplier in addition to the early-credit multiplier of paragraph (a) of this section. If you generate credits from model year 2027 and earlier Phase 2 vehicles certified with advanced technology, you may multiply these credits by 3.5 for plug-in hybrid electric vehicles, 4.5 for electric vehicles, and 5.5 for fuel cell vehicles. 
(q) Vehicle families for advanced and 
off-cycle technologies. Apply the following provisions for grouping vehicles into families if you use off- cycle technologies under § 1037.610 or advanced technologies under § 1037.615: 
(1) For vocational vehicles and 
tractors subject to Phase 1 standards, create separate vehicle families for vehicles that contain advanced or off- 
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cycle technologies; group those vehicles 
together in a vehicle family if they use the same advanced or off-cycle technologies. 
(2) For vocational vehicles and 
tractors subject to Phase 2 standards, create separate vehicle families if there is a credit multiplier for advanced technology; group those vehicles together in a vehicle family if they use 
the same multiplier. 
(r) Conversion to mid- roof and high- 
roof configurations. Secondary vehicle manufacturers that qualify as small manufacturers may convert low- and mid-roof tractors to mid- and high-roof configurations without recertification for the purpose of building a custom sleeper tractor or converting it to run on natural gas, as follows: 
(1) The original low- or mid-roof 
tractor must be covered by a valid certificate of conformity. 
(2) The modifications may not 
increase the frontal area of the tractor beyond the frontal area of the equivalent mid- or high-roof tractor with the corresponding standard trailer. Note that these dimensions have a tolerance of ±2 inches. Use good engineering 
judgment to achieve aerodynamic performance similar to or better than the certifying manufacturer’s corresponding mid- or high-roof tractor. 
(3) Add a permanent supplemental 
label to the vehicle near the original manufacturer’s emission control information label. On the label identify your full corporate name and include the following statement: ‘‘THIS VEHICLE WAS MODIFIED AS ALLOWED UNDER 40 CFR 1037.150.’’ 
(4) We may require that you submit 
annual production reports as described in § 1037.250. 
(5) Modifications made under this 
paragraph (r) do not violate 40 CFR 1068.101(b)(1). 
(s) Confirmatory testing for F
alt-aero . If 
we conduct coastdown testing to verify your F
alt-aero value for Phase 2 tractors, 
we will make our determination using a statistical analysis consistent with the principles of SEA testing in § 1037.305. We will calculate confidence intervals using the same equations and will not replace your test results with ours if your result falls within our confidence interval or is greater than our test result. 
(t) Glider kits and glider vehicles. (1) 
Glider vehicles conforming to the requirements in this paragraph (t)(1) are exempt from the Phase 1 emission standards of this part 1037 prior to January 1, 2021. Engines in such vehicles (including vehicles produced after January 1, 2021) remain subject to the requirements of 40 CFR part 86 applicable for the engines’ original model year, but not subject to the Phase 1 or Phase 2 standards of 40 CFR part 1036 unless they were originally manufactured in model year 2014 or later. 
(i) You are eligible for this exemption 
if you are a small manufacturer and you sold one or more glider vehicles in 2014 under the provisions of § 1037.150(c). You do not qualify if you only produced glider vehicles for your own use. You must notify us of your plans to use this exemption before you introduce exempt vehicles into U.S. commerce. In your notification, you must identify your annual U.S.-directed production volume (and sales, if different) of such vehicles for calendar years 2010 through 2014. Vehicles you produce before notifying us are not exempt under this section. 
(ii) In a given calendar year, you may 
produce up to 300 exempt vehicles under this section, or up to the highest annual production volume you identify in paragraph (t)(1) of this section, whichever is less. 
(iii) Identify the number of exempt 
vehicles you produced under this exemption for the preceding calendar year in your annual report under § 1037.250. 
(iv) Include the appropriate statement 
on the label required under § 1037.135, as follows: 
(A) For Phase 1 vehicles, ‘‘THIS 
VEHICLE AND ITS ENGINE ARE EXEMPT UNDER 40 CFR 1037.150(t)(1).’’ 
(B) For Phase 2 vehicles, ‘‘THE 
ENGINE IN THIS VEHICLE IS EXEMPT UNDER 40 CFR 1037.150(t)(1).’’ 
(v) If you produce your glider vehicle 
by installing remanufactured or previously used components in a glider kit produced by another manufacturer, you must provide the following to the glider kit manufacturer prior to obtaining the glider kit: 
(A) Your name, the name of your 
company, and contact information. 
(B) A signed statement that you are a 
qualifying small manufacturer and that your production will not exceed the production limits of this paragraph (t)(1). This statement is deemed to be a submission to EPA, and we may require the glider kit manufacturer to provide a copy to us at any time. 
(vi) This exemption is valid for a 
given vehicle and engine only if you meet all the requirements and conditions of this paragraph (t)(1) that apply with respect to that vehicle and engine. Introducing such a vehicle into U.S. commerce without meeting all applicable requirements and conditions violates 40 CFR 1068.101(a)(1). 
(vii) Companies that are not small 
manufacturers may sell uncertified incomplete vehicles without engines to 
small manufacturers for the purpose of producing exempt vehicles under this paragraph (t)(1), subject to the provisions of § 1037.622. However, such companies must take reasonable steps to ensure that their incomplete vehicles will be used in conformance with the requirements of this part 1037. 
(2) Glider vehicles produced using 
engines certified to model year 2010 or later standards for all pollutants are subject to the same provisions that apply to vehicles using engines within their useful life in § 1037.635. 
(3) For calendar year 2017, you may 
produce a limited number of glider kits and/or glider vehicles subject to the requirements applicable to model year 2016 glider vehicles, instead of the requirements of § 1037.635. The limit applies to your combined 2017 production of glider kits and glider vehicles and is equal to your highest annual production of glider kits and glider vehicles for any year from 2010 to 2014. Any glider kits or glider vehicles produced beyond this cap are subject to the provisions of § 1037.635. Count any glider kits and glider vehicles you produce under paragraph (t)(1) of this section as part of your production with respect to this paragraph (t)(3). 
(u) Streamlined preliminary approval 
for trailer devices. Before January 1, 2018, manufacturers of aerodynamic devices for trailers may ask for preliminary EPA approval of compliance data for their devices based on qualifying for designation under the SmartWay program based on measured C
dAvalues, whether or not that involves 
testing or other methods specified in § 1037.526. Trailer manufacturers may certify based on DC
dAvalues established 
under this paragraph (u) through model year 2020. Manufacturers must perform testing as specified in subpart F of this part for any vehicles or aerodynamic devices not qualifying for approval under this paragraph (u). 
(v) Transitional allowances for 
trailers. Through model year 2026, 
trailer manufacturers may calculate a 
number of trailers that are exempt from the standards and certification requirements of this part. Calculate the number of exempt box vans in a given model year by multiplying your total U.S.-directed production volume of certified box vans by 0.20 and rounding to the nearest whole number; however, in no case may the number of exempted box vans be greater than 350 units in any given model year. Repeat this calculation to determine the number of non-box trailers, up to 250 annual units, that are exempt from standards and certification requirements. Perform the 
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calculation based on your projected 
production volumes in the first year that standards apply; in later years, use actual production volumes from the preceding model year. Include these calculated values and your production volumes of exempt trailers in your annual production report under § 1037.250. You must apply a label meeting the requirements of 40 CFR 1068.45(a) that identifies your corporate name and states that the trailer is exempt under the provisions of § 1037.150. Unlabeled trailers will be considered in violation of 40 CFR 1068.101(a)(1). 
(w) Roll-up doors for non-aero box 
vans. Through model year 2023, box 
vans may qualify for non-aero or partial- aero standards under § 1037.107 by treating roll-up rear doors as being equivalent to rear lift gates. 
(x) Aerodynamic testing for trailers. 
Section 1037.526 generally requires you to adjust DC
dAvalues from alternate test 
methods to be equivalent to measurements with the primary test 
method. This paragraph (x) describes approximations that we believe are consistent with good engineering judgment; however, you may not use these approximations where we determine that clear and convincing evidence shows that they would significantly overestimate actual improvements in aerodynamic performance. 
(1) You may presume that CFD 
measurements at a yaw angle of 4.5° are 
equal to measurements made using the primary method, and you may use them without adjustment. 
(2) You may presume that coastdown 
measurements at yaw angles smaller than ± 4.5° are equal to measurements 
made using the primary method, and you may use them without adjustment. This applies equally for device manufacturers, but it does not apply for EPA testing. 
(3) You may use testing or analytical 
methods to adjust coastdown measurements to account for aerodynamic effects at a yaw angle of ±4.5°. This applies for rear fairings and other devices whose performance is affected by yaw angle. 
(y) Transition to Phase 2 standards. 
The following provisions allow for enhanced generation and use of emission credits from Phase 1 tractors and vocational vehicles for meeting the Phase 2 standards: 
(1) For vocational Light HDV and 
vocational Medium HDV, emission credits you generate in model years 2018 through 2021 may be used through model year 2027, instead of being limited to a five-year credit life as specified in § 1037.740(c). For Class 8 vocational vehicles with medium heavy- duty engines, we will approve your request to generate these credits in and use these credits for the Medium HDV averaging set if you show that these vehicles would qualify as Medium HDV under the Phase 2 program as described in § 1037.140(g)(4). 
(2) You may use the off-cycle 
provisions of § 1037.610 to apply technologies to Phase 1 vehicles as follows: 
(i) You may apply an improvement 
factor of 0.988 for tractors and vocational vehicles with automatic tire inflation systems on all axles. 
(ii) For vocational vehicles with 
automatic engine shutdown systems that conform with § 1037.660, you may apply an improvement factor of 0.95. 
(iii) For vocational vehicles with stop- 
start systems that conform with § 1037.660, you may apply an improvement factor of 0.92. 
(iv) For vocational vehicles with 
neutral-idle systems conforming with § 1037.660, you may apply an improvement factor of 0.98. You may adjust this improvement factor if we approve a partial reduction under § 1037.660(a)(2); for example, if your design reduces fuel consumption by half as much as shifting to neutral, you may apply an improvement factor of 0.99. 
(3) Small manufacturers may generate 
emission credits for natural gas-fueled vocational vehicles as follows: 
(i) Small manufacturers may certify 
their vehicles instead of relying on the exemption of paragraph (c) of this section. The provisions of this part apply for such vehicles, except as specified in this paragraph (y)(3). 
(ii) Use Phase 1 GEM to determine a 
CO
2emission level for your vehicle, 
then multiply this value by the engine’s FCL for CO
2and divide by the engine’s 
applicable CO 2emission standard. 
(z) Constraints for vocational duty 
cycles. The following provisions apply 
to determinations of vocational duty cycles as described in § 1037.140: 
(1) The Regional duty cycle applies if 
the engine was certified based on testing only with the ramped-modal cycle. 
(2) The Regional duty cycle applies 
for coach buses and motor homes you certify under § 1037.105(b). 
(3) You may not select the Urban duty 
cycle for any vehicle with a manual or single-clutch automated manual transmission. 
(4) Starting in model year 2024, you 
must select the Regional duty cycle for any vehicle with a manual transmission. 
(5) You may select the Urban duty 
cycle for a hybrid vehicle equipped with regenerative braking, unless it is equipped with a manual transmission. 
(6) You may select the Urban duty 
cycle for any vehicle with a hydrokinetic torque converter paired with an automatic transmission, or a continuously variable automatic transmission, or a dual-clutch transmission with no more than two consecutive forward gears between which it is normal for both clutches to be momentarily disengaged. 
(aa) Custom-chassis standards. The 
following provisions apply uniquely to small manufacturers under the custom- chassis standards of § 1037.105(h): 
(1) You may use emission credits 
generated under § 1037.105(d), including banked or traded credits from any averaging set. Such credits remain subject to other limitations that apply under subpart H of this part. 
(2) You may produce up to 200 
drayage tractors in a given model year to the standards described in § 1037.105(h) for ‘‘other buses’’. Treat these drayage tractors as being in their own averaging set. 
Subpart C—Certifying Vehicle Families 
§ 1037.201 General requirements for 
obtaining a certificate of conformity. 
(a) You must send us a separate 
application for a certificate of 
conformity for each vehicle family. A certificate of conformity is valid from the indicated effective date until the end of the model year for which it is issued. You must renew your certification annually for any vehicles you continue to produce. 
(b) The application must contain all 
the information required by this part and must not include false or incomplete statements or information (see § 1037.255). 
(c) We may ask you to include less 
information than we specify in this subpart, as long as you maintain all the information required by § 1037.250. 
(d) You must use good engineering 
judgment for all decisions related to your application (see 40 CFR 1068.5). 
(e) An authorized representative of 
your company must approve and sign the application. 
(f) See § 1037.255 for provisions 
describing how we will process your application. 
(g) We may perform confirmatory 
testing on your vehicles or components; for example, we may test vehicles to verify drag areas or other GEM inputs. This includes tractors used to determine F
alt-aero under § 1037.525. We may 
require you to deliver your test vehicles or components to a facility we designate for our testing. Alternatively, you may 
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choose to deliver another vehicle or 
component that is identical in all material respects to the test vehicle or component, or a different vehicle or component that we determine can appropriately serve as an emission-data vehicle for the family. We may perform confirmatory testing on engines under 40 CFR part 1036 and may require you 
to apply modified fuel maps from that testing for certification under this part. 
(h) The certification and testing 
provisions of 40 CFR part 86, subpart S, apply instead of the provisions of this subpart relative to the evaporative and refueling emission standards specified in § 1037.103, except that § 1037.245 describes how to demonstrate compliance with evaporative emission standards. For vehicles that do not use an evaporative canister for controlling diurnal emissions, you may certify with respect to exhaust emissions and use the provisions of § 1037.622 to let a different company certify with respect to evaporative emissions. 
(i) Vehicles and installed engines 
must meet exhaust, evaporative, and refueling emission standards and certification requirements in 40 CFR part 86 or 40 CFR part 1036, as applicable. Include the information described in 40 CFR part 86, subpart S, or 40 CFR 1036.205 in your application for certification in addition to what we specify in § 1037.205 so we can issue a single certificate of conformity for all the requirements that apply for your vehicle and the installed engine. 
§ 1037.205 What must I include in my 
application? 
This section specifies the information 
that must be in your application, unless 
we ask you to include less information under § 1037.201(c). We may require you to provide additional information to evaluate your application. References to testing and emission-data vehicles refer to testing vehicles or components to measure any quantity that serves as an input value for modeling emission rates under § 1037.515 or 1037.520. 
(a) Describe the vehicle family’s 
specifications and other basic parameters of the vehicle’s design and emission controls. List the fuel type on which your vocational vehicles and tractors are designed to operate (for example, ultra-low-sulfur diesel fuel). 
(b) Explain how the emission control 
system operates. As applicable, describe in detail all system components for controlling greenhouse gas emissions, including all auxiliary emission control devices (AECDs) and all fuel-system components you will install on any production vehicle. Identify the part number of each component you describe. For this paragraph (b), treat as separate AECDs any devices that modulate or activate differently from each other. Also describe your modeling inputs as described in §§ 1037.515 and 1037.520, with the following additional information if it applies for your vehicles: 
(1) Describe your design for vehicle 
speed limiters, consistent with § 1037.640. 
(2) Describe your design for predictive 
cruise control. 
(3) Describe your design for automatic 
engine shutdown systems, consistent with § 1037.660. 
(4) Describe your engineering analysis 
demonstrating that your air conditioning compressor qualifies as a high-efficiency model as described in 40 CFR 86.1868–12(h)(5). 
(5) Describe your design for idle- 
reduction technology, including the logic for engine shutdown and the maximum duration of engine operation after the onset of any vehicle conditions described in § 1037.660. 
(6) If you perform powertrain testing 
under § 1037.550, report both CO
2and 
NO Xemission levels corresponding to 
each test run. 
(7) Describe the configuration and 
basic design of hybrid systems. Include measurements for vehicles with hybrid power take-off systems. 
(8) If you install auxiliary power units 
in tractors under § 1037.106(g), identify the family name associated with the engine’s certification under 40 CFR part 1039. Starting in model year 2024, also identify the family name associated with the auxiliary power unit’s certification to the standards of 40 CFR 1039.699. 
(9) Describe how you meet any 
applicable criteria in § 1037.631(a)(1) and (2). 
(c) For vehicles subject to air 
conditioning standards, include: 
(1) The refrigerant leakage rates (leak 
scores). 
(2) The type of refrigerant and the 
refrigerant capacity of the air conditioning systems. 
(3) The corporate name of the final 
installer of the air conditioning system. 
(d) Describe any vehicles or 
components you selected for testing and the reasons for selecting them. 
(e) Describe any test equipment and 
procedures that you used, including any special or alternate test procedures you used (see § 1037.501). Include information describing the procedures you used to determine C
dAvalues as 
specified in §§ 1037.525 through 1037.527. Describe which type of data you are using for engine fuel maps (see 40 CFR 1036.510). If your trailer certification relies on approved data from device manufacturers, identify the device and device manufacturer. 
(f) Describe how you operated any 
emission-data vehicle before testing, including the duty cycle and the number of vehicle operating miles used to stabilize emission-related performance. Explain why you selected the method of service accumulation. Describe any scheduled maintenance you did. 
(g) Where applicable, list the 
specifications of any test fuel to show that it falls within the required ranges we specify in 40 CFR part 1065. 
(h) Identify the vehicle family’s useful 
life. 
(i) Include the maintenance 
instructions and warranty statement you will give to the ultimate purchaser of each new vehicle (see §§ 1037.120 and 1037.125). 
(j) Describe your emission control 
information label (see § 1037.135). 
(k) Identify the emission standards or 
FELs to which you are certifying vehicles in the vehicle family. For families containing multiple subfamilies, this means that you must identify the highest and lowest FELs to which any of your subfamilies will be certified. 
(l) Where applicable, identify the 
vehicle family’s deterioration factors and describe how you developed them. Present any emission test data you used for this (see § 1037.241(c)). 
(m) Where applicable, state that you 
operated your emission-data vehicles as described in the application (including the test procedures, test parameters, and test fuels) to show you meet the requirements of this part. 
(n) [Reserved] 
(o) Report calculated and modeled 
emission results as follows: 
(1) For vocational vehicles and 
tractors, report modeling results for ten 
configurations. Include modeling inputs and detailed descriptions of how they were derived. Unless we specify otherwise, include the configuration with the highest modeling result, the lowest modeling result, and the configurations with the highest projected sales. 
(2) For trailers that demonstrate 
compliance with g/ton-mile emission standards as described in § 1037.515, report the CO
2emission result for the 
configuration with the highest calculated value. If your trailer family generates or uses emission credits, also report the CO
2emission results for the 
configuration with the lowest calculated value, and for the configuration with the highest projected sales. 
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(p) Where applicable, describe all 
adjustable operating parameters (see 
§ 1037.115), including production tolerances. You do not need to include parameters that do not affect emissions covered by your application. Include the following in your description of each parameter: 
(1) The nominal or recommended 
setting. 
(2) The intended physically adjustable 
range. 
(3) The limits or stops used to 
establish adjustable ranges. 
(4) Information showing why the 
limits, stops, or other means of inhibiting adjustment are effective in preventing adjustment of parameters on in-use vehicles to settings outside your intended physically adjustable ranges. 
(q) [Reserved] 
(r) Unconditionally certify that all the 
vehicles in the vehicle family comply 
with the requirements of this part, other referenced parts of the CFR, and the Clean Air Act. 
(s) Include good-faith estimates of 
U.S.-directed production volumes by subfamily. We may require you to describe the basis of your estimates. 
(t) Include the information required 
by other subparts of this part. For example, include the information required by § 1037.725 if you plan to generate or use emission credits. 
(u) Include other applicable 
information, such as information specified in this part or 40 CFR part 1068 related to requests for exemptions. 
(v) Name an agent for service located 
in the United States. Service on this agent constitutes service on you or any of your officers or employees for any action by EPA or otherwise by the United States related to the requirements of this part. 
§ 1037.210 Preliminary approval before 
certification. 
If you send us information before you 
finish the application, we may review it 
and make any appropriate determinations. Decisions made under this section are considered to be preliminary approval, subject to final review and approval. We will generally not reverse a decision where we have given you preliminary approval, unless we find new information supporting a different decision. If you request preliminary approval related to the upcoming model year or the model year after that, we will make best-efforts to make the appropriate determinations as soon as practicable. We will generally not provide preliminary approval related to a future model year more than two years ahead of time. § 1037.211 Preliminary approval for 
manufacturers of aerodynamic devices. 
(a) If you design or manufacture 
aerodynamic devices for trailers, you 
may ask us to provide preliminary approval for the measured performance of your devices. While decisions made under this section are considered to be preliminary approval, we will not reverse a decision where we have given you preliminary approval, unless we find new information supporting a different decision. For example, where we measure the performance of your device after giving you preliminary approval and its measured performance is less than your data indicated, we may rescind the preliminary approval of your test results. 
(b) To request this, you must provide 
test data for DC
dA values as specified in 
§ 1037.150(u) or § 1037.526. Trailer manufacturers may use approved DC
dA 
values as inputs under § 1037.515 to support their application for certification. 
§ 1037.220 Amending maintenance 
instructions. 
You may amend your emission- 
related maintenance instructions after 
you submit your application for certification as long as the amended instructions remain consistent with the provisions of § 1037.125. You must send the Designated Compliance Officer a written request to amend your application for certification for a vehicle family if you want to change the emission-related maintenance instructions in a way that could affect emissions. In your request, describe the proposed changes to the maintenance instructions. If operators follow the original maintenance instructions rather than the newly specified maintenance, this does not allow you to disqualify those vehicles from in-use testing or deny a warranty claim. 
(a) If you are decreasing or 
eliminating any specified maintenance, you may distribute the new maintenance instructions to your customers 30 days after we receive your request, unless we disapprove your request. This would generally include replacing one maintenance step with another. We may approve a shorter time or waive this requirement. 
(b) If your requested change would 
not decrease the specified maintenance, you may distribute the new maintenance instructions any time after you send your request. For example, this paragraph (b) would cover adding instructions to increase the frequency of filter changes for vehicles in severe-duty applications. (c) You need not request approval if 
you are making only minor corrections (such as correcting typographical mistakes), clarifying your maintenance instructions, or changing instructions for maintenance unrelated to emission control. We may ask you to send us copies of maintenance instructions revised under this paragraph (c). 
§ 1037.225 Amending applications for 
certification. 
Before we issue you a certificate of 
conformity, you may amend your 
application to include new or modified vehicle configurations, subject to the provisions of this section. After we have issued your certificate of conformity, you may send us an amended application requesting that we include new or modified vehicle configurations within the scope of the certificate, subject to the provisions of this section. You must amend your application if any changes occur with respect to any information that is included or should be included in your application. 
(a) You must amend your application 
before you take any of the following actions: 
(1) Add any vehicle configurations to 
a vehicle family that are not already covered by your application. For example, if your application identifies three possible engine models, and you plan to produce vehicles using an additional engine model, then you must amend your application before producing vehicles with the fourth engine model. The added vehicle configurations must be consistent with other vehicle configurations in the vehicle family with respect to the criteria listed in § 1037.230. 
(2) Change a vehicle configuration 
already included in a vehicle family in a way that may change any of the components you described in your application for certification, or make any other changes that would make the emissions inconsistent with the information in your application. This includes production and design changes that may affect emissions any time during the vehicle’s lifetime. 
(3) Modify an FEL for a vehicle family 
as described in paragraph (f) of this section. 
(b) To amend your application for 
certification, send the relevant information to the Designated Compliance Officer. 
(1) Describe in detail the addition or 
change in the vehicle model or configuration you intend to make. 
(2) Include engineering evaluations or 
data showing that the amended vehicle family complies with all applicable requirements. You may do this by 
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showing that the original emission-data 
vehicle is still appropriate for showing that the amended family complies with all applicable requirements. 
(3) If the original emission-data 
vehicle or emission modeling for the vehicle family is not appropriate to show compliance for the new or modified vehicle configuration, include new test data or emission modeling showing that the new or modified vehicle configuration meets the requirements of this part. 
(4) Include any other information 
needed to make your application correct and complete. 
(c) We may ask for more test data or 
engineering evaluations. You must give us these within 30 days after we request them. 
(d) For vehicle families already 
covered by a certificate of conformity, we will determine whether the existing certificate of conformity covers your newly added or modified vehicle. You may ask for a hearing if we deny your request (see § 1037.820). 
(e) For vehicle families already 
covered by a certificate of conformity, you may start producing the new or modified vehicle configuration any time after you send us your amended application and before we make a decision under paragraph (d) of this section. However, if we determine that the affected vehicles do not meet applicable requirements, we will notify you to cease production of the vehicles and may require you to recall the vehicles at no expense to the owner. Choosing to produce vehicles under this paragraph (e) is deemed to be consent to recall all vehicles that we determine do not meet applicable emission standards or other requirements and to remedy the nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days after we request it, you must stop producing the new or modified vehicles. 
(f) You may ask us to approve a 
change to your FEL in certain cases after the start of production. The changed FEL may not apply to vehicles you have already introduced into U.S. commerce, except as described in this paragraph (f). You may ask us to approve a change to your FEL in the following cases: 
(1) You may ask to raise your FEL for 
your vehicle subfamily at any time. In your request, you must show that you will still be able to meet the emission standards as specified in subparts B and H of this part. Use the appropriate FELs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part. 
(2) Where testing applies, you may 
ask to lower the FEL for your vehicle subfamily only if you have test data from production vehicles showing that emissions are below the proposed lower FEL. Otherwise, you may ask to lower your FEL for your vehicle subfamily at any time. The lower FEL applies only to vehicles you produce after we approve the new FEL. Use the appropriate FELs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part. 
(3) You may ask to add an FEL for 
your vehicle family at any time. 
(g) You may produce vehicles as 
described in your amended application for certification and consider those vehicles to be in a certified configuration if we approve a new or modified vehicle configuration during the model year under paragraph (d) of this section. Similarly, you may modify 
in-use vehicles as described in your amended application for certification and consider those vehicles to be in a certified configuration if we approve a new or modified vehicle configuration at any time under paragraph (d) of this section. Modifying a new or in-use vehicle to be in a certified configuration does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve changing to a certified configuration with a higher family emission limit. See § 1037.621(g) for special provisions that apply for changing to a different certified configuration in certain circumstances. 
§ 1037.230 Vehicle families, sub-families, 
and configurations. 
(a) For purposes of certifying your 
vehicles to greenhouse gas standards, 
divide your product line into families of vehicles based on regulatory subcategories as specified in this section. Subcategories are specified using terms defined in § 1037.801. Your vehicle family is limited to a single model year. 
(1) Apply subcategories for vocational 
vehicles and vocational tractors as shown in Table 1 of this section. This involves 15 separate subcategories for Phase 2 vehicles to account for engine characteristics, GVWR, and the selection of duty cycle for vocational vehicles as specified in § 1037.510; vehicles may additionally fall into one of the subcategories defined by the custom- chassis standards in § 1037.105(h). Divide Phase 1 vehicles into three GVWR-based vehicle service classes as shown in Table 1 of this section, disregarding additional specified characteristics. Table 1 follows: 
TABLE 1 OF§ 1037.230—V OCATIONAL VEHICLE SUBCATEGORIES  
Engine cycle Light HDV Medium HDV Heavy HDV 
Compression-ignition ..................... Urban ............................................ Urban ............................................ Urban. 
Multi-Purpose ................................ Multi-Purpose ................................ Multi-Purpose. 
Regional ........................................ Regional ........................................ Regional. 
Spark-ignition ................................. Urban ............................................ Urban.
Multi-Purpose ................................ Multi-Purpose.
Regional ........................................ Regional.
(2) Apply subcategories for tractors 
(other than vocational tractors) as shown in Table 2 of this section. Vehicles may additionally fall into one of the subcategories defined by the optional tractor standards in § 1037.670. 
TABLE 2 OF§ 1037.230—T RACTOR SUBCATEGORIES  
Class 7 Class 8 
Low-roof tractors ................................................ Low-roof day cabs ............................................ Low-roof sleeper cabs. 
Mid-roof tractors ................................................ Mid-roof day cabs ............................................. Mid-roof sleeper cabs. 
High-roof tractors ............................................... High-roof day cabs ........................................... High-roof sleeper cabs. 
Heavy-haul tractors (starting with Phase 2). 
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(3) Apply subcategories for trailers as 
shown in the following table: 
TABLE 3 OF§ 1037.230—T RAILER SUBCATEGORIES  
Full-aero trailers Partial-aero trailers Other trailers 
Long dry box vans ............................................. Long dry box vans ............................................ Non-aero trailers. 
Short dry box vans ............................................ Short dry box vans ........................................... Non-box trailers. 
Long refrigerated box vans ............................... Long refrigerated box vans..
Short refrigerated box vans ............................... Short refrigerated box vans..
(b) If the vehicles in your family are 
being certified to more than one FEL, 
subdivide your greenhouse gas vehicle families into subfamilies that include vehicles with identical FELs. Note that you may add subfamilies at any time during the model year. 
(c) Group vehicles into configurations 
consistent with the definition of ‘‘vehicle configuration’’ in § 1037.801. Note that vehicles with hardware or software differences that are related to measured or modeled emissions are considered to be different vehicle configurations even if they have the same modeling inputs and FEL. Note also, that you are not required to separately identify all configurations for certification. Note that you are not required to identify all possible configurations for certification; also, you are required to include in your end-of- year report only those configurations you produced. 
(d) You may combine dissimilar 
vehicles into a single vehicle family in special circumstances as follows: 
(1) For a Phase 1 vehicle model that 
straddles a roof-height, cab type, or GVWR division, you may include all the vehicles in the same vehicle family if you certify the vehicle family to the more stringent standard. For roof height, this means you must certify to the taller roof standards. For cab-type and GVWR, this means you must certify to the numerically lower standards. 
(2) For a Phase 2 vehicle model that 
includes a range of GVWR values that straddle weight classes, you may include all the vehicles in the same vehicle family if you certify the vehicle family to the numerically lower CO
2 
emission standard from the affected service classes. Vehicles that are optionally certified to a more stringent standard under this paragraph (d)(2) are subject to useful-life and all other provisions corresponding to the weight class with the numerically lower CO
2 
emission standard. For a Phase 2 tractor model that includes a range of roof heights that straddle subcategories, you may include all the vehicles in the same vehicle family if you certify the vehicle family to the appropriate subcategory as follows: 
(i) You may certify mid-roof tractors 
as high-roof tractors, but you may not certify high-roof tractors as mid-roof tractors. 
(ii) For tractor families straddling the 
low-roof/mid-roof division, you may certify the family based on the primary roof-height as long as no more than 10 percent of the tractors are certified to the otherwise inapplicable subcategory. For example, if 95 percent of the tractors in the family are less than 120 inches tall, and the other 5 percent are 122 inches tall, you may certify the tractors as a single family in the low-roof subcategory. 
(iii) Determine the appropriate 
aerodynamic bin number based on the actual roof height if you measure a C
dA 
value. However, use the GEM input for the bin based on the standards to which you certify. For example, of you certify as mid-roof tractors some low-roof tractors with a measured C
dA value of 
4.2 m2, they qualify as Bin IV; and you 
must input into GEM the mid-roof Bin IV value of 5.85 m
2. 
(3) You may include refrigerated box 
vans in a vehicle family with dry box vans by treating them all as dry box vans for demonstrating compliance with emission standards. You may include certain other types of trailers in a vehicle family with a different type of trailer, such that the combined set of trailers are all subject to the more stringent standards, as follows: 
(i) Standards for long trailers are more 
stringent than standards for short trailers. 
(ii) Standards for long dry box vans 
are more stringent than standards for short refrigerated box vans. 
(iii) Standards for non-aero box vans 
are more stringent than standards for non-box trailers. 
(e) You may divide your families into 
more families than specified in this section. 
(f) You may ask us to allow you to 
group into the same configuration vehicles that have very small body hardware differences that do not significantly affect drag areas. § 1037.231 Powertrain families. 
(a) If you choose to perform 
powertrain testing as specified in § 1037.550, use good engineering judgment to divide your product line into powertrain families that are expected to have similar fuel consumptions and CO
2emission 
characteristics throughout the useful life. Your powertrain family is limited to a single model year. 
(b) Except as specified in paragraph 
(c) of this section, group powertrains in the same powertrain family if they share all the following attributes: 
(1) Engine family. 
(2) Shared vehicle service class 
grouping, as follows: 
(i) Light HDV or Medium HDV. (ii) Heavy HDV other than heavy-haul 
tractors. 
(iii) Heavy-haul tractors. (3) Number of clutches. (4) Type of clutch (e.g., wet or dry). 
(5) Presence and location of a fluid 
coupling such as a torque converter. 
(6) Gear configuration, as follows: (i) Planetary (e.g., simple, compound, 
meshed-planet, stepped-planet, multi- 
stage). 
(ii) Countershaft (e.g., single, double, 
triple). 
(iii) Continuously variable (e.g., 
pulley, magnetic, toroidal). 
(7) Number of available forward gears, 
and transmission gear ratio for each available forward gear, if applicable. 
(8) Transmission oil sump 
configuration (e.g., conventional or dry). 
(9) The power transfer configuration 
of any hybrid technology (e.g., series or 
parallel). 
(10) The energy storage device and 
capacity of any hybrid technology (e.g., 10 MJ hydraulic accumulator, 10 kW·hr Lithium-ion battery pack, 10 MJ ultracapacitor bank). 
(11) The rated output of any hybrid 
mechanical power technology (e.g., 50 
kW electric motor). 
(c) For powertrains that share all the 
attributes described in paragraph (b) of this section, divide them further into separate powertrain families based on common calibration attributes. Group powertrains in the same powertrain 
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family to the extent that powertrain test 
results and corresponding emission levels are expected to be similar throughout the useful life. 
(d) You may subdivide a group of 
powertrains with shared attributes under paragraph (b) of this section into different powertrain families. 
(e) In unusual circumstances, you 
may group powertrains into the same powertrain family even if they do not have shared attributes under in paragraph (b) of this section if you show that their emission characteristics throughout the useful life will be similar. 
(f) If you include the axle when 
performing powertrain testing for the family, you must limit the family to include only those axles represented by the test results. You may include multiple axle ratios in the family if you test with the axle expected to produce the highest emission results. 
§ 1037.232 Axle and transmission families. 
(a) If you choose to perform axle 
testing as specified in § 1037.560 or transmission testing as specified in § 1037.565, use good engineering judgment to divide your product line into axle or transmission families that are expected to have similar hardware, noting that efficiencies can differ across the members of a family. Note that, while there is no certification for axle and transmission families under this part, vehicle manufacturers may rely on axle and transmission test data to certify their vehicles. 
(b) Except as specified in paragraph 
(d) of this section, group axles in the same axle family if they have the same number of drive axles and the same load rating. 
(c) Except as specified in paragraph 
(d) of this section, group transmissions in the same transmission family if they share all the following attributes: 
(1) Number and type of clutches (wet 
or dry). 
(2) Presence and location of a fluid 
coupling such as a torque converter. 
(3) Gear configuration, as follows: 
(i) Planetary (e.g., simple, compound, 
meshed-planet, stepped-planet, multi- 
stage). 
(ii) Countershaft (e.g., single, double, 
triple). 
(iii) Continuously variable (e.g., 
pulley, magnetic, toroidal). Note that 
GEM does not accommodate efficiency testing for continuously variable transmissions. 
(4) Transmission oil sump 
configuration (conventional or dry). 
(d) You may subdivide a group of 
axles or powertrains with shared attributes under paragraph (b) or (c) of this section into different families. § 1037.235 Testing requirements for 
certification. 
This section describes the emission 
testing you must perform to show 
compliance with respect to the greenhouse gas emission standards in subpart B of this part, and to determine any input values from §§ 1037.515 and 1037.520 that involve measured quantities. 
(a) Select emission-data vehicles that 
represent production vehicles and components for the vehicle family consistent with the specifications in §§ 1037.205(o), 1037.515, and 1037.520. Where the test results will represent multiple vehicles or components with different emission performance, use good engineering judgment to select worst-case emission data vehicles or components. In the case of powertrain testing under § 1037.550, select a test engine and test transmission by considering the whole range of vehicle models covered by the powertrain family and the mix of duty cycles specified in § 1037.510. 
(b) Test your emission-data vehicles 
(including emission-data components) using the procedures and equipment specified in subpart F of this part. Measure emissions (or other parameters, as applicable) using the specified procedures. 
(c) We may perform confirmatory 
testing by measuring emissions (or other parameters, as applicable) from any of your emission-data vehicles. 
(1) We may decide to do the testing 
at your plant or any other facility. If we do this, you must deliver the vehicle or component to a test facility we designate. The vehicle or component you provide must be in a configuration that is suitable for testing. For example, vehicles must have the tires you used for testing, and tractors must be set up with the trailer you used for testing. If we do the testing at your plant, you must schedule it as soon as possible and make available the instruments, personnel, and equipment we need (see paragraph (g) of this section for provisions that apply specifically for testing a tractor’s aerodynamic performance). 
(2) If we measure emissions (or other 
parameters, as applicable) from your vehicle or component, the results of that testing become the official emission results for the vehicle or component. Note that changing the official emission result does not necessarily require a change in the declared modeling input value. Unless we later invalidate these data, we may decide not to consider your data in determining if your vehicle family meets applicable requirements. (3) Before we test one of your vehicles 
or components, we may set its 
adjustable parameters to any point within the physically adjustable ranges, if applicable. 
(4) Before we test one of your vehicles 
or components, we may calibrate it within normal production tolerances for anything we do not consider an adjustable parameter. For example, this would apply for a vehicle parameter that is subject to production variability because it is adjustable during production, but is not considered an adjustable parameter (as defined in § 1037.801) because it is permanently sealed. For parameters that relate to a level of performance that is itself subject 
to a specified range (such as maximum power output), we will generally perform any calibration under this paragraph (c)(4) in a way that keeps performance within the specified range. Note that this paragraph (c)(4) does not allow us to test your vehicles in a condition that would be unrepresentative of production vehicles. 
(d) You may ask to use carryover data 
for a vehicle or component from a previous model year instead of doing new tests if the applicable emission-data vehicle from the previous model year remains the appropriate emission-data vehicle under paragraph (b) of this section. 
(e) We may require you to test a 
second vehicle or component of the same configuration in addition to the vehicle or component tested under paragraph (a) of this section. 
(f) If you use an alternate test 
procedure under 40 CFR 1065.10 and later testing shows that such testing does not produce results that are equivalent to the procedures specified in subpart F of this part, we may reject data you generated using the alternate procedure. 
(g) We may perform testing to verify 
your aerodynamic drag area values using any method specified in subpart F of this part. The following additional provisions apply: 
(1) We intend to use the same 
aerodynamic test facility you used, and if you provide any instruments you used, we intend to use those instruments to perform our testing. 
(2) We may perform coastdown 
testing to verify your tractor drag area for any certified configuration. If you use an alternate method for determining aerodynamic drag area for tractors, we may perform testing to verify F
alt-aero as 
specified in subpart F of this part. 
(3) We may test trailers (and devices 
receiving preliminary approval) using the wind-tunnel method described in § 1037.530. We may also test using an 
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alternate method; however, we will 
determine how to appropriately correct or correlate those results to testing with the wind-tunnel method. 
(h) You may ask us to use analytically 
derived GEM inputs for untested configurations as identified in subpart F of this part based on interpolation of all relevant measured values for related configurations, consistent with good engineering judgment. We may establish specific approval criteria base on prevailing industry practice. If we allow this, we may test any configurations. We may also require you to test any configurations as part of a selective enforcement audit. 
§ 1037.241 Demonstrating compliance with 
exhaust emission standards for greenhouse gas pollutants. 
(a) Compliance determinations for 
purposes of certification depend on 
whether or not you participate in the ABT program in subpart H of this part. 
(1) If none of your vehicle families 
generate or use emission credits in a given model year,, each of your vehicle families is considered in compliance with the CO
2emission standards in 
§§ 1037.105 through 1037.107 if all vehicle configurations in the family have calculated or modeled CO
2 
emission rates from § 1037.515 or § 1037.520 that are at or below the applicable standards. A vehicle family is deemed not to comply if any vehicle configuration in the family has a calculated or modeled CO
2emission 
rate that is above the applicable standard. 
(2) If you generate or use emission 
credits with one or more vehicle families in a given model year, your vehicle families within an averaging set are considered in compliance with the CO
2emission standards in §§ 1037.105 
through 1037.107 if the sum of positive and negative credits for all vehicle configurations in those vehicle families lead to a zero balance or a positive balance of credits, except as allowed by§ 1037.745. Note that the FEL is considered to be the applicable emission standard for an individual configuration. 
(b) For non-box trailers and non-aero 
box vans, your vehicle family is considered in compliance with the emission standards if all vehicle configurations in that family meet specified design standards and have TRRL values at or below the specified standard. Your family is deemed not to comply for certification if any trailer does not meet specified design standards or if any vehicle configuration in that family has a measured TRRL value above the specified standard. (c) We may require you to provide an 
engineering analysis showing that the 
performance of your emission controls will not deteriorate during the useful life with proper maintenance. If we determine that your emission controls are likely to deteriorate during the useful life, we may require you to develop and apply deterioration factors 
consistent with good engineering judgment. For example, you may need to apply a deterioration factor to address deterioration of battery performance for a hybrid electric vehicle. Where the highest useful life emissions occur between the end of useful life and at the low-hour test point, base deterioration factors for the vehicles on the difference between (or ratio of) the point at which the highest emissions occur and the low-hour test point. 
§ 1037.243 Demonstrating compliance with 
evaporative emission standards. 
(a) For purposes of certification, your 
vehicle family is considered in 
compliance with the evaporative emission standards in subpart B of this part if you prepare an engineering analysis showing that your vehicles in the family will comply with applicable standards throughout the useful life, and there are no test results from an emission-data vehicle representing the family that exceed an emission standard. 
(b) Your evaporative emission family 
is deemed not to comply if your engineering analysis is not adequate to show that all the vehicles in the family will comply with applicable emission standards throughout the useful life, or if a test result from an emission-data vehicle representing the family exceeds an emission standard. 
(c) To compare emission levels with 
emission standards, apply deterioration factors to the measured emission levels. Establish an additive deterioration factor based on an engineering analysis that takes into account the expected aging from in-use vehicles. 
(d) Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this section, then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission-data vehicle. 
(e) Your analysis to demonstrate 
compliance with emission standards must take into account your design strategy for vehicles that require testing. Specifically, vehicles above 14,000 pounds GVWR are presumed to need the same technologies that are required for heavy-duty vehicles at or below 14,000 pounds GVWR. Similarly, your analysis to establish a deterioration factor must take into account your testing to establish deterioration factors for smaller vehicles. 
§ 1037.250 Reporting and recordkeeping. 
(a) Within 90 days after the end of the 
model year, send the Designated Compliance Officer a report including the total U.S.-directed production volume of vehicles you produced in each vehicle family during the model year (based on information available at the time of the report). Report by vehicle identification number and vehicle configuration and identify the subfamily identifier. Report uncertified vehicles sold to secondary vehicle manufacturers. We may waive the reporting requirements of this paragraph (a) for small manufacturers. 
(b) Organize and maintain the 
following records: 
(1) A copy of all applications and any 
summary information you send us. 
(2) Any of the information we specify 
in § 1037.205 that you were not required to include in your application. 
(3) A detailed history of each 
emission-data vehicle (including emission-related components), if applicable. 
(4) Production figures for each vehicle 
family divided by assembly plant. 
(5) Keep a list of vehicle identification 
numbers for all the vehicles you produce under each certificate of conformity. Also identify the technologies that make up the certified configuration for each vehicle you produce. 
(c) Keep required data from emission 
tests and all other information specified in this section for eight years after we issue your certificate. If you use the same emission data or other information for a later model year, the eight-year period restarts with each year that you continue to rely on the information. 
(d) Store these records in any format 
and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time. 
(e) If you fail to properly keep records 
or to promptly send us information as required under this part, we may require that you submit the information specified in this section after each calendar quarter, and we may require that you routinely send us information that the regulation requires you to submit only if we request it. If we find that you are fraudulent or grossly negligent or otherwise act in bad faith regarding information reporting and recordkeeping, we may require that you 
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send us a detailed description of the 
certified configuration for each vehicle before you produce it. 
§ 1037.255 What decisions may EPA make 
regarding my certificate of conformity? 
(a) If we determine your application is 
complete and shows that the vehicle 
family meets all the requirements of this part and the Act, we will issue a certificate of conformity for your vehicle family for that model year. We may make the approval subject to additional conditions. 
(b) We may deny your application for 
certification if we determine that your vehicle family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny your application, we will explain why in writing. 
(c) In addition, we may deny your 
application or suspend or revoke your certificate if you do any of the following: 
(1) Refuse to comply with any testing 
or reporting requirements. 
(2) Submit false or incomplete 
information (paragraph (e) of this section applies if this is fraudulent). This includes doing anything after submission of your application to render any of the submitted information false or incomplete. 
(3) Render any test data inaccurate. 
(4) Deny us from completing 
authorized activities (see 40 CFR 
1068.20). This includes a failure to provide reasonable assistance. 
(5) Produce vehicles for importation 
into the United States at a location where local law prohibits us from carrying out authorized activities. 
(6) Fail to supply requested 
information or amend your application to include all vehicles being produced. 
(7) Take any action that otherwise 
circumvents the intent of the Act or this part, with respect to your vehicle family. 
(d) We may void the certificate of 
conformity for a vehicle family if you fail to keep records, send reports, or give 
us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2). 
(e) We may void your certificate if we 
find that you intentionally submitted false or incomplete information. This includes rendering submitted information false or incomplete after submission. 
(f) If we deny your application or 
suspend, revoke, or void your certificate, you may ask for a hearing (see § 1037.820). 
Subpart D—Testing Production 
Vehicles and Engines 
§ 1037.301 Overview of measurements 
related to GEM inputs in a selective enforcement audit. 
(a) We may require you to perform 
selective enforcement audits under 40 
CFR part 1068, subpart E, with respect to any GEM inputs in your application for certification. Sections 1037.305 through 1037.315 describe how this applies uniquely in certain circumstances. 
(b) A selective enforcement audit for 
this part 1037 consists of performing measurements with production vehicles relative to one or more declared values for GEM inputs, and using those measured values in place of your declared values to run GEM. Except as specified in this subpart, the vehicle is considered passing if the new modeled emission result is at or below the modeled emission result corresponding to the declared GEM inputs. If you report an FEL for the vehicle configuration before the audit, we will instead consider the vehicle passing if the new cycle-weighted emission result matches or exceeds the efficiency improvement is at or below the FEL. 
(c) We may audit your production 
components and your records to confirm that physical parameters are correct, such as dimensional accuracy and material selection. We may also audit your records to confirm that you 
are properly documenting the certified configurations of production vehicles. (d) Selective enforcement audit 
provisions for fuel maps apply to engine manufacturers as specified in 40 CFR 1036.301. See § 1037.315 for selective enforcement audit provisions applicable to powertrain fuel maps. 
(e) We may suspend or revoke 
certificates based on the outcome of a selective enforcement audit for any appropriate configurations within one or more vehicle families. 
(f) We may apply selective 
enforcement audit provisions with respect to off-cycle technologies, with any necessary modifications, consistent with good engineering judgment. 
§ 1037.305 Audit procedures for tractors— 
aerodynamic testing. 
To perform a selective enforcement 
audit with respect to drag area for 
tractors, use the reference method specified in § 1037.525; we may instead require you to use the same method you used for certification. The following provisions apply instead of 40 CFR 1068.420 for a selective enforcement audit with respect to drag area: 
(a) Determine whether or not a tractor 
fails to meet standards as follows: 
(1) We will select a vehicle 
configuration for testing. Perform a coastdown measurement with the vehicle in its production configuration according to § 1037.528. Instead of the process described in § 1037.528(h)(12), determine your test result as described in this paragraph (a). You must have an equal number of runs in each direction. 
(2) Measure a yaw curve for your test 
vehicle using your alternate method according to § 1037.525(b)(3). You do not need to test at the coastdown effective. You may use a previously established yaw curve from your certification testing if it is available. 
(3) Using this yaw curve, perform a 
regression using values of drag area, C
dAalt, and yaw angle, y alt, to determine 
the air-direction correction coefficients, a
0, a1, a2, a3, and a 4, for the following 
equation: 
(4) Adjust the drag area value from 
each coastdown run, C dArun, from the yaw angle of each run, y run, to ±4.5° to 
represent a wind-averaged drag area value, CdAwaby applying Eq. 1037.305– 
1 as follows: 
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(5) Perform additional coastdown 
measurements until you reach a pass or 
fail decision under this paragraph (a). 
(6) Calculate statistical values to 
characterize cumulative test results at least once per day based on an equal number of coastdown runs in each direction. Determine the wind-averaged drag area value for the test C
dAwaby 
averaging all C dAwa-run values for all days of testing. Determine the upper and lower bounds of the drag area value, C
dAwa-bounded, expressed to two decimal 
places, using a confidence interval as follows: 
Where: 
CdAwa-boundeded = the upper bound, C dAwa-upper , 
and lower bound, C dAwa-lower , of the drag 
area value, where C dAwa-upper is the larger 
number. 
CdAwa= the average of all C dAwa-run values. 
s = the standard deviation of all C dArun 
values (see 40 CFR 1065.602(c)). 
n = the total number of coastdown runs. 
(7) Compliance is determined based 
on the values of C dAwa-upper and 
CdAwa-lower relative to the adjusted bin 
boundary. For purposes of this section, 
the upper limit of a bin is expressed as the specified value plus 0.05 to account for rounding. For example, for a bin including values of 5.5–5.9 m
2, being 
above the upper limit means exceeding 5.95. The vehicle reaches a pass or fail decision relative to the adjusted bin boundary based on one of the following criteria: 
(i) The vehicle passes if C
dAwa-upper is 
less than or equal to the upper limit of the bin to which you certified the vehicle. 
(ii) The vehicle fails if C
dAwa-lower is 
greater than the upper limit of the bin to which you certified the vehicle. 
(iii) The vehicle passes if you perform 
100 coastdown runs and C
dAwa-upper is 
greater than and C dAwa-lower is lower 
than the upper limit of the bin to which you certified the vehicle. 
(iv) The vehicle fails if you choose to 
stop testing before reaching a final determination under this paragraph (a)(7). 
(b) If you reach a pass decision on the 
first test vehicle, the emission family passes the SEA and you may stop testing. If you reach a fail decision on the first test vehicle, repeat the testing described in paragraph (a) of this section for two additional vehicles of the same configuration, or of a different configuration that we specify. Continue testing two additional vehicles for each failing vehicle until you reach a pass or fail decision for the family based on one of the following criteria: 
(1) The emission family passes if at 
any point more than 50 percent of the vehicles have reached a pass decision. 
(2) The emission family fails if six 
vehicles reach a fail decision. 
(3) The emission family passes if you 
test 11 vehicles with five or fewer vehicles reaching a fail decision. 
(4) The emission family fails if you 
choose to stop testing before reaching a final determination under this paragraph (b). 
(c) We may suspend a certificate of 
conformity as described in 40 CFR 1068.430 if your emission family fails an SEA, subject to the following provisions: 
(1) We may reinstate a suspended 
certificate if you revise F
alt-aero or make 
other changes to your testing methodology to properly correlate your testing to the reference method specified in § 1037.525. 
(2) We may require you to apply any 
adjustments and corrections determined under paragraph (c)(1) of this section to your other emission families in any future application for certification. 
(d) If we test some of your vehicles in 
addition to your testing, we may decide not to include your test results as official data for those vehicles if there is substantial disagreement between your testing and our testing. We will reinstate your data as valid if you show us that we made an error and your data are correct. If we perform testing, we may choose to stop testing after any number of tests and not determine a failure. (e) If we rely on our test data instead 
of yours, we will notify you in writing of our decision and the reasons we believe your facility is not appropriate for doing the tests we require under this paragraph (b). You may request in writing that we consider your test results from the same facility for future testing if you show us that you have made changes to resolve the problem. 
(f) We may allow you to perform 
additional replicate tests with a given vehicle or to test additional vehicles, consistent with good engineering judgment. 
(g) You must assign the appropriate 
C
dA bin for your compliance 
demonstration at the end of the model year for every configuration you tested that failed under this section. 
§ 1037.310 Audit procedures for trailers. 
(a) We may audit trailer 
manufacturers to ensure that trailers are being produced to conform with the certificate of conformity. If this involves aerodynamic measurements, we will specify how to adapt the protocol described in § 1037.305 to appropriately evaluate trailer performance. 
(b) We may require device 
manufacturers that obtain preliminary approval under § 1037.211 to perform aerodynamic testing of production samples of approved devices to ensure that the devices conform to the approved configuration. 
§ 1037.315 Audit procedures related to 
powertrain testing. 
(a) For vehicles certified based on 
powertrain testing as specified in 
§ 1037.550, we may apply the selective enforcement audit requirements to the powertrain. If engine manufacturers 
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perform the powertrain testing and 
include those results in their certification under 40 CFR part 1036, they are responsible for selective enforcement audits related to those results. Otherwise, the certificate holder for the vehicle is responsible for the selective enforcement audit. 
(b) The following provisions apply for 
a selective enforcement audit with respect to powertrain testing: 
(1) A selective enforcement audit for 
powertrains would generally consist of performing a test with the complete powertrain (engine and transmission together). We may alternatively allow you to test the engine on a dynamometer with no installed transmission as described in § 1037.551. 
(2) Recreate a set of test results for 
each of three separate powertrains. Generate GEM results for each of the configurations that are defined as the centers of each group of four points that define a boundary of cycle work and average powertrain speed divided by average vehicle speed, for each of the three selected powertrains. See 40 CFR 1036.301(b)(2) for an example on how these points are defined. Each unique map for a given configuration with a particular powertrain constitutes a separate test for purposes of evaluating whether the vehicle family meets the pass-fail criteria under 40 CFR 1068.420. The test result for a single test run in the audit is considered passing if it is at or below the value selected as an input for GEM. Perform testing with the same GEM configurations for additional powertrains as needed to reach a pass- fail decision under 40 CFR 1068.240. 
§ 1037.320 Audit procedures for axles and 
transmissions. 
Selective enforcement audit 
provisions apply for axles and 
transmissions relative to the efficiency demonstrations of §§ 1037.560 and 1037.565 as follows: 
(a) A selective enforcement audit for 
axles or transmissions would consist of performing measurements with a production axle or transmission to determine mean power loss values as declared for GEM simulations, and running GEM over one or more applicable duty cycles based on those measured values. The engine is considered passing for a given configuration if the new modeled emission result for every applicable duty cycle is at or below the modeled emission result corresponding to the declared GEM inputs. 
(b) Run GEM for each applicable 
vehicle configuration identified in 40 CFR 1036.540. For axle testing, this may require omitting several vehicle configurations based on selecting axle ratios that correspond to the tested axle. The GEM result for each vehicle configuration counts as a separate test for determining whether the family passes or fails the audit. Select additional production axles or transmissions to perform additional tests as needed. 
Subpart E—In-Use Testing 
§ 1037.401 General provisions. 
(a) We may perform in-use testing of 
any vehicle subject to the standards of 
this part. For example, we may test vehicles to verify drag areas or other GEM inputs as specified in paragraph (b) of this section. 
(b) We may measure the drag area of 
a vehicle you produced after it has been placed into service. We may use any of the procedures as specified in §§ 1037.525 through 1037.527 for measuring drag area. Your vehicle conforms to the regulations of this part with respect to aerodynamic performance if we measure its drag area to be at or below the maximum drag area allowed for the bin to which that configuration was certified. 
Subpart F—Test and Modeling 
Procedures 
§ 1037.501 General testing and modeling 
provisions. 
This subpart specifies how to perform 
emission testing and emission modeling 
required elsewhere in this part. 
(a) Except as specified in subpart B of 
this part, you must demonstrate that you meet emission standards using emission modeling as described in §§ 1037.515 and 1037.520. This modeling depends on several measured values as described in this subpart F. You may use fuel- mapping information from the engine manufacturer as described in 40 CFR 1036.535 and 1036.540, or you may use powertrain testing as described in § 1037.550. 
(b) Where exhaust emission testing is 
required, use equipment and procedures as described in 40 CFR part 1065 and part 1066. Measure emissions of all the exhaust constituents subject to emission standards as specified in 40 CFR part 1065 and part 1066. Use the applicable duty cycles specified in § 1037.510. 
(c) See 40 CFR 86.101 and 86.1813 for 
measurement procedures that apply for evaporative and refueling emissions. 
(d) Use the applicable fuels specified 
40 CFR part 1065 to perform valid tests. 
(1) For service accumulation, use the 
test fuel or any commercially available fuel that is representative of the fuel that in-use vehicles will use. (2) For diesel-fueled vehicles, use the 
appropriate diesel fuel specified for emission testing. Unless we specify otherwise, the appropriate diesel test fuel is ultra-low sulfur diesel fuel. 
(3) For gasoline-fueled vehicles, use 
the gasoline for ‘‘general testing’’ as specified in 40 CFR 86.1305. 
(e) You may use special or alternate 
procedures as specified in 40 CFR 1065.10. 
(f) This subpart is addressed to you as 
a manufacturer, but it applies equally to anyone who does testing for you, and to us when we perform testing to determine if your vehicles meet emission standards. 
(g) Apply this paragraph (g) whenever 
we specify the use of standard trailers. Unless otherwise specified, a tolerance of ± 2 inches applies for all nominal 
trailer dimensions. 
(1) The standard trailer for high-roof 
tractors must meet the following criteria: 
(i) It is an unloaded two-axle dry van 
53.0 feet long, 102 inches wide, and 162 inches high (measured from the ground with the trailer level). 
(ii) It has a king pin located with its 
center 36 ± 0.5 inches from the front of 
the trailer and a minimized trailer gap (no greater than 45 inches). 
(iii) It has a simple orthogonal shape 
with smooth surfaces and nominally flush rivets. Except as specified in paragraph (g)(1)(v) of this section, the standard trailer does not include any aerodynamic features such as side fairings, rear fairings, or gap reducers. It may have a scuff band no more than 0.13 inches thick. 
(iv) It includes dual 22.5 inch wheels, 
standard tandem axle, standard mudflaps, and standard landing gear. The centerline of the tandem axle assembly must be 145 ± 5 inches from 
the rear of the trailer. The landing gear must be installed in a conventional configuration. 
(v) For the Phase 2 standards, include 
side skirts meeting the specifications of this paragraph (g)(1)(v). The side skirts must be mounted flush with both sides of the trailer. The skirts must be an isosceles trapezoidal shape. Each skirt must have a height of 36 ± 2 inches. The 
top edge of the skirt must be straight with a length of 341 ± 2 inches. The 
bottom edge of the skirt must be straight with a length of 268 ± 2 inches and have 
a ground clearance of 8 ± 2 inches 
through that full length. The sides of the skirts must be straight. The rearmost point of the skirts must be mounted 32 ± 2 inches in front of the centerline of 
the trailer tandem axle assembly. We may approve your request to use a skirt with different dimensions if these 
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specified values are impractical or 
inappropriate for your test trailer, and you propose alternative dimensions that provide an equivalent or comparable degree of aerodynamic drag for your test configuration. 
(2) The standard trailer for mid-roof 
tractors is an empty two-axle tank trailer 42 ± 1 feet long by 140 inches high and 
102 inches wide. 
(i) It has a 40 ± 1 feet long cylindrical 
tank with a 7000 ± 7 gallon capacity, 
smooth surface, and rounded ends. 
(ii) The standard tank trailer does not 
include any aerodynamic features such as side fairings, but does include a centered 20 inch manhole, side-centered ladder, and lengthwise walkway. It includes dual 24.5 inch wheels. 
(3) The standard trailer for low-roof 
tractors is an unloaded two-axle flatbed trailer 53 ± 1 feet long and 102 inches 
wide. 
(i) The deck height is 60.0 ± 0.5 
inches in the front and 55.0 ± 0.5 inches 
in the rear. The standard trailer does not include any aerodynamic features such as side fairings. 
(ii) It includes an air suspension and 
dual 22.5 inch wheels on tandem axles. 
(h) Use a standard tractor for 
measuring aerodynamic drag of trailers. Standard tractors must be certified at Bin III (or more aerodynamic if a Bin III tractor is unavailable) for Phase 1 or Phase 2 under § 1037.520(b)(1) or (3). The standard tractor for long trailers is a Class 8 high-roof sleeper cab. The standard tractor for short trailers is a Class 7 or Class 8 high-roof day cab with a 4 × 2 drive-axle configuration. 
§ 1037.510 Duty-cycle exhaust testing. 
This section applies for powertrain 
testing, cycle-average engine fuel mapping, certain off-cycle testing under § 1037.610, and the advanced- technology provisions of § 1037.615. 
(a) Measure emissions by testing the 
vehicle on a chassis dynamometer or the powertrain on a powertrain dynamometer with the applicable duty cycles. Each duty cycle consists of a series of speed commands over time— variable speeds for the transient test and constant speeds for the highway cruise tests. None of these cycles include vehicle starting or warmup. (1) Perform testing for Phase 1 
vehicles as follows to generate credits or adjustment factors for off-cycle or advanced technologies: 
(i) Transient cycle. The transient cycle 
is specified in Appendix I of this part. Warm up the vehicle. Start the duty cycle within 30 seconds after concluding the preconditioning procedure. Start sampling emissions at the start of the duty cycle. 
(ii) Cruise cycle. For the 55 mi/hr and 
65 mi/hr highway cruise cycles, warm up the vehicle at the test speed, then sample emissions for 300 seconds while maintaining vehicle speed within ±1.0 mi/hr of the speed setpoint; this speed tolerance applies instead of the approach specified in 40 CFR 1066.425(b)(1) and (2). 
(2) For cycle-average engine fuel 
mapping under 40 CFR 1036.540 or powertrain testing under §§ 1037.550 or 1037.555, perform testing as described in this paragraph (a)(2) to generate GEM inputs for each simulated vehicle configuration, and for each of the four test runs representing different idle speed settings. You may perform any number of these test runs directly in succession once the engine or powertrain is warmed up. If you interrupt the test sequence with a break of up to 30 minutes, such as to perform analyzer calibration, repeat operation over the previous duty cycle to precondition the vehicle before restarting the test sequence. Perform testing as follows: 
(i) Transient cycle. The transient cycle 
is specified in Appendix I of this part. Initially warm up the engine or powertrain by operating over one transient cycle. Within 60 seconds after concluding the warm up cycle, start emission sampling while the vehicle operates over the duty cycle. 
(ii) Highway cruise cycle. The grade 
portion of the route corresponding to the 55 mi/hr and 65 mi/hr highway cruise cycles is specified in Appendix IV of this part. Initially warm up the engine or powertrain by operating it over the duty cycle. Within 60 seconds after concluding the preconditioning cycle, start emission sampling while the vehicle operates over the duty cycle, maintaining vehicle speed between ¥1.0 mi/hr and 3.0 mi/hr of the speed setpoint; this speed tolerance applies instead of the approach specified in 40 CFR 1066.425(b)(1) and (2). 
(iii) Drive idle. Perform testing at a 
loaded idle condition for Phase 2 vocational vehicles. Warm up the powertrain by operating it at 65 mi/hr for 600 seconds. Within 10 seconds after concluding the preconditioning cycle, set the engine to operate at idle speed for 90 seconds, with the brake applied and the transmission in drive (or clutch depressed for manual transmission), and sample emissions to determine mean emission values (in g/s) over the last 30 seconds of idling. 
(iv) Parked idle. Perform testing at an 
unloaded idle condition for Phase 2 vocational vehicles. Warm up the powertrain by operating it at 65 mi/hr for 600 seconds. Within 60 seconds after concluding the preconditioning cycle, set the engine to operate at idle speed for 600 seconds, with the transmission in park (or the transmission in neutral with the parking brake applied for manual transmissions), and sample emissions to determine mean emission values (in g/s) over the full 600 seconds of idling. 
(3) Where applicable, perform testing 
on a chassis dynamometer as follows: 
(i) Transient cycle. The transient cycle 
is specified in Appendix I of this part. Warm up the vehicle by operating over one transient cycle. Within 60 seconds after concluding the warm up cycle, start emission sampling and operate the vehicle over the duty cycle. 
(ii) Highway cruise cycle. The grade 
portion of the route corresponding to the 55 mi/hr and 65 mi/hr highway cruise cycles is specified in Appendix IV of this part. Warm up the vehicle by operating it at the appropriate speed setpoint over the duty cycle. Within 60 seconds after concluding the preconditioning cycle, start emission sampling and operate the vehicle over the duty cycle, maintaining vehicle speed within ±1.0 mi/hr of the speed setpoint; this speed tolerance applies instead of the approach specified in 40 CFR 1066.425(b)(1) and (2). 
(b) Calculate the official emission 
result from the following equation: 
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Where: 
eCO2comp = total composite mass of CO 2 
emissions in g/ton-mile, rounded to the 
nearest whole number for vocational vehicles and to the first decimal place for tractors. 
PL = the standard payload, in tons, as 
specified in § 1037.705. 
v¯
moving = mean composite weighted driven 
vehicle speed, excluding idle operation, 
as shown in Table 1 of this section for Phase 2 vocational vehicles. For other vehicles, let v ¯
moving = 1. w[cycle] = weighting factor for the appropriate 
test cycle, as shown in Table 1 of this 
section. 
m[cycle] = CO 2mass emissions over each test 
cycle (other than idle). 
D[cycle] = the total driving distance for the 
indicated duty cycle. Use 2.842 miles for the transient cycle, and use 13.429 miles for both of the highway cruise cycles. 
mÔ
[cycle]-idle = CO 2emission rate at idle. 
Example: Class 7 vocational vehicle 
meeting the Phase 2 standards based on the 
Regional duty cycle. PL = 5.6 tons v¯
moving = 38.41 mi/hr 
wtransient = 20% = 0.20 
wdrive-idle = 0% = 0 
wparked-idle = 25% = 0.25 
w55= 24% = 0.24 
w65= 56% = 0.56 
mtransient = 4083 g 
m55= 13834 g 
m65= 17018 g 
Dtransient = 2.8449 miles 
D55= 13.429 miles 
D65= 13.429 miles 
mÔ
drive-idle = 4188 g/hr 
mÔ
parked-idle = 3709 g/hr 
(c) Weighting factors apply for each 
type of vehicle and for each duty cycle 
as follows: 
(1) GEM applies weighting factors for 
specific types of tractors as shown in Table 1 of this section. (2) GEM applies weighting factors for 
vocational vehicles as shown in Table 1 
of this section. Modeling for Phase 2 vocational vehicles depends on characterizing vehicles by duty cycle to apply proper weighting factors and average speed values. Select either Urban, Regional, or Multi-Purpose as 
the most appropriate duty cycle for modeling emission results with each vehicle configuration, as specified in §§ 1037.140 and 1037.150. 
(3) Table 1 follows: 
TABLE 1 OF§ 1037.510—W EIGHTING FACTORS FOR DUTYCYCLES  
Distance-weighted Time-weighted1 Average 
speed 
during 
non-idle 
cycles 
(mi/hr)2 Transient 55 mi/hr 
cruise 
(percent) 65 mi/hr 
cruise 
(percent) Drive idle 
(percent) Parked idle 
(percent) Non-idle 
(percent) 
Day Cabs ............................................. 19 17 64 .................... .................... .................... ..... ...............
Sleeper Cabs ....................................... 5 9 86 .................... .................... .................... ......... ...........
Heavy-haul tractors .............................. 19 17 64 .................... .................... .................... ......... ...........
Vocational—Regional ........................... 20 24 56 0 25 75 38.41 
Vocational—Multi-Purpose (2b–7) ....... 54 29 17 17 25 58 23.18 
Vocational—Multi-Purpose (8) ............. 54 23 23 17 25 58 23.27 
Vocational—Urban (2b–7) ................... 92 8 0 15 25 60 16.25 
Vocational—Urban (8) ......................... 90 10 0 15 25 60 16.51 
Vocational with conventional 
powertrain (Phase 1 only) ................ 42 21 37 .................... .................... .................... ................. ...
Vocational Hybrid Vehicles (Phase 1 
only) .................................................. 75 9 16 .................... .................... .................... .... ................
1Note that these drive idle and non-idle weighting factors do not reflect additional drive idle that occurs during the transient cycle. The tran-
sient cycle does not include any parked idle. 
2These values apply even for vehicles not following the specified speed traces. 
(d) For transient testing, compare 
actual second-by-second vehicle speed with the speed specified in the test cycle and ensure any differences are consistent with the criteria as specified in 40 CFR 1066.425. If the speeds do not 
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conform to these criteria, the test is not 
valid and must be repeated. 
(e) Run test cycles as specified in 40 
CFR part 1066. For testing vehicles 
equipped with cruise control over the highway cruise cycles, use the vehicle’s cruise control to control the vehicle speed. For vehicles equipped with adjustable vehicle speed limiters, test the vehicle with the vehicle speed limiter at its highest setting. 
(f) For Phase 1, test the vehicle using 
its adjusted loaded vehicle weight, unless we determine this would be unrepresentative of in-use operation as specified in 40 CFR 1065.10(c)(1). 
(g) For hybrid vehicles, correct for the 
net energy change of the energy storage device as described in 40 CFR 1066.501. 
§ 1037.515 Determining CO 2emissions to 
show compliance for trailers. 
This section describes a compliance 
approach for trailers that is consistent with the modeling for vocational vehicles and tractors described in § 1037.520, but is simplified consistent 
with the smaller number of trailer 
parameters that affect CO
2emissions. 
Note that the calculated CO 2emission 
rate, eCO2,is equivalent to the value that 
would result from running GEM with the same input values. 
(a) Compliance equation. Calculate 
CO
2emissions for demonstrating 
compliance with emission standards for each trailer configuration. 
(1) Use the following equation: 
Where: 
Ci= constant values for calculating CO 2 
emissions from this regression equation 
derived from GEM, as shown in Table 1 of this section. Let C
5= 0.988 for trailers that have automatic tire inflation systems 
with all wheels, and let C 5= 0.990 for 
trailers that have tire pressure monitoring systems with all wheels (or a mix of the two systems); otherwise, let C
5 
1. TRRL = tire rolling resistance level as 
specified in paragraph (b) of this section. 
DCdA = the DC dA value for the trailer as 
specified in paragraph (c) of this section. 
WR = weight reduction as specified in 
paragraph (d) or (e) of this section. 
TABLE 1 OF§ 1037.515—R EGRESSION COEFFICIENTS FOR CALCULATING CO 2EMISSIONS  
Trailer category C1 C2 C3 C4 
Long dry box van ............................................................................................. 76.1 1.67 ¥5.82 ¥0.00103 
Long refrigerated box van ............................................................................... 77.4 1.75 ¥5.78 ¥0.00103 
Short dry box van ............................................................................................ 117.8 1.78 ¥9.48 ¥0.00258 
Short refrigerated box van ............................................................................... 121.1 1.88 ¥9.36 ¥0.00264 
(2) The following is an example for 
calculating the mass of CO 2emissions, 
eCO2,from a long dry box van that has 
a tire pressure monitoring system for all 
wheels, an aluminum suspension assembly, aluminum floor, and is designated as Bin IV: 
C1= 76.1 
C2= 1.67 
TRRL = 4.6 kg/tonne 
C3= –5.82 
DCdA = 0.7 m2 
C4= –0.00103 
WR = 655 lbs 
C5= 0.990 
eCO2= (76.1 + 1.67 + (¥5.82 ·0.7) + 
(¥0.00103 ·655)) ·0.990 
eCO2= 78.24 g/ton-mile 
(b) Tire rolling resistance. Use the 
procedure specified in § 1037.520(c) to determine the tire rolling resistance 
level for your tires. Note that you may base tire rolling resistance levels on measurements performed by tire manufacturers, as long as those measurements meet this part’s specifications. 
(c) Drag area. You may use DC
dA 
values approved under § 1037.211 for device manufacturers if your trailers are properly equipped with those devices. Determine DC
dA values for other trailers 
based on testing. Measure C dA and 
determine DCdA values as described in 
§ 1037.526(a). You may use DC dA values 
from one trailer configuration to represent any number of additional trailers based on worst-case testing. This 
means that you may apply DC
dA values 
from your measurements to any trailer models of the same category with drag 
area at or below that of the tested configuration. For trailers in the short dry box vans and short refrigerated box vans that are not 28 feet long, apply the DC
dA value established for a comparable 
28-foot trailer model; you may use the same devices designed for 28-foot trailers or you may adapt those devices as appropriate for the different trailer length, consistent with good engineering judgment. For example, 48-foot trailers may use longer side skirts than the skirts that were tested with a 28-foot trailer. Trailer and device manufacturers may seek preliminary approval for these adaptations. Determine bin levels based on DC
dA test results as described in the 
following table: 
TABLE 2 OF§ 1037.515—B INDETERMINATIONS FOR TRAILERS BASED ON AERODYNAMIC TESTRESULTS  
[DC dA in m2] 
If a trailer’s measured DC dA is . . . designate the trailer as . . . and use the 
following value for DC
dA 
≤0.09 ........................................................................................... Bin I ........................... ................................................................. 0.0 
0.10–0.39 .................................................................................... Bin II ............................ ............................................................... 0.1 
0.40–0.69 .................................................................................... Bin III ........................... ............................................................... 0.4 
0.70–0.99 .................................................................................... Bin IV ............................ ............................................................. 0.7 
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TABLE 2 OF§ 1037.515—B INDETERMINATIONS FOR TRAILERS BASED ON AERODYNAMIC TESTRESULTS —Continued 
[DC dA in m2] 
If a trailer’s measured DC dA is . . . designate the trailer as . . . and use the 
following value for DC
dA 
1.00–1.39 .................................................................................... Bin V ............................. ............................................................. 1.0 
1.40–1.79 .................................................................................... Bin VI ............................ ............................................................. 1.4 
>1.80 ........................................................................................... Bin VII ........................ ................................................................ 1.8 
(d) Weight reduction. Determine 
weight reduction for a trailer 
configuration by summing all applicable values, as follows: (1) Determine weight reduction for 
using lightweight materials for wheels 
as described in § 1037.520(e). (2) Apply weight reductions for other 
components made with light-weight 
materials as shown in the following table: 
TABLE 3 OF§ 1037.515—W EIGHT REDUCTIONS FOR TRAILERS  
[pounds] 
Component Material Weight 
reduction 
(pounds) 
Structure for Suspension Assembly1......................................... Aluminum ................................................................................... 280 
Hub and Drum (per axle) ............................................................ Aluminum .................................... ............................................... 80 
Floor2.......................................................................................... Aluminum ................................................................................... 375 
Floor2.......................................................................................... Composite (wood and plastic) ......... .......................................... 245 
Floor Crossmembers2................................................................ Aluminum ................................................................................... 250 
Landing Gear .............................................................................. Aluminum ............................. ...................................................... 50 
Rear Door ................................................................................... Aluminum ........................... ........................................................ 187 
Rear Door Surround ................................................................... Aluminum .................................. ................................................. 150 
Roof Bows ................................................................................... Aluminum ........................... ........................................................ 100 
Side Posts ................................................................................... Aluminum .......................... ......................................................... 300 
Slider Box .................................................................................... Aluminum ......................... .......................................................... 150 
Upper Coupler Assembly ............................................................ Aluminum ..................................... .............................................. 430 
1For tandem-axle suspension sub-frames made of aluminum, apply a weight reduction of 280 pounds. Use good engineering judgment to esti-
mate a weight reduction for using aluminum sub-frames with other axle configurations. 
2Calculate a smaller weight reduction for short trailers by multiplying the indicated values by 0.528 (28/53). 
(e) Off-cycle. You may apply the off- 
cycle provisions of § 1037.610 to trailers as follows: 
(1) You may account for weight 
reduction based on measured values instead of using paragraph (d) of this section. Quantify the weight reduction by measuring the weight of a trailer in a certified configuration and comparing it to the weight of an equivalent trailer without weight-reduction technologies. This qualifies as A to B testing under § 1037.610. Use good engineering judgment to select an equivalent trailer representing a baseline configuration. Use the calculated weight reduction in Eq. 1037.515–1 to calculate the trailer’s CO
2emission rate. 
(2) If your off-cycle technology 
reduces emissions in a way that is proportional to measured emissions as described in § 1037.610(b)(1), multiply the trailer’s CO
2emission rate by the 
appropriate improvement factor. 
(3) If your off-cycle technology does 
not yield emission reductions that are proportional to measured emissions, as described in § 1037.610(b)(2), calculate an adjusted CO
2emission rate for your trailers by subtracting the appropriate 
off-cycle credit. 
(4) Note that these off-cycle 
provisions do not apply for trailers subject to design standards. 
§ 1037.520 Modeling CO 2emissions to 
show compliance for vocational vehicles 
and tractors. 
This section describes how to use the 
Greenhouse gas Emissions Model (GEM) 
(incorporated by reference in § 1037.810) to show compliance with the CO
2standards of §§ 1037.105 and 
1037.106 for vocational vehicles and tractors. Use GEM version 2.0.1 to demonstrate compliance with Phase 1 standards; use GEM Phase 2, Version 3.0 to demonstrate compliance with Phase 2 standards. Use good engineering judgment when demonstrating compliance using GEM. See § 1037.515 for calculation procedures for demonstrating compliance with trailer standards. 
(a) General modeling provisions. To 
run GEM, enter all applicable inputs as 
specified by the model. (1) GEM inputs apply for Phase 1 
standards as follows: 
(i) Model year and regulatory 
subcategory (see § 1037.230). 
(ii) Coefficient of aerodynamic drag or 
drag area, as described in paragraph (b) of this section (tractors only). 
(iii) Steer and drive tire rolling 
resistance, as described in paragraph (c) of this section. 
(iv) Vehicle speed limit, as described 
in paragraph (d) of this section (tractors only). 
(v) Vehicle weight reduction, as 
described in paragraph (e) of this section (tractors only for Phase 1). 
(vi) Automatic engine shutdown 
systems, as described in § 1037.660 (only for Class 8 sleeper cabs). Enter a GEM input value of 5.0 g/ton-mile, or an adjusted value as specified in § 1037.660. 
(2) For Phase 2 vehicles, the GEM 
inputs described in paragraphs (a)(1)(i) through (v) of this section continue to apply. Note that the provisions related to vehicle speed limiters and automatic engine shutdown systems are available for vocational vehicles in Phase 2. The 
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rest of this section describes additional 
GEM inputs for demonstrating compliance with Phase 2 standards. Simplified versions of GEM apply for limited circumstances as follows: 
(i) You may use default engine fuel 
maps for glider kits as described in 
§ 1037.635. 
(ii) If you certify vehicles to the 
custom-chassis standards specified in § 1037.105(h), run GEM by identifying the vehicle type and entering ‘‘NA’’ instead of what would otherwise apply for, tire revolutions per mile, engine 
information, transmission information, drive axle ratio, axle efficiency, and aerodynamic improvement as specified in paragraphs (c)(1), (f), (g)(1), (g)(3), (i), and (m) of this section, respectively. Incorporate other GEM inputs as specified in this section. 
(b) Coefficient of aerodynamic drag 
and drag area for tractors. Determine the appropriate drag area, C
dA, for 
tractors as described in this paragraph (b). Use the recommended method or an alternate method to establish a value for C
dA expressed in m2to one decimal 
place, as specified in § 1037.525. Where 
we allow you to group multiple configurations together, measure C
dA of 
the worst-case configuration. 
(1) Except as specified in paragraph 
(b)(2) of this section, determine the 
Phase 1 bin level for your vehicle based on measured C
dA values as shown in the 
following tables:C dA 
TABLE 1 OF§ 1037.520—C dINPUTS FOR PHASE 1 HIGH-ROOFTRACTORS  
Tractor type Bin level If your meas-
ured DC dA 
(m2) is . . . Then your C d 
input is . . . 
High-Roof Day Cabs ...................................................................................................................... Bin I ............. ≥ 8.0 0.79 
Bin II ............ 7.1–7.9 0.72 
Bin III ........... 6.2–7.0 0.63 
Bin IV .......... 5.6–6.1 0.56 
Bin V ........... ≤ 5.5 0.51 
High-Roof Sleeper Cabs ................................................................................................................ Bin I ............. ≥ 7.6 0.75 
Bin II ............ 6.8–7.5 0.68 
Bin III ........... 6.3–6.7 0.60 
Bin IV .......... 5.6–6.2 0.52 
Bin V ........... ≤5.5 0.47 
TABLE 2 OF§ 1037.520—C dINPUTS FOR PHASE 1 LOW-ROOF AND MID-ROOFTRACTORS  
Tractor type Bin level If your meas-
ured CdA (m2) 
is . . . Then your C d 
input is . . . 
Low-Roof Day and Sleeper Cabs .................................................................................................. Bin I ............. ≥ 5.1 0.77 
Bin II ............ ≤ 5.0 0.71 
Mid-Roof Day and Sleeper Cabs ................................................................................................... Bin I ............. ≥ 5.6 0.87 
Bin II ............ ≤ 5.5 0.82 
(2) For Phase 1 low- and mid-roof 
tractors, you may instead determine 
your drag area bin based on the drag area bin of an equivalent high-roof tractor. If the high-roof tractor is in Bin 
I or Bin II, then you may assume your equivalent low- and mid-roof tractors are in Bin I. If the high-roof tractor is in Bin III, Bin IV, or Bin V, then you may assume your equivalent low- and mid- roof tractors are in Bin II. 
(3) For Phase 2 tractors other than 
heavy-haul tractors, determine bin levels and C
dA inputs as follows: (i) Determine bin levels for high-roof 
tractors based on aerodynamic test 
results as described in the following table: 
TABLE 3 OF§ 1037.520—B INDETERMINATIONS FOR PHASE 2 HIGH-ROOFTRACTORS BASED ON AERODYNAMIC TEST 
RESULTS  
[CdA in m2] 
Tractor type Bin I Bin II Bin III Bin IV Bin V Bin VI Bin VII 
Day Cabs ..................... ≥7.2 6.6–7.1 6.0–6.5 5.5–5.9 5.0–5.4 4.5–4.9 ≤4.4 
Sleeper Cabs ............... ≥6.9 6.3–6.8 5.7–6.2 5.2–5.6 4.7–5.1 4.2–4.6 ≤4.1 
(ii) For low- and mid-roof tractors, 
you may either use the same bin level 
that applies for an equivalent high-roof tractor as shown in Table 3 of this 
section, or you may determine your bin level based on aerodynamic test results as described in Table 4 of this section. 
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TABLE 4 OF§ 1037.520—B INDETERMINATIONS FOR PHASE 2 LOW-ROOF AND MID-ROOFTRACTORS BASED ON  
AERODYNAMIC TESTRESULTS  
[CdA in m2] 
Tractor type Bin I Bin II Bin III Bin IV Bin V Bin VI Bin VII 
Low-Roof Cabs ............ ≥5.4 4.9–5.3 44.5–4.8 4.1–4.4 3.8–4.0 3.5–3.7 ≤3.4 
Mid-Roof Cabs ............. ≥5.9 5.5–5.8 5.1–5.4 4.7–5.0 4.4–4.6 4.1–4.3 ≤4.0 
(iii) Determine the C dA input 
according to the tractor’s bin level as 
described in the following table: 
TABLE 5 OF§ 1037.520—P HASE 2 CdA TRACTOR INPUTS BASED ON BINLEVEL 
Tractor type Bin I Bin II Bin III Bin IV Bin V Bin VI Bin VII 
High-Roof Day Cabs .... 7.45 6.85 6.25 5.70 5.20 4.70 4.20 
High-Roof Sleeper 
Cabs ......................... 7.15 655 5.95 5.40 4.90 4.40 3.90 
Low-Roof Cabs ............ 6.00 5.60 5.15 4.75 4.40 4.10 3.80 
Mid-Roof Cabs ............. 7.00 6.65 6.25 5.85 5.50 5.20 4.90 
(4) Note that, starting in model year 
2027, GEM internally reduces C dAfor 
high-roof tractors by 0.3 m2to simulate 
adding a rear fairing to the standard 
trailer. 
(c) Tire revolutions per mile and 
rolling resistance. You must have a tire revolutions per mile (TRPM) and a tire rolling resistance level (TRRL) for each tire configuration. For purposes of this section, you may consider tires with the same SKU number to be the same configuration. Determine TRRL input values separately for drive and steer tires; determine TRPM only for drive tires. 
(1) Use good engineering judgment to 
determine a tire’s revolutions per mile to the nearest whole number as specified in SAE J1025 (incorporated by reference in § 1037.810). Note that for tire sizes that you do not test, we will treat your analytically derived revolutions per mile the same as test results, and we may perform our own testing to verify your values. We may require you to test a sample of additional tire sizes that we select. 
(2) Measure tire rolling resistance in 
kg per metric ton as specified in ISO 28580 (incorporated by reference in § 1037.810), except as specified in this paragraph (c). Use good engineering judgment to ensure that your test results are not biased low. You may ask us to identify a reference test laboratory to which you may correlate your test results. Prior to beginning the test procedure in Section 7 of ISO 28580 for a new bias-ply tire, perform a break-in procedure by running the tire at the specified test speed, load, and pressure 
for 60 ± 2 minutes. 
(3) For each tire design tested, 
measure rolling resistance of at least three different tires of that specific design and size. Perform the test at least once for each tire. Calculate the arithmetic mean of these results to the nearest 0.1 kg/tonne and use this value or any higher value as your GEM input for TRRL. You must test at least one tire size for each tire model, and may use engineering analysis to determine the rolling resistance of other tire sizes of that model. Note that for tire sizes that you do not test, we will treat your analytically derived rolling resistances the same as test results, and we may perform our own testing to verify your values. We may require you to test a small sub-sample of untested tire sizes that we select. 
(4) If you obtain your test results from 
the tire manufacturer or another third party, you must obtain a signed statement from the party supplying those test results to verify that tests were conducted according to the requirements of this part. Such statements are deemed to be submissions to EPA. 
(5) For tires marketed as light truck 
tires that have load ranges C, D, or E, use as the GEM input TRRL multiplied by 0.87. 
(6) For vehicles with at least three 
drive axles or for vehicles with more than three axles total, use good engineering judgment to combine tire rolling resistance into three values 
(steer, drive 1, and drive 2) for use in GEM. This may require performing a weighted average of tire rolling resistance from multiple axles based on the typical load on each axle. 
(7) For vehicles with a single rear 
axle, enter ‘‘NA’’ as the TRRL value for drive axle 2. 
(d) Vehicle speed limit. If the vehicles 
will be equipped with a vehicle speed limiter, input the maximum vehicle speed to which the vehicle will be limited (in miles per hour rounded to the nearest 0.1 mile per hour) as specified in § 1037.640. Use good engineering judgment to ensure the limiter is tamper resistant. We may require you to obtain preliminary approval for your designs. 
(e) Vehicle weight reduction. Develop 
a weight-reduction as a GEM input as described in this paragraph (e). Enter the sum of weight reductions as described in this paragraph (e), or enter zero if there is no weight reduction. For purposes of this paragraph (e), high- strength steel is steel with tensile strength at or above 350 MPa. 
(1) Vehicle weight reduction inputs 
for wheels are specified relative to dual- wide tires with conventional steel wheels. For purposes of this paragraph (e)(1), an aluminum alloy qualifies as light-weight if a dual-wide drive wheel made from this material weighs at least 21 pounds less than a comparable conventional steel wheel. The inputs are listed in Table 6 of this section. For example, a tractor or vocational vehicle with aluminum steer wheels and eight (4 × 2) dual-wide aluminum drive 
wheels would have an input of 210 pounds (2 × 21 + 8 × 21). 
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TABLE 6 OF§ 1037.520—W HEEL -RELATED WEIGHT REDUCTIONS  
Weight-reduction technology Weight reduction— 
Phase 1 
(lb per wheel) Weight reduction— 
Phase 2 
(lb per wheel) 
Wide-Base Single Drive Tire with:1 
Steel Wheel .................................................................................................................... .................. 84 84 
Aluminum Wheel ................................................................................................................. ............. 139 147 
Light-Weight Aluminum Alloy Wheel .............................................................................................. .. 147 147 
Wide-Base Single Trailer Tire with:1 
Steel Wheel .................................................................................................................... .................. ................................ 84 
Aluminum or Aluminum Alloy Wheel ............................................................................................... . ................................ 131 
Steer Tire, Dual-wide Drive Tire, or Dual-wide Trailer Tire with: 
High-Strength Steel Wheel ...................................................................................................... ......... 8 8 
Aluminum Wheel ................................................................................................................. ............. 21 25 
Light-Weight Aluminum Alloy Wheel .............................................................................................. .. 30 25 
1The weight reduction for wide-base tires accounts for reduced tire weight relative to dual-wide tires. 
(2) Weight reduction inputs for tractor 
components other than wheels are 
specified in the following table: 
TABLE 7 OF§ 1037.520—N ONWHEEL -RELATED WEIGHT REDUCTIONS FROM ALTERNATIVE MATERIALS FOR TRACTORS  
[Pounds] 
Weight reduction technologies Aluminum High-strength 
steel Thermoplastic 
Door ........................................................................................................................... .................. 20 6 ........................
Roof ........................................................................................................................... .................. 60 18 ........................
Cab rear wall .................................................................................................................. ............. 49 16 ........................
Cab floor ...................................................................................................................... ................ 56 18 ........................
Hood Support Structure System .................................................................................................. 15 3 ........................
Hood and Front Fender .......................................................................................................... ..... ........................ ........................ 65 
Day Cab Roof Fairing ........................................................................................................... ....... ........................ ........................ 18 
Sleeper Cab Roof Fairing ....................................................................................................... ..... 75 20 40 
Aerodynamic Side Extender ...................................................................................................... .. ........................ ........................ 10 
Fairing Support Structure System ............................................................................................... 35 6 ........................
Instrument Panel Support Structure ............................................................................................ 5 1 ........................
Brake Drums—Drive (set of 4) ................................................................................................... . 140 74 ........................
Brake Drums—Non Drive (set of 2) ............................................................................................ 60 42 ........................
Frame Rails .................................................................................................................... ............. 440 87 ........................
Crossmember—Cab ................................................................................................................ .... 15 5 ........................
Crossmember—Suspension ........................................................................................................ 25 6 ........................
Crossmember—Non Suspension (3) ........................................................................................... 15 5 ........................
Fifth Wheel .................................................................................................................... ............... 100 25 ........................
Radiator Support ............................................................................................................... ........... 20 6 ........................
Fuel Tank Support Structure .................................................................................................... ... 40 12 ........................
Steps .......................................................................................................................... .................. 35 6 ........................
Bumper ......................................................................................................................... ............... 33 10 ........................
Shackles ....................................................................................................................... ............... 10 3 ........................
Front Axle ..................................................................................................................... ............... 60 15 ........................
Suspension Brackets, Hangers ................................................................................................... 100 30 ........................
Transmission Case .............................................................................................................. ........ 50 12 ........................
Clutch Housing ................................................................................................................. ........... 40 10 ........................
Fairing Support Structure System ............................................................................................... 35 6 ........................
Drive Axle Hubs (set of 4) ..................................................................................................... ...... 80 20 ........................
Non Drive Hubs (2) ............................................................................................................. ......... 40 5 ........................
Two-piece driveshaft ........................................................................................................... ......... 20 5 ........................
Transmission/Clutch Shift Levers ............................................................................................... . 20 4 ........................
(3) Weight-reduction inputs for 
vocational-vehicle components other than wheels are specified in the 
following table: 
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TABLE 8 OF§ 1037.520—N ONWHEEL -RELATED WEIGHT REDUCTIONS FROM ALTERNATIVE MATERIALS FOR PHASE 2 
VOCATIONAL VEHICLES  
[Pounds] 
Component Material Vehicle type 
Light HDV Medium HDV Heavy HDV 
Axle Hubs—Non-Drive .................................... Aluminum ....................................................... 40 40 
Axle Hubs—Non-Drive .................................... High Strength Steel ........................................ 5 5 
Axle—Non-Drive ............................................. Aluminum ....................................................... 60 60  
Axle—Non-Drive ............................................. High Strength Steel ........................................ 15 15 
Brake Drums—Non-Drive ............................... Aluminum ....................................................... 60 60 
Brake Drums—Non-Drive ............................... High Strength Steel ........................................ 42 42 
Axle Hubs—Drive ............................................ Aluminum ....................................................... 40 80 
Axle Hubs—Drive ............................................ High Strength Steel ........................................ 10 20 
Brake Drums—Drive ....................................... Aluminum ....................................................... 70 140 
Brake Drums—Drive ....................................... High Strength Steel ........................................ 37 74 
Suspension Brackets, Hangers ...................... Aluminum ....................................................... 67 100 
Suspension Brackets, Hangers ...................... High Strength Steel ........................................ 20 30 
Crossmember—Cab ....................................... Aluminum ....................................................... 10 15 15 
Crossmember—Cab ....................................... High Strength Steel ........................................ 2 5 5 
Crossmember—Non-Suspension ................... Aluminum ....................................................... 15 15 15 
Crossmember—Non-Suspension ................... High Strength Steel ........................................ 5 5 5 
Crossmember—Suspension ........................... Aluminum ....................................................... 15 25 25 
Crossmember—Suspension ........................... High Strength Steel ........................................ 6 6 6 
Driveshaft ........................................................ Aluminum ..................................................... .. 12 40 50 
Driveshaft ........................................................ High Strength Steel ........................................ 5 10 12 
Frame Rails ..................................................... Aluminum ....................................................... 120 300 440 
Frame Rails ..................................................... High Strength Steel ........................................ 40 40 87 
(4) Apply vehicle weight inputs for 
changing technology configurations as 
follows: 
(i) For Class 8 tractors or for Class 8 
vocational vehicles with a permanent 6 × 2 axle configuration, apply a weight 
reduction input of 300 pounds. This does not apply for coach buses certified to custom-chassis standards under § 1037.105(h). 
(ii) For Class 8 tractors with 4 × 2 axle 
configuration, apply a weight reduction input of 400 pounds. 
(iii) For tractors with installed engines 
with displacement below 14.0 liters, apply a weight reduction of 300 pounds. 
(iv) For tractors with single-piece 
driveshafts with a total length greater than 86 inches, apply a weight reduction of 43 pounds for steel driveshafts and 63 pounds for aluminum driveshafts. 
(5) You may ask to apply the off-cycle 
technology provisions of § 1037.610 for weight reductions not covered by this paragraph (e). 
(f) Engine characteristics. Enter 
information from the engine manufacturer to describe the installed engine and its operating parameters as described in 40 CFR 1036.510. The fuel- mapping information must apply for the vehicle’s GVWR; for example, if you install a medium heavy-duty engine in a Class 8 vehicle, the engine must have additional fuel-mapping information for the heavier vehicle. Note that you do not need fuel consumption at idle for tractors. 
(g) Vehicle characteristics. Enter the 
following information to describe and the vehicle and its operating parameters: 
(1) Transmission make, model, and 
type. Also identify the gear ratio for every available forward gear to two decimal places, and identify the lowest gear involving a locked torque converter, if applicable. For vehicles with a manual transmission, GEM applies a 2% emission increase relative to automated manual transmissions. If your vehicle has a dual-clutch transmission, use good engineering judgment to determine if it can be accurately represented in GEM as an automated manual transmission. We may require you to perform a powertrain test with dual-clutch transmissions to show that they can be properly simulated as an automated manual transmission. 
(2) Drive axle configuration. Select a 
drive axle configuration to represent your vehicle for modeling. 
(i) 4 × 2: One drive axle and one non- 
drive axle. 
(ii) 6 × 2: One drive axle and two non- 
drive axles. 
(iii) 6 × 4: Two or more drive axles, 
or more than three total axles. Note that this includes, for example, a vehicle with two drive axles out of four total axles (otherwise known as an 8×4 configuration). 
(iv) 6 × 4D: An axle that can 
automatically switch between 6 × 2 and 
6 × 4 configuration. When the axle is in 
the 6 × 2 configuration the input and 
output of the disconnectable axle must be mechanically disconnected from the drive shaft and the wheels to qualify. 
(3) Drive axle ratio, k
a.If a vehicle is 
designed with two or more user- selectable axle ratios, use the drive axle ratio that is expected to be engaged for the greatest driving distance. If the vehicle does not have a drive axle, such as a hybrid vehicle with direct electric drive, let k
a= 1. 
(4) GEM inputs associated with 
powertrain testing include powertrain family, transmission calibration identifier, test data from § 1037.550, and the powertrain test configuration (dynamometer connected to transmission output or wheel hub). You do not need to identify or provide inputs for transmission gear ratios, fuel map data, or engine torque curves, which would otherwise be required under paragraph (f) of this section. 
(h) Idle-reduction technologies. 
Identify whether your vehicle has qualifying idle-reduction technologies, subject to the qualifying criteria in § 1037.660, as follows: 
(1) Stop-start technology and 
automatic engine shutdown systems 
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apply for vocational vehicles. See 
paragraph (j) of this section for automatic engine shutdown systems for tractors. 
(2) Neutral idle applies for tractors 
and vocational vehicles. 
(i) Axle and transmission efficiency. 
You may use axle efficiency maps as described in § 1037.560 and transmission efficiency maps as described in § 1037.565 to replace the default values in GEM. If you obtain your test results from the axle manufacturer, transmission manufacturer, or another third party, you must obtain a signed statement from the party supplying those test results to verify that tests were conducted according to the requirements of this part. Such statements are deemed to be submissions to EPA. 
(j) Additional reduction technologies. 
Enter input values in GEM as follows to characterize the percentage CO
2 
emission reduction corresponding to certain technologies and vehicle 
configurations, or enter 0: 
(1) Intelligent controls. Enter 2 for 
tractors with predictive cruise control. This includes any cruise control system that incorporates satellite-based global- positioning data for controlling operator demand. For other vehicles, enter 1.5 if they have neutral coasting, unless good engineering judgment indicates that a lower percentage should apply. 
(2) Accessory load. Enter the 
following values related to accessory loads; if more than one item applies, enter the sum of those values: 
(i) If vocational vehicles have 
electrically powered pumps for steering, enter 0.5 for vocational vehicles certified with the Regional duty cycle, and enter 1 for tractors and other vocational vehicles. 
(ii) If tractors have electrically 
powered pumps for both steering and 
engine cooling, enter 1. 
(iii) If vehicles have a high-efficiency 
air conditioning compressor, enter 0.5 for tractors and vocational Heavy HDV, 
and enter 1 for other vocational vehicles. This includes mechanically powered compressors meeting the specifications described in 40 CFR 86.1868–12(h)(5), and all electrically powered compressors. 
(3) Tire-pressure systems. Enter 1.2 for 
vehicles with automatic tire inflation systems on all axles (1.1 for Multi- Purpose and Urban vocational vehicles). Enter 1.0 for vehicles with tire pressure monitoring systems on all axles (0.9 for Multi-Purpose and Urban vocational vehicles). If vehicles use a mix of the two systems, treat them as having only tire pressure monitoring systems. 
(4) Extended-idle reduction. Enter 
values as shown in the following table 
for sleeper cabs equipped with idle- reduction technology meeting the requirements of § 1037.660 that are designed to automatically shut off the main engine after 300 seconds or less: 
TABLE 9 OF§ 1037.520—GEM I NPUT VALUES FOR AES S YSTEMS  
Technology GEM input values 
Adjustable Tamper-resistant 
Standard AES system ............................................................................................................ ......................... 1 4 
With diesel APU ................................................................................................................ ............................... 3 4 
With battery APU ............................................................................................................... .............................. 5 6 
With automatic stop-start ...................................................................................................... ........................... 3 3 
Fuel-operated heater ........................................................................................................... ............................ 2 3 
(5) Other. Additional GEM inputs may 
apply as follows: 
(i) Enter 1.7 and 0.9, respectively, for 
school buses and coach buses that have 
at least seven available forward gears. 
(ii) If we approve off-cycle technology 
under § 1037.610 in the form of an improvement factor, enter the improvement factor expressed as a percentage reduction in CO
2emissions. 
(Note: In the case of approved off-cycle 
technologies whose benefit is quantified as a g/ton-mile credit, apply the credit to the GEM result, not as a GEM input value.) 
(k) Vehicles with hybrid power take- 
off. For vocational vehicles, determine 
the delta PTO emission result of your engine and hybrid power take-off system as described in § 1037.540. 
(l) [Reserved] 
(m) Aerodynamic improvements for 
vocational vehicles. For vocational 
vehicles certified using the Regional duty cycle, enter DC
dA values to account 
for using aerodynamic devices as follows: 
(1) Enter 0.2 for vocational vehicles 
with an installed rear fairing if the vehicle is at least 7 m long with a minimum frontal area of 8 m
2. 
(2) For vehicles at least 11 m long 
with a minimum frontal area of 9 m2, 
enter 0.5 if the vehicle has both skirts and a front fairing, and enter 0.3 if it has only one of those devices. 
(3) You may determine input values 
for these or other technologies based on aerodynamic measurements as described in § 1037.527. 
(n) Alternate fuels. For fuels other 
than those identified in GEM, perform the simulation by identifying the vehicle as being diesel-fueled if the engine is subject to the compression- ignition standard, or as being gasoline- fueled if the engine is subject to the spark-ignition standards. Correct the engine or powertrain fuel map for mass- specific net energy content as described in 40 CFR 1036.535(b). 
§ 1037.525 Aerodynamic measurements 
for tractors. 
This section describes a methodology 
for quantifying aerodynamic drag for 
use in determining input values for tractors as described in § 1037.520. (a) General provisions. The GEM 
input for a tractor’s aerodynamic performance is a C
dvalue for Phase 1 
and a C dA value for Phase 2. The input 
value is measured or calculated for a tractor in a specific test configuration with a trailer, such as a high-roof tractor with a box van meeting the requirements for the standard trailer. 
(1) Aerodynamic measurements may 
involve any of several different procedures. Measuring with different procedures introduces variability, so we identify the coastdown method in § 1037.528 as the primary (or reference) procedure. You may use other procedures with our advance approval as described in paragraph (d) of this section, but we require that you adjust your test results from other test methods to correlate with coastdown test results. All adjustments must be consistent with good engineering judgment. Submit information describing how you quantify aerodynamic drag from coastdown testing, whether or not you use an alternate method. 
(2) Test high-roof tractors with a 
standard trailer as described in § 1037.501(g)(1). Note that the standard 
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trailer for Phase 1 tractors is different 
from that of later model years. Note also that GEM may model a different configuration than the test configuration, but accounts for this internally. Test low-roof and mid-roof tractors without a trailer; however, you may test low-roof and mid-roof tractors with a trailer to evaluate off-cycle technologies. (b) Adjustments to correlate with 
coastdown testing. Adjust aerodynamic drag values from alternate methods to be equivalent to the corresponding values from coastdown measurements as follows: 
(1) Determine the functional 
relationship between your alternate method and coastdown testing. Unless good engineering judgment dictates otherwise, assume that coastdown drag is proportional to drag measured using alternate methods. This means you may apply a constant adjustment factor, F
alt-aero , for a given alternate drag 
measurement method using the following equation, where the effective yaw angle, y
eff, is assumed to be zero 
degrees for Phase 1 and is determined from coastdown test results for Phase 2: 
(2) Determine F alt-aero by performing 
coastdown testing and applying your alternate method on the same vehicles. Consider all applicable test data including data collected during selective enforcement audits. Where you have test results from multiple vehicles expected to have the same F
alt-aero , you 
may either average the F alt-aero values or 
select any greater value. Unless we approve another vehicle, one vehicle must be a Class 8 high-roof sleeper cab with a full aerodynamics package pulling a standard trailer. Where you have more than one tractor model meeting these criteria, use the tractor model with the highest projected sales. If you do not have such a tractor model, you may use your most comparable tractor model with our prior approval. In the case of alternate methods other than those specified in this subpart, good engineering judgment may require you to determine your adjustment factor based on results from more than the specified minimum number of vehicles. 
(3) Measure the drag area using your 
alternate method for a Phase 2 tractor used to determine F
alt-aero with testing at 
yaw angles of 0°, ±1°, ±3°, ±4.5°, ±6°, 
and ±9° (you may include additional 
angles), using direction conventions described in Figure 2 of SAE J1252 (incorporated by reference in § 1037.810). Also, determine the drag area at the coastdown effective yaw angle, C
dAeffective-yaw-alt , by taking the 
average drag area at y effand ¥y efffor 
your vehicle using the same alternate method. 
(4) For Phase 2 testing, determine 
separate values of F
alt-aero for a minimum 
of one high-roof day cab and one high- roof sleeper cab for 2021, 2024, and 2027 model years based on testing as described in paragraph (b)(2) of this section (six tests total). For any untested tractor models, apply the value of F
alt-aero  
from the tested tractor model that best represents the aerodynamic characteristics of the untested tractor model, consistent with good engineering judgment. Testing under this paragraph (b)(4) continues to be valid for later model years until you change the tractor model in a way that causes the test results to no longer represent production vehicles. You must also determine unique values of F
alt-aero for 
low-roof and mid-roof tractors if you determine C
dA values based on low or 
mid-roof tractor testing as shown in Table 4 of § 1037.520. For Phase 1 testing, if good engineering judgment allows it, you may calculate a single, constant value of F
alt-aero for your whole 
product line by dividing the coastdown drag area, C
dAcoastdown , by C dAalt. 
(5) Determine F alt-aero to at least three 
decimal places. For example, if your coastdown testing results in a drag area of 6.430, but your wind tunnel method results in a drag area of 6.200, F
alt-aero  
would be 1.037 (or a higher value you declare). 
(6) If a tractor and trailer cannot be 
configured to meet the gap requirements, test with the trailer positioned as close as possible to the specified gap dimension and use good engineering judgment to correct the results to be equivalent to a test configuration meeting the specified gap dimension. 
(c) Yaw sweep corrections. 
Aerodynamic features can have a different effectiveness for reducing wind-averaged drag than is predicted by zero-yaw drag. The following procedures describe how to determine a tractor’s C
dA values to account for wind- 
averaged drag and differences from coastdown testing: 
(1) For Phase 2 testing with an 
alternate method, apply the following method using your alternate method for aerodynamic testing: 
(i) For all testing, calculate the wind- 
averaged drag area from the alternate method, C
dAwa-alt, using an average of 
measurements at ¥4.5 and +4.5 degrees. 
(ii) Determine your wind-averaged 
drag area, C dAwa, rounded to one 
decimal place, using the following equation: 
(2) For Phase 2 coastdown test results, 
apply the following method: 
(i) For all coastdown testing, 
determine your effective yaw angle from 
coastdown, CdAeffective-yaw-coastdown . (ii) Use an alternate method to 
calculate the ratio of the wind-averaged 
drag area (using an average of measurements at ¥4.5 and +4.5 degrees, C
dAwa-alt) to the drag area at the effective 
yaw angle, C dAeffective-yaw . (iii) Determine your wind-averaged 
drag area, C dAwa, rounded to one 
decimal place, using the following 
equation: 
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(3) Different approximations apply for 
Phase 1. For Phase 1 testing, you may 
correct your zero-yaw drag area as follows if the ratio of the zero-yaw drag area divided by yaw-sweep drag area for your vehicle is greater than 0.8065 (which represents the ratio expected for 
a typical Class 8 high-roof sleeper cab): 
(i) Determine the zero-yaw drag area, 
C
dAzero-yaw , and the yaw-sweep drag area 
for your vehicle using the same alternate 
method as specified in this subpart. Measure the drag area for 0°, ¥6°, and +6°. Use the arithmetic mean of the ¥6° 
and +6° drag areas as the ±6° drag area, 
C
dA±6. 
(ii) Calculate your yaw-sweep 
correction factor, CF ys,using the 
following equation: 
(iii) Calculate your corrected drag area 
for determining the aerodynamic bin by multiplying the measured zero-yaw drag area by CF
ys,as determined using Eq. 
1037.525–4, as applicable. You may apply the correction factor to drag areas measured using other procedures. For example, apply CF
ysto drag areas 
measured using the coastdown method. If you use an alternate method, apply an alternate correction, F
alt-aero, and 
calculate the final drag area using the 
following equation: 
(iv) You may ask us to apply CF ysto 
similar vehicles incorporating the same 
design features. 
(v) As an alternative, you may 
calculate the wind-averaged drag area according to SAE J1252 (incorporated by reference in § 1037.810) and substitute this value into Eq. 1037.525–4 for the ±6° drag area. 
(d) Approval of alternate methods. 
You must obtain preliminary approval before using any method other than coastdown testing to quantify aerodynamic drag. We will approve your request if you show that your procedures produce data that are the same as or better than coastdown testing with respect to repeatability and unbiased correlation. Note that the correlation is not considered to be biased if there is a bias before correction, but you remove the bias using F
alt-aero. Send your request for 
approval to the Designated Compliance Officer. Keep records of the information specified in this paragraph (d). Unless we specify otherwise, include this information with your request. You must provide any information we require to evaluate whether you may apply the provisions of this section. Include additional information related to your alternate method as described in §§ 1037.530 through 1037.534. If you use a method other than those specified in this subpart, include all the following information, as applicable: 
(1) Official name/title of the 
procedure. 
(2) Description of the procedure. 
(3) Cited sources for any standardized 
procedures that the method is based on. 
(4) Description and rationale for any 
modifications/deviations from the 
standardized procedures. 
(5) Data comparing the procedure to 
the coastdown reference procedure. 
(6) Additional information specified 
for the alternate methods described in §§ 1037.530 through 1037.534 as applicable to this method (e.g., source 
location/address, background/history). 
§ 1037.526 Aerodynamic measurements 
for trailers. 
This section describes a methodology 
for determining aerodynamic drag area, 
CdA for use in determining input values 
for box vans as described in §§ 1037.515 and 1037.520. 
(a) A trailer’s aerodynamic 
performance for demonstrating compliance with standards is based on a DC
dA value relative to a baseline trailer. Determine these DC dA values by 
performing A to B testing, as follows: 
(1) Determine a baseline C dA value for 
a standard tractor pulling a test trailer 
representing a production configuration; use a 53-foot test trailer to represent long trailers and a 28-foot test trailer to represent short trailers. Repeat this testing with the same tractor and the applicable baseline trailer. For testing long trailers, the baseline trailer is a trailer meeting the specifications for a Phase 1 standard trailer in § 1037.501(g)(1); for testing refrigerated box vans, use a baseline trailer with an installed HVAC unit that properly represents a baseline configuration correlated with the production configuration. For testing short trailers, use a 28-foot baseline trailer with a single axle that meets the same specifications as the Phase 1 standard trailer, except as needed to accommodate the reduced trailer length. 
(2) Use good engineering judgment to 
perform paired tests that accurately demonstrate the reduction in aerodynamic drag associated with the improved design. For example, the gap dimension should be the same for all paired tests, and effective yaw angle 
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between paired tests should differ by no 
more than 1.0°. 
(3) Measure C dA in m2to two decimal 
places. Calculate DC dA by subtracting 
the drag area for the test trailer from the drag area for the baseline trailer. 
(b) The default method for measuring 
is the wind-tunnel procedure as specified in § 1037.530. You may test using alternate methods as follows: 
(1) If we approve it in advance, you 
may instead use one of the alternate methods specified in §§ 1037.528 through 1037.532, consistent with good engineering judgment, which may require that you adjust your test results from the alternate test method to correlate with the primary method. If you request our approval to determine DC
dA using an alternate method, you 
must submit additional information as 
described in paragraph (d) of this section. 
(2) The principles of 40 CFR 
1065.10(c)(1) apply for aerodynamic test methods. Specifically, we may require that you use coastdown measurements if we determine that certain technologies are not suited to evaluation with wind- tunnel testing or CFD, such as nonrigid materials whose physical characteristics change in scaled-model testing. You may similarly reference 40 CFR 1065.10(c)(1) in your request to use coastdown testing as an alternate method. 
(c) The following provisions apply for 
combining multiple devices under this section for the purpose of certifying trailers: 
(1) If the device manufacturer 
establishes a DC
dA value in a single test 
with multiple aerodynamic devices installed, trailer manufacturers may use that DC
dA value directly for the same 
combination of aerodynamic devices installed on production trailers. 
(2) Trailer manufacturers may 
combine DC
dA values for aerodynamic 
devices that are not tested together, as long as each device does not significantly impair the effectiveness of another, consistent with good engineering judgment. To approximate the overall benefit of multiple devices, calculate a composite DC
dA value for 
multiple aerodynamic devices by applying the full DC
dA value for the 
device with the greatest aerodynamic improvement, adding the second- highest DC
dA value multiplied by 0.9, 
and adding any other DC dA values 
multiplied by 0.8. 
(d) You must send us a description of 
your plan to perform testing under this section before you start testing. We will evaluate whether plans for wind-tunnel testing meet the specifications of § 1037.530, and will tell you if you may or must use any other method to determine drag coefficients. We will approve your request to use an alternate method if you show that your procedures produce data that are the same as or better than wind-tunnel testing with respect to repeatability and unbiased correlation. Note that the correlation is not considered to be biased if there is a bias before correction, but you apply a correction to remove the bias. Send your testing plan to the Designated Compliance Officer. Keep records of the information specified in this paragraph (d). Unless we specify otherwise, include this information with your request. You must provide any information we require to evaluate whether you may apply the provisions of this section. Include additional information related to your alternate method as described in §§ 1037.528 through 1037.534. 
§ 1037.527 Aerodynamic measurements 
for vocational vehicles. 
This section describes a methodology 
for determining aerodynamic drag area, 
CdA, for use in determining input values 
for vocational vehicles as described in § 1037.520. This measurement is optional. 
(a) Determine DC
dA values by 
performing A to B testing as described for trailers in § 1037.526, with any appropriate adjustments, consistent with good engineering judgment. 
(b) [Reserved] 
§ 1037.528 Coastdown procedures for 
calculating drag area (C dA). 
The coastdown procedures in this 
section describe how to calculate drag 
area, CdA, for Phase 2 tractors, trailers, 
and vocational vehicles, subject to the provisions of §§ 1037.525 through 1037.527. These procedures are considered the primary procedures for tractors, but alternate procedures for trailers. Follow the provisions of Sections 1 through 9 of SAE J2263 (incorporated by reference in § 1037.810), with the clarifications and exceptions described in this section. Several of these exceptions are from SAE J1263 (incorporated by reference in § 1037.810). The coastdown procedures in 40 CFR 1066.310 apply instead of the provisions of this section for Phase 1 tractors. 
(a) The terms and variables identified 
in this section have the meaning given in SAE J1263 (incorporated by reference in § 1037.810) and J2263 unless specified otherwise. 
(b) To determine C
dA values for a 
tractor, perform coastdown testing with a tractor-trailer combination using the manufacturer’s tractor and a standard trailer. To determine C
dA values for a 
trailer, perform coastdown testing with a tractor-trailer combination using a standard tractor. Prepare tractors and trailers for testing as follows: 
(1) Install instrumentation for 
performing the specified measurements. 
(2) After adding vehicle 
instrumentation, verify that there is no brake drag or other condition that prevents the wheels from rotating freely. Do not apply the parking brake at any point between this inspection and the end of the measurement procedure. 
(3) Install tires mounted on steel rims 
in a dual configuration (except for steer tires). The tires must— 
(i) Be SmartWay-Verified or have a 
coefficient of rolling resistance at or below 5.1 kg/metric ton. 
(ii) Have accumulated at least 2,000 
miles but have no less than 50 percent of their original tread depth, as specified for truck cabs in SAE J1263. 
(iii) Not be retreads or have any 
apparent signs of chunking or uneven wear. 
(iv) Be size 295/75R22.5 or 275/ 
80R22.5. 
(v) Be inflated to the proper tire 
pressure as specified in Sections 6.6 and 8.1 of SAE J2263. 
(vi) Be of the same tire model for a 
given axle. 
(4) Perform an inspection or wheel 
alignment for both the tractor and the trailer to ensure that wheel position is within the manufacturer’s specifications. 
(c) The test condition specifications 
described in Sections 7.1 through 7.4 of SAE J1263 apply, with the following exceptions and additional provisions: 
(1) We recommend that you not 
perform coastdown testing if winds are expected to exceed 6.0 mi/hr. 
(2) The average of the component of 
the wind speed parallel to the road must not exceed 6.0 mi/hr. This constraint is in addition to those in Section 7.3 of SAE J1263. 
(3) If road grade is greater than 0.02% 
over the length of the test surface, you must determine elevation as a function of distance along the length of the test surface and incorporate this into the analysis. 
(4) Road grade may exceed 0.5% for 
limited portions of the test surface as long as it does not affect coastdown results, consistent with good engineering judgment. 
(5) The road surface temperature must 
be at or below 50 °C. Use good engineering judgment to measure road surface temperature. 
(d) C
dA calculations are based on 
measured speed values while the vehicle coasts down through a high- 
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speed range from 70 to 60 mi/hr, and 
through a low-speed range from 20 to 10 mi/hr. Disable any vehicle speed limiters that prevent travel above 72 mi/ hr. Measure vehicle speed at a minimum recording frequency of 10 Hz, in conjunction with time-of-day data. Determine vehicle speed using either of the following methods: 
(1) Complete coastdown runs. Operate 
the vehicle at a top speed above 72.0 mi/hr and allow the vehicle to coast down to 8.0 mi/hr or lower. Collect data for the high-speed range over a test segment that includes speeds from 72.0 down to 58.0 mi/hr, and collect data for the low-speed range over a test segment that includes speeds from 22.0 down to 8.0 mi/hr. 
(2) Split coastdown runs. Collect data 
during a high-speed coastdown while the vehicle coasts through a test segment that includes speeds from 72.0 mi/hr down to 58.0 mi/hr. Similarly, collect data during a low-speed coastdown while the vehicle coasts through a test segment that includes speeds from 22.0 mi/hr down to 8.0 mi/ hr. Perform one high-speed coastdown segment or two consecutive high-speed coastdown segments in one direction, followed by the same number of low- speed coastdown segments in the same direction, and then perform that same number of measurements in the opposite direction. You may not split runs as described in Section 9.3.1 of SAE J2263 except as allowed under this paragraph (d)(2). 
(e) Measure wind speed, wind 
direction, air temperature, and air pressure at a recording frequency of 10 Hz, in conjunction with time-of-day data. Use at least one stationary electro- mechanical anemometer and suitable data loggers meeting SAE J1263 specifications, subject to the following additional specifications for the anemometer placed along the test surface: (1) You must start a coastdown 
measurement within 24 hours after completing zero-wind and zero-angle calibrations. 
(2) Place the anemometer at least 50 
feet from the nearest tree and at least 25 feet from the nearest bush (or equivalent features). Position the anemometer adjacent to the test surface, near the midpoint of the length of the track, between 2.5 and 3.0 body widths from the expected location of the test vehicle’s centerline as it passes the anemometer. Record the location of the anemometer along the test track, to the nearest 10 feet. 
(3) Mount the anemometer at a height 
that is within 6 inches of half the test vehicle’s body height. 
(4) The height of vegetation 
surrounding the anemometer may not exceed 10% of the anemometer’s mounted height, within a radius equal to the anemometer’s mounted height. 
(f) Measure air speed and relative 
wind direction (yaw angle) onboard the vehicle at a minimum recording frequency of 10 Hz, in conjunction with time-of-day data, using an anemometer and suitable data loggers that meet the requirements of Sections 5.4 of SAE J2263. The yaw angle must be measured to a resolution and accuracy of ±0.5°. Mount the anemometer such that it measures air speed at 1.5 meters above the top of the leading edge of the trailer. If obstructions at the test site do not allow for this mounting height, then mount the anemometer such that it measures air speed at least 0.85 meters above the top of the leading edge of the trailer. 
(g) Perform the following calculations 
to filter and correct measured data: 
(1) For any measured values not 
identified as outliers, use those measured values directly in the calculations specified in this section. Filter air speed, yaw angle, wind speed, wind direction, and vehicle speed measurements to replace outliers for every measured value as follows: 
(i) Determine a median measured 
value to represent the measurement point and the measurements 3 seconds before and after that point. In the first and last three seconds of the coastdown run, use all available data to determine the median measured value. The measurement window for determining the median value will accordingly include 61 measurements in most cases, and will always include at least 31 measurements (for 10 Hz recording frequency). 
(ii) Determine the median absolute 
deviation corresponding to each measurement window from paragraph (g)(1)(i) of this section. This generally results from calculating 61 absolute deviations from the median measured value and determining the median from those 61 deviations. Calculate the standard deviation for each measurement window by multiplying the median absolute deviation by 1.4826; calculate three standard deviations by multiplying the median absolute deviation by 4.4478. Note that the factor 1.4826 is a statistical constant that relates median absolute deviations to standard deviations. 
(iii) A measured value is an outlier if 
the measured value at a given point differs from the median measured value by more than three standard deviations. Replace each outlier with the median measured value from paragraph (g)(1)(i) of this section. This technique for filtering outliers is known as the Hampel method. 
(2) For each high-speed and each low- 
speed segment, correct measured air speed using the wind speed and wind direction measurements described in paragraph (e) of this section as follows: 
(i) Calculate the theoretical air speed, 
v
air,th, for each 10-Hz set of 
measurements using the following equation: 
Where: 
w = filtered wind speed. 
v = filtered vehicle speed. 
<w= filtered wind direction. Let < w= 0° for 
air flow in the first travel direction, with 
values increasing counterclockwise. For example, if the vehicle starts by traveling 
eastbound, then < w= 270° means a wind 
from the south. 
<veh= the vehicle direction. Use < veh= 0° for 
travel in the first direction, and use 
<veh= 180° for travel in the opposite 
direction. Example:  
w = 7.1 mi/hr 
v = 64.9 mi/hr 
<w= 47.0° 
<veh= 0° 
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vair,th= 69.93 mi/hr (ii) Perform a linear regression using 
paired values of v air,thand measured air 
speed, vair,meas , to determine the air- speed correction coefficients, a 0and a1, 
based on the following equation: 
(iii) Correct each measured value of 
air speed using the following equation: 
(3) Correct measured air direction 
using the wind speed and wind direction measurements described in 
paragraph (e) of this section as follows: (i) Calculate the theoretical air 
direction, yair,th, using the following 
equation: 
Example:  
w = 7.1 mi/hr v = 64.9 mi/hr 
<w= 47.0° <veh= 0° 
yair,th= 4.26° (ii) Perform a linear regression using 
paired values of y air,thand measured air 
direction, yair,meas , to determine the air- direction correction coefficients, b 0and 
b1,based on the following equation: 
(iii) Correct each measured value of 
air direction using the following 
equation: 
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(h) Determine drag area, C dA, using 
the following procedure instead of the 
procedure specified in Section 10 of SAE J1263: 
(1) Calculate the vehicle’s effective 
mass, M
e, to account for rotational 
inertia by adding 56.7 kg to the measured vehicle mass, M, (in kg) for 
each tire making road contact. 
(2) Operate the vehicle and collect 
data over the high-speed range and low- speed range as specified in paragraph (d)(1) or (2) of this section. If the vehicle has a speed limiter that prevents it from exceeding 72 mi/hr, you must disable the speed limiter for testing. (3) Calculate mean vehicle speed at 
each speed start point (70 and 20 mi/hr) 
and end point (60 and 10 mi/hr) as follows: 
(i) Calculate the mean vehicle speed 
to represent the start point of each speed range as the arithmetic average of measured speeds throughout the speed interval defined as 2.00 mi/hr above the nominal starting speed point to 2.00 mi/ hr below the nominal starting speed 
point, expressed to at least two decimal places. Determine the timestamp corresponding to the starting point of each speed range as the time midpoint of the ±2.00 mi/hr speed interval. (ii) Repeat the calculations described 
in paragraph (h)(3)(i) of this section 
corresponding to the end point speed (60 or 10 mi/hr) to determine the time at which the vehicle reaches the end speed, and the mean vehicle speed representing the end point of each speed range. 
(iii) If you incorporate grade into your 
calculations, use the average values for 
the elevation and distance traveled over each interval. 
(4) Calculate the road-load force, F, 
for each speed range using the following equation: 
Where: 
Me= the vehicle’s effective mass. 
v¯= average vehicle speed at the start or end 
of each speed range, as described in 
paragraph (h)(3) of this section. 
t¯= timestamp at which the vehicle reaches 
the starting or ending speed expressed to at least one decimal place. 
M = the vehicle’s measured mass. 
a
g= acceleration of Earth’s gravity, as 
described in 40 CFR 1065.630. h¯= average elevation at the start or end of 
each speed range expressed to at least two decimal places. 
D¯= distance traveled on the road surface 
from a fixed reference location along the road to the start or end of each speed range expressed to at least one decimal place. 
Example:  
M
e= 17,129 kg (18 tires in contact with the 
road surface) v¯start= 69.97 mi/hr = 31.28 m/s 
v¯end= 59.88 mi/hr = 26.77 m/s 
t¯start= 3.05 s 
t¯end= 19.11 s 
M = 16,108 kg 
ag= 9.8061 m/s2 
h¯start= 0.044 m 
h¯end= 0.547 m 
D¯start= 706.8 ft = 215.4 m 
D¯end= 2230.2 ft = 697.8 m 
F = 4645.5 N 
(5) For tractor testing, calculate the 
drive-axle spin loss force at high and 
low speeds, F spin[speed] , and determine 
DFspinas follows: (i) Use the results from the axle 
efficiency test described in § 1037.560 for the drive axle model installed in the tractor being tested for this coastdown procedure. (ii) Perform a second-order regression 
of axle power loss in W from only the 
zero-torque test points with wheel speed, f
nwheel , in r/s from the axle 
efficiency test to determine coefficients c
0, c1, and c 2. 
(iii) Calculate F spin[speed] using the 
following equation: 
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Where: 
v¯seg[speed] = the mean vehicle speed of all 
vehicle speed measurements in each 
low-speed and high-speed segment. 
TRPM = tire revolutions per mile for the 
drive tire model installed on the tractor being tested according to § 1037.520(c)(1). 
Example:  
v¯
seghi= 28.86 m/s 
v¯seglo= 5.84 m/s 
TRPM = 508 r/mi = 0.315657 r/m c0= ¥206.841 W 
c1= 239.8279 W·s/r 
c2= 21.27505 W·s2/r2 
Fspinhi = 129.7 N 
Fspinlo = 52.7 N (iv) Calculate DF spinusing the 
following equation: 
Example:  
DFspin= 129.7¥52.7 = 77.0 N 
(6) For tractor testing, calculate the 
tire rolling resistance force at high and 
low speeds for steer, drive, and trailer axle positions, F TRR[speed,axle], and 
determine DFTRRas follows: 
(i) Conduct a stepwise coastdown tire 
rolling resistance test with three tires for each tire model installed on the vehicle using SAE J2452 (incorporated by 
reference in § 1037.810) for the following test points (which replace the test points in Table 3 of SAE J2452): 
TABLE 1 OF§ 1037.528—S TEPWISE COASTDOWN TESTPOINTS FOR DETERMINING TIREROLLING RESISTANCE AS A  
FUNCTION OF SPEED  
Step # Load 
(% of max) Inflation 
pressure 
(% of max) 
1 .............................................................................................................................. ................................................. 20 100 
2 .............................................................................................................................. ................................................. 55 70 
3 .............................................................................................................................. ................................................. 85 120 
4 .............................................................................................................................. ................................................. 85 100 
5 .............................................................................................................................. ................................................. 100 95 
(ii) Calculate F TRR[speed,axle] using the 
following equation: 
Where: 
nt,[axle] = number of tires at the axle position. 
P[axle] = the inflation pressure set and 
measured on the tires at the axle position 
at the beginning of the coastdown test. 
L[axle] = the load over the axle at the axle 
position on the coastdown test vehicle. 
a[axle], b[axle], a[axle], b[axle], and c [axle] = 
regression coefficients from SAE J2452 that are specific to axle position. 
Example:  
n
t,steer = 2 Psteer= 758.4 kPa 
Lsteer= 51421.2 N 
asteer= ¥0.2435 
bsteer= 0.9576 
asteer= 0.0434 
bsteer= 5.4·10¥5 
csteer= 5.53·10¥7 
nt,drive = 8 
Pdrive= 689.5 kPa 
Ldrive= 55958.4 N 
adrive= ¥0.3146 
bdrive= 0.9914 
adrive= 0.0504 bdrive= 1.11·10¥4 
cdrive= 2.86·10¥7 
nt,trailer = 8 
Ptrailer = 689.5 kPa 
Ltrailer = 45727.5 N 
atrailer = ¥0.3982 
btrailer = 0.9756 
atrailer = 0.0656 
btrailer = 1.51·10¥4 
ctrailer = 2.94·10¥7 
v¯seghi= 28.86 m/s = 103.896 km/hr 
v¯seglo= 5.84 m/s = 21.024 km/hr 
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FTRRhi,steer = 365.6 N 
FTRRhi,drive = 431.4 N 
FTRRhi,trailer = 231.7 N 
FTRRlo,steer = 297.8 N FTRRlo,drive = 350.7 N 
FTRRlo,trailer = 189.0 N 
(iii) Calculate F TRR[speed] by summing 
the tire rolling resistance calculations at a given speed for each axle position and 
determine DFTRRas follows: 
Example:  
FTRRhi = 365.6 + 431.4 + 231.7 = 1028.7 N 
FTRRlo = 297.8 + 350.7 + 189.0 = 837.5 N (iv) Adjust F TRR[speed] to the ambient 
temperature during the coastdown 
segment as follows: 
Where: 
T¯seg[speed] = the average ambient temperature 
during the low or high speed segments. 
Example:  
FTRRhi = 1028.7 N FTRRlo = 837.5 N 
T¯seghi= 25.5 °C 
T¯seglo= 25.1 °C 
FTRRhi,adj = 1028.7·[1 + 0.006·(24 ¥25.5)] = 
1019.4 N FTRRlo,adj = 837.5·[1 + 0.006·(24 ¥25.1)] = 
832.0 N 
(v) Determine DF TRRas follows: 
Example:  
DFTRR= 1019.4 ¥ 832.0 = 187.4 N (7) For trailer testing, determine DF TRR 
using a default value adjusted to the 
ambient temperature instead of performing a rolling resistance test, as 
follows: 
Where: 
DFTRR,def = default rolling resistance force 
speed adjustment; Use 215 N for long 
box vans and 150 N for short box vans. 
T¯coast= the average ambient temperature 
during both low and high speed segments. 
Example:  
DF
TRR,def = 215 N 
T¯coast= 25.5 °C 
DFTRR= 215·[1 + 0.0006·(24¥25.5)] =
213.1 N 
(8) Square the air speed 
measurements and calculate average squared air speed during each speed 
range for each run,v ¯2air,hiand v¯2air,lo. 
(9) Average the F loand v¯2air,lovalues 
for each pair of runs in opposite directions. If running complete coastdowns as described in paragraph (d)(1) or one high-speed segment per direction as described in paragraph (d)(2), average every two F
loand v¯2air,lo 
values. If running two high-speed segments per direction as described in paragraph (d)(2), average every four F
lo 
and v¯2air,lovalues. Use these values as Flo,pair and v¯2air,lo,pair in the calculations 
in this paragraph (h) to apply to each of the two or four high-speed segments from the same runs as the low-speed segments used to determine F
lo,pair and 
v¯2air,lo,pair . 
(10) Calculate average air temperature 
T¯and air pressure P ¯actduring each high- 
speed run. 
(11) Calculate drag area, C dA, in m2 
for each high-speed segment using the following equation, expressed to at least three decimal places: 
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Where: 
Fhi= road load force at high speed 
determined from Eq. 1037.528–7. 
Flo,pair = the average of F lovalues for a pair 
of opposite direction runs calculated as 
described in paragraph (h)(9) of this section. 
DF
spin= the difference in drive-axle spin loss 
force between high-speed and low-speed 
coastdown segments. This is described in paragraph (h)(5) of this section for tractor testing. Let DF
spin= 110 N for 
trailer testing. DFTRR= the difference in tire rolling 
resistance force between high-speed and 
low-speed coastdown segments as described in paragraphs (h)(6) or (7) of this section. 
v¯
2air,lo,pair = the average of v ¯2air,lovalues for a 
pair of opposite direction runs calculated as described in paragraph (h)(9) of this section. 
R = specific gas constant = 287.058 J/(kg·K). 
T¯= mean air temperature expressed to at 
least one decimal place. P¯
act= mean absolute air pressure expressed 
to at least one decimal place. 
Example:  
Fhi= 4645.5 N 
Flo,pair = 1005.0 N 
DFspin= 77.0 N 
DFTRR= 187.4 N 
v¯2air,hi= 933.4 m2/s2 
v¯2air,lo,pair = 43.12 m2/s2 
R = 287.058 J/(kg·K) 
T¯= 285.97 K 
P¯act= 101.727 kPa = 101727 Pa 
CdA = 6.120 m2 
(12) Calculate your final C dA value 
from the high-speed segments as 
follows: 
(i) Eliminate all points where there 
were known equipment problems or other measurement problems. 
(ii) Of the remaining points, calculate 
the median of the absolute value of the yaw angles, y
med, and eliminate all C dA 
values that differ by more than 1.0° from 
ymed. 
(iii) Of the remaining points, calculate 
the mean and standard deviation of C dA 
and eliminate all values that differ by more than 2.0 standard deviations from the mean value. 
(iv) There must be at least 24 points 
remaining. Of the remaining points, recalculate the mean yaw angle. Round the mean yaw angle to the nearest 0.1°. This final result is the effective yaw angle, y
eff, for coastdown testing. 
(v) For the same set of points, 
recalculate the mean C dA. This is the 
final result of the coastdown test, C
dAeffective-yaw-coastdown . 
(i) [Reserved] (j) Include the following information 
in your application for certification: 
(1) The name, location, and 
description of your test facilities, including background/history, equipment and capability, and track and facility elevation, along with the grade and size/length of the track. 
(2) Test conditions for each test result, 
including date and time, wind speed and direction, ambient temperature and humidity, vehicle speed, driving distance, manufacturer name, test vehicle/model type, model year, applicable family, tire type and rolling resistance, weight of tractor-trailer (as tested), and driver identifier(s). 
(3) Average C
dA and yaw angle results 
and all the individual run results (including voided or invalid runs). 
§ 1037.530 Wind-tunnel procedures for 
calculating drag area (C dA). 
The wind-tunnel procedure specified 
in this section is considered to be the 
primary procedure for trailers, but is an alternate procedure for tractors. 
(a) You may measure drag areas 
consistent with published SAE procedures as described in this section using any wind tunnel recognized by the Subsonic Aerodynamic Testing Association, subject to the provisions of §§ 1037.525 through 1037.527. If your wind tunnel does not meet the specifications described in this section, you may ask us to approve it as an alternate method under § 1037.525(d) or § 1037.526(d). All wind tunnels and wind tunnel tests must meet the specifications described in SAE J1252 (incorporated by reference in § 1037.810), with the following exceptions and additional provisions: 
(1) The Overall Vehicle Reynolds 
number, Re
#w, must be at least 1.0·106. 
Tests for Reynolds effects described in Section 7.1 of SAE J1252 are not required. 
(2) For full-scale wind tunnel tractor 
testing, use good engineering judgment to select a trailer that is a reasonable representation of the trailer used for reference coastdown testing. For example, where your wind tunnel is not long enough to test the tractor with a standard 53 foot box van, it may be appropriate to use a shorter box van. In 
such a case, the correlation developed using the shorter trailer would only be valid for testing with the shorter trailer. 
(3) For reduced-scale wind tunnel 
testing, use a one-eighth or larger scale model of a tractor and trailer that is sufficient to simulate airflow through the radiator inlet grill and across an engine geometry that represents engines commonly used in your test vehicle. 
(b) Open-throat wind tunnels must 
also meet the specifications of SAE J2071 (incorporated by reference in § 1037.810). 
(c) To determine C
dA values for 
certifying tractors, perform wind-tunnel testing with a tractor-trailer combination using the manufacturer’s tractor and a standard trailer. To determine C
dA 
values for certifying trailers, perform wind-tunnel testing with a tractor-trailer combination using a standard tractor. Use a moving/rolling floor if the facility has one. For Phase 1 tractors, conduct the wind tunnel tests at a zero yaw angle. For Phase 2 vehicles, conduct the wind tunnel tests by measuring the drag area at yaw angles of +4.5° and ¥4.5° 
and calculating the average of those two values. 
(d) In your request to use wind-tunnel 
testing for tractors, or in your application for certification for trailers, describe how you meet all the specifications that apply under this section, using terminology consistent with SAE J1594 (incorporated by reference in § 1037.810). If you request our approval to use wind-tunnel testing even though you do not meet all the specifications of this section, describe how your method nevertheless qualifies 
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as an alternate method under 
§ 1037.525(d) or 1037.526(d) and include all the following information: 
(1) Identify the name and location of 
the test facility for your wind-tunnel method. 
(2) Background and history of the 
wind tunnel. 
(3) The wind tunnel’s layout (with 
diagram), type, and construction (structural and material). 
(4) The wind tunnel’s design details: 
The type and material for corner turning vanes, air settling specification, mesh screen specification, air straightening method, tunnel volume, surface area, average duct area, and circuit length. 
(5) Specifications related to the wind 
tunnel’s flow quality: Temperature control and uniformity, airflow quality, minimum airflow velocity, flow uniformity, angularity and stability, static pressure variation, turbulence intensity, airflow acceleration and deceleration times, test duration flow quality, and overall airflow quality achievement. 
(6) Test/working section information: 
Test section type (e.g., open, closed, 
adaptive wall) and shape (e.g., circular, 
square, oval), length, contraction ratio, maximum air velocity, maximum dynamic pressure, nozzle width and height, plenum dimensions and net volume, maximum allowed model scale, maximum model height above road, strut movement rate (if applicable), model support, primary boundary layer slot, boundary layer elimination method, and photos and diagrams of the test section. 
(7) Fan section description: Fan type, 
diameter, power, maximum rotational speed, maximum speed, support type, mechanical drive, and sectional total weight. 
(8) Data acquisition and control 
(where applicable): Acquisition type, motor control, tunnel control, model balance, model pressure measurement, wheel drag balances, wing/body panel balances, and model exhaust simulation. 
(9) Moving ground plane or rolling 
road (if applicable): Construction and material, yaw table and range, moving ground length and width, belt type, maximum belt speed, belt suction mechanism, platen instrumentation, temperature control, and steering. 
(10) Facility correction factors and 
purpose. 
§ 1037.532 Using computational fluid 
dynamics to calculate drag area (C dA). 
This section describes how to use 
commercially available computational 
fluid dynamics (CFD) software to determine C
dA values, subject to the provisions of §§ 1037.525 through 1037.527. This is considered to be an alternate method for both tractors and trailers. 
(a) For Phase 2 vehicles, use SAE 
J2966 (incorporated by reference in § 1037.810), with the following clarifications and exceptions: 
(1) Vehicles are subject to the 
requirement to meet standards based on the average of testing at yaw angles of +4.5° or ¥4.5°; however, you may 
submit your application for certification with CFD results based on only one of those yaw angles. 
(2) For CFD code with a Navier-Stokes 
based solver, follow the additional steps in paragraph (d) of this section. For Lattice-Boltzmann based CFD code, follow the additional steps in paragraph (e) of this section. 
(3) Simulate a Reynolds number of 5.1 
million and an air speed of 65 mi/hr. 
(4) Perform the General On-Road 
Simulation (not the Wind Tunnel Simulation). 
(5) Use a free stream turbulence 
intensity of 0.0%. 
(6) Choose time steps that can 
accurately resolve intrinsic flow instabilities, consistent with good engineering judgment. 
(7) The result must be drag area (C
dA), 
not drag coefficient (C d), based on an air 
speed of 65 mi/hr. 
(8) Submit information as described 
in paragraph (g) of this section. 
(b) For Phase 1 tractors, apply the 
procedures as specified in paragraphs (c) through (f) of this section. Paragraphs (c) through (f) of section apply for Phase 2 vehicles only as specified in paragraph (a) of this section. 
(c) To determine C
dA values for 
certifying a tractor, perform CFD modeling based on a tractor-trailer combination using the manufacturer’s tractor and a standard trailer. To determine C
dA values for certifying a 
trailer, perform CFD modeling based on a tractor-trailer combination using a standard tractor. Perform all CFD modeling as follows: 
(1) Specify a blockage ratio at or 
below 0.2% to simulate open-road conditions. 
(2) Assume zero yaw angle. 
(3) Model the tractor with an open 
grill and representative back pressures 
based on available data describing the tractor’s pressure characteristics. 
(4) Enable the turbulence model and 
mesh deformation. 
(5) Model tires and ground plane in 
motion to simulate a vehicle moving forward in the direction of travel. 
(6) Apply the smallest cell size to 
local regions on the tractor and trailer in areas of high flow gradients and smaller- geometry features (e.g., the A-pillar, 
mirror, visor, grille and accessories, 
trailer-leading edge, trailer-trailing edge, rear bogey, tires, and tractor-trailer gap). 
(7) Simulate a vehicle speed of 55 mi/ 
hr. 
(d) Take the following steps for CFD 
code with a Navier-Stokes formula solver: 
(1) Perform an unstructured, time- 
accurate analysis using a mesh grid size with a total volume element count of at least 50 million cells of hexahedral and/ or polyhedral mesh cell shape, surface elements representing the geometry consisting of no less than 6 million elements, and a near-wall cell size corresponding to a y+ value of less than 300. 
(2) Perform the analysis with a 
turbulence model and mesh deformation enabled (if applicable) with boundary layer resolution of ±95%. Once the results reach this resolution, demonstrate the convergence by supplying multiple, successive convergence values for the analysis. The turbulence model may use k-epsilon (k- e), shear stress transport k-omega (SST k-w), or other commercially accepted methods. 
(e) For Lattice-Boltzmann based CFD 
code, perform an unstructured, time- accurate analysis using a mesh grid size with total surface elements of at least 50 million cells using cubic volume elements and triangular and/or quadrilateral surface elements with a 
near-wall cell size of no greater than 6 mm on local regions of the tractor and trailer in areas of high flow gradients and smaller geometry features, with cell sizes in other areas of the mesh grid starting at twelve millimeters and increasing in size from this value as the distance from the tractor and trailer increases. 
(f) You may ask us to allow you to 
perform CFD analysis using parameters and criteria other than those specified in this section, consistent with good engineering judgment. In your request, you must demonstrate that you are unable to perform modeling based on the specified conditions (for example, you may have insufficient computing power, or the computations may require inordinate time), or you must demonstrate that different criteria (such as a different mesh cell shape and size) will yield better results. In your request, you must also describe your recommended alternative parameters and criteria, and describe how this approach will produce results that adequately represent a vehicle’s in-use performance. We may require that you supply data demonstrating that your selected parameters and criteria will 
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provide a sufficient level of detail to 
yield an accurate analysis. If you request an alternative approach because it will yield better results, we may require that you perform CFD analysis using both your recommended criteria and parameters and the criteria and parameters specified in this section to compare the resulting key aerodynamic characteristics, such as pressure profiles, drag build-up, and turbulent/ laminar flow at key points around the tractor-trailer combination. 
(g) Include the following information 
in your request to determine C
dA values 
using CFD: 
(1) The name of the software. 
(2) The date and version number of 
the software. 
(3) The name of the company 
producing the software and the 
corresponding address, phone number, and Web site. 
(4) Identify whether the software uses 
Navier-Stokes or Lattice-Boltzmann equations. 
(5) Describe the input values you will 
use to simulate the vehicle’s aerodynamic performance for comparing to coastdown results. 
§ 1037.534 Constant-speed procedure for 
calculating drag area (C dA). 
This section describes how to use 
constant-speed aerodynamic drag 
testing to determine C dA values, subject 
to the provisions of § 1037.525. This is considered to be an alternate method for tractors. 
(a) Test track. Select a test track that 
meets the specifications described in § 1037.528(c)(3). 
(b) Ambient conditions. At least two 
tests are required. For one of the tests, ambient conditions must remain within the specifications described in § 1037.528(c) throughout the preconditioning and measurement procedure. The other tests must also meet those specifications except for the wind conditions. The wind conditions must be such that 80 percent of the values of yaw angle, y ≈
air, from the 50 
mi/hr and 70 mi/hr test segments are between 4° and 10° or between ¥4° and 
¥10°. 
(c) Vehicle preparation. Perform 
testing with a tractor-trailer combination using the manufacturer’s tractor and a standard trailer. Prepare tractors and trailers for testing as described in § 1037.528(b). Install measurement instruments meeting the requirements of 40 CFR part 1065, subpart C, that have been calibrated as described in 40 CFR part 1065, subpart D, as follows: 
(1) Measure torque at each of the drive 
wheels using a hub torque meter or a rim torque meter. If testing a tractor with two drive axles, you may disconnect one of the drive axles from receiving torque from the driveshaft, in which case you would measure torque at only the wheels that receive torque from the driveshaft. Set up instruments to read engine rpm for calculating rotational speed at the point of the torque measurements, or install instruments for measuring the rotational speed of the wheels directly. 
(2) Install instrumentation to measure 
vehicle speed at 10 Hz, with an accuracy and resolution of 0.1 mi/hr. Also install instrumentation for reading engine rpm from the engine’s onboard computer. 
(3) Mount an anemometer on the 
trailer as described in § 1037.528(f). 
(4) Fill the vehicle’s fuel tanks so they 
are at maximum capacity at the start of the measurement procedure. 
(5) Measure the weight over each axle 
to the nearest 20 kg, with a full fuel tank, including the driver and any passengers that will be in the vehicle during the test. 
(d) Measurement procedure. The 
measurement sequence consists of vehicle preconditioning followed by stabilization and measurement over five consecutive constant-speed test segments with three different speed setpoints (10, 50, and 70 mi/hr). Each test segment is divided into smaller increments for data analysis. 
(1) Precondition the vehicle and zero 
the torque meters as follows: 
(i) If you are using rim torque meters, 
zero the torque meters by lifting each instrumented axle and recording torque signals for at least 30 seconds, and then drive the vehicle at 50 mi/hr for at least 30 minutes. 
(ii) If you are using any other kind of 
torque meter, drive the vehicle at 50 mi/ hr for at least 30 minutes, and then allow the vehicle to coast down from full speed to a complete standstill while the clutch is disengaged or the transmission is in neutral, without braking. Zero the torque meters within 60 seconds after the vehicle stops moving by recording the torque signals for at least 30 seconds, and directly resume vehicle preconditioning at 50 mi/hr for at least 1.25 mi. 
(iii) You may calibrate instruments 
during the preconditioning drive. 
(2) Perform testing as described in 
paragraph (d)(3) of this section over a sequence of test segments at constant vehicle speed as follows: 
(i) 300±30 seconds in each direction 
at 10 mi/hr. 
(ii) 450±30 seconds in each direction 
at 70 mi/hr. 
(iii) 450±30 seconds in each direction 
at 50 mi/hr. (iv) 450±30 seconds in each direction 
at 70 mi/hr. 
(v) 450±30 seconds in each direction 
at 50 mi/hr. 
(vi) 300±30 seconds in each direction 
at 10 mi/hr. 
(3) When the vehicle preconditioning 
described in paragraph (d)(1) of this section is complete, stabilize the vehicle at the specified speed for at least 200 meters and start taking measurements. The test segment starts when you start taking measurements for all parameters. 
(4) During the test segment, continue 
to operate the vehicle at the speed setpoint, maintaining constant speed and torque within the ranges specified in paragraph (e) of this section. Drive the vehicle straight with minimal steering; do not change gears. Perform measurements as follows during the test segment: 
(i) Measure the rotational speed of the 
driveshaft, axle, or wheel where the torque is measured, or calculate it from engine rpm in conjunction with gear and axle ratios, as applicable. 
(ii) Measure vehicle speed in 
conjunction with time-of-day data. 
(iii) Measure ambient conditions, air 
speed, and air direction as described in § 1037.528(e) and (f). Correct air speed and air direction as described in paragraphs (f)(1) and (2) of this section. 
(5) You may divide a test segment into 
multiple passes by suspending and resuming measurements. Stabilize vehicle speed before resuming measurements for each pass as described in paragraph (d)(3) of this section. Analyze the data from multiple passes by combining them into a single sequence of measurements for each test segment. 
(6) Divide measured values into even 
10 second increments. If the last increment for each test segment is less than 10 seconds, disregard measured values from that increment for all calculations under this section. 
(e) Validation criteria. Analyze 
measurements to confirm that the test is valid. Analyze vehicle speed and drive torque by calculating the mean speed and torque values for each successive 1 second increment, for each successive 10 second increment, and for each test segment. The test is valid if the data conform to all the following specifications: 
(1) Vehicle speed. The mean vehicle 
speed for the test segment must be within 1.00 mi/hr of the speed setpoint. In addition, for testing at 50 mi/hr and 70 mi/hr, all ten of the 1 second mean vehicle speeds used to calculate a corresponding 10 second mean vehicle speed must be within ±0.2 mi/hr of that 10 second mean vehicle speed. Perform 
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the same data analysis for testing at 10 
mi/hr, but apply a validation threshold 
of ±0.1 mi/hr. 
(2) Drive torque. All ten of the 1 
second mean torque values used to calculate a corresponding 10 second mean torque value must be within ±50% of that 10 second mean torque value. 
(3) Torque drift. Torque meter drift 
may not exceed ±1%. Determine torque meter drift by repeating the procedure described in paragraph (d)(1) of this 
section after testing is complete, except 
that driving the vehicle is necessary only to get the vehicle up to 50 mi/hr as part of coasting to standstill. 
(f) Calculations. Analyze measured 
data for each time segment after time- aligning all the data. Use the following calculations to determine C
dA: 
(1) Onboard air speed. Correct 
onboard anemometer measurements for air speed using onboard measurements 
and measured ambient conditions as described in § 1037.528(f), except that you must first divide the test segment into consecutive 10 second increments. Disregard data from the final increment of the test segment if it is less than 10 seconds. This analysis results in the following equation for correcting air speed measurements: 
(2) Yaw angle. Correct the onboard 
anemometer measurements for air direction for each test segment as follows: (i) Calculate arithmetic mean values 
for vehicle speed, v ¯, wind speed, w ¯, and 
wind direction, f ≈
w, over each 10 second 
increment for each test segment. 
Disregard data from the final increment of the test segment if it is less than 10 seconds. 
(ii) Calculate the theoretical air 
direction, y≈
air,th, for each 10 second 
increment using the following equation: 
Where: 
fveh= the vehicle direction, as described in 
§ 1037.528(f)(2). Example:  
w¯= 7.1 mi/hr 
v¯= 69.9 mi/hr f≈w= 47.0° 
f≈veh= 0° 
y≈air,th= 3.97° 
(iii) Perform a linear regression using 
paired values of y ≈air,thand measured air direction, y≈air,meas , from each 10 second 
increment for all 50 mi/hr and 70 mi/ 
hr test segments to determine the air- direction correction coefficients, b 0and 
b1,based on the following equation: 
(iv) For all 50 mi/hr and 70 mi/hr test 
segments, correct each measured value of air direction using the following 
equation: 
(3) Road load force. (i) Average the 
sum of the corrected torques, the average of the wheel speed measurements, and the vehicle speed over every 10 second increment to determine, T¯
total, f¯nwheel , and v ¯. (ii) Calculate a mean road load force, 
F¯RL[speed] , for each 10 second increment 
using the following equation: 
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Where: 
T¯total= mean of all corrected torques at a 
point in time. 
v¯= mean vehicle speed. 
f¯nwheel = mean wheel speed. 
M = the measured vehicle mass. 
ag= acceleration of Earth’s gravity, as 
described in 40 CFR 1065.630. hinc= elevation at the start or end of each 10 
second increment expressed to at least 
two decimal places. 
Dinc= distance traveled on the road surface 
from a fixed reference location along the 
road to the start or end of each 10 second increment, expressed to at least one decimal place. 
Example:  T¯
total= 2264.9 N·m 
v¯= 31.6 m/s 
f¯nwheel =598.0 r/min 
M = 16508 kg 
ag= 9.8061 m/s2 
hinc,start = 0.044 m 
hinc,end = 0.574 m 
Dinc,start = 215.4 m 
Dinc,end = 697.8 m 
F¯RL70= 4310.6 N 
(4) Determination of drag area. 
Calculate a vehicle’s drag area as 
follows: 
(i) Calculate the mean road load force 
from all 10 second increments from the 10 mi/hr test segments from the test that 
was within the wind limits specified in § 1037.528(c), F¯
RL10,test . This value represents the mechanical drag force acting on the vehicle. 
(ii) Calculate the mean aerodynamic 
force for each 10 second increment, F¯
aero[speed] , from the 50 mi/hr and 70 mi/ 
hr test segments by subtracting F ¯RL10,test  
from F¯RL[speed] . 
(iii) Average the corrected air speed 
and corrected yaw angle over every 10 second segment from the 50 mi/hr and 
70 mi/hr test segments to determine v ¯air 
and y≈air. 
(iv) Calculate C dA for each 10 second 
increment from the 50 mi/hr and 70 mi/ 
hr test segments using the following equation: 
Where: 
CdAi[speed] = the mean drag area for each 10 
second increment, i. 
F¯aero[speed] = mean aerodynamic force over a 
given 10 second increment = F ¯RL[speed] ¥ 
F¯RL10,test . v¯air[speed] = mean aerodynamic force over a 
given 10 second increment. 
R = specific gas constant = 287.058 J/(kg·K). 
T¯= mean air temperature. 
P¯act= mean absolute air pressure. 
Example:  
F¯RL70= 4310.6 N F¯RL10,test = 900.1 N 
F¯aero70 = 4310.6 ¥ 900.1 = 3410.5 N 
v¯2air70= 1089.5 m2/s2 
R = 287.058 J/(kg·K) 
T¯= 293.68 K 
P¯act= 101300 Pa 
CdAi70= 5.210 m2 
(v) Plot all C dA values from the 50 mi/ 
hr and 70 mi/hr test segments against the corresponding values for corrected 
yaw angle for each 10 second increment. Create a regression based on a fourth- order polynomial regression equation of the following form: 
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(vi) Determine C dAwa-alt as the average 
of CdA values at 4.5° and ¥4.5° by 
applying Eq. 1037.534–7 at those angles. 
(g) Documentation. Keep the 
following records related to the 
constant-speed procedure for calculating drag area: 
(1) The measurement data for 
calculating C
dA as described in this 
section. 
(2) A general description and pictures 
of the vehicle tested. 
(3) The vehicle’s maximum height 
and width. 
(4) The measured vehicle mass. 
(5) Mileage at the start of the first test 
segment and at the end of the last test 
segment. 
(6) The date of the test, the starting 
time for the first test segment, and the ending time for the last test segment. 
(7) The transmission gear used for 
each test segment. 
(8) The data describing how the test 
was valid relative to the specifications and criteria described in paragraphs (b) and (e) of this section. 
(9) A description of any unusual 
events, such as a vehicle passing the test vehicle, or any technical or human errors that may have affected the C
dA 
determination without invalidating the test. § 1037.540 Special procedures for testing 
vehicles with hybrid power take-off. 
This section describes optional 
procedures for quantifying the reduction 
in greenhouse gas emissions for vehicles as a result of running power take-off (PTO) devices with a hybrid energy delivery system. See § 1037.550 for powertrain testing requirements that apply for drivetrain hybrid systems. The procedures are written to test the PTO by ensuring that the engine produces all of the energy with no net change in stored energy (charge-sustaining), and for plug-in hybrid vehicles, also allowing for drawing down the stored energy (charge-depleting). The full charge-sustaining test for the hybrid vehicle is from a fully charged renewable energy storage system (RESS) to a depleted RESS and then back to a fully charged RESS. You must include all hardware for the PTO system. You may ask us to modify the provisions of this section to allow testing hybrid vehicles other than electric-battery hybrids, consistent with good engineering judgment. For plug-in 
hybrids, use a utility factor to properly weight charge-sustaining and charge- depleting operation as described in paragraph (f)(3) of this section. 
(a) Select two vehicles for testing as 
follows: 
(1) Select a vehicle with a hybrid 
energy delivery system to represent the range of PTO configurations that will be covered by the test data. If your test data will represent more than one PTO configuration, use good engineering judgment to select the configuration with the maximum number of PTO circuits that has the smallest potential reduction in greenhouse gas emissions. 
(2) Select an equivalent conventional 
vehicle as specified in § 1037.615. 
(b) Measure PTO emissions from the 
fully warmed-up conventional vehicle as follows: 
(1) Without adding a restriction, 
instrument the vehicle with pressure transducers at the outlet of the hydraulic pump for each circuit. Perform pressure measurements with a frequency of at least 1 Hz. 
(2) Operate the PTO system with no 
load for at least 15 seconds. Measure gauge pressure and record the average value over the last 10 seconds (p ¯
min). For 
hybrid PTO systems the measured pressure with no load is typically zero. Apply maximum operator demand to the PTO system until the pressure relief valve opens and pressure stabilizes; measure gauge pressure and record the average value over the last 10 seconds (p¯
max). 
(3) Denormalize the PTO duty cycle in 
Appendix II of this part using the following equation: 
Where: 
prefi= the reference pressure at each point i 
in the PTO cycle. 
pi= the normalized pressure at each point i 
in the PTO cycle (relative to p ¯max). 
p¯max= the mean maximum pressure 
measured in paragraph (b)(2) of this 
section. 
p¯min= the mean minimum pressure measured 
in paragraph (b)(2) of this section. 
(4) If the PTO system has two circuits, 
repeat paragraph (b)(2) and (3) of this 
section for the second PTO circuit. 
(5) Install a system to control 
pressures in the PTO system during the cycle. 
(6) Start the engine. 
(7) Depending on the number of 
circuits the PTO system has, operate the 
vehicle over one or concurrently over both of the denormalized PTO duty cycles in Appendix II of this part. Measure emissions during operation over each duty cycle using the provisions of 40 CFR part 1066. (8) Measured pressures must meet the 
cycle-validation specifications in the 
following table for each test run over the duty cycle: 
TABLE 1 OF§ 1037.540—S TATISTICAL  
CRITERIA FOR VALIDATING EACH 
TESTRUNOVER THE DUTYCYCLE  
Parameter1 Pressure 
Slope, a1................... 0.950 ≤ a1≤ 1.030. 
Absolute value of 
intercept, |a0|.≤ 2.0% of maximum 
mapped pressure. 
Standard error of esti-
mate, SEE.≤ 10% of maximum 
mapped pressure. 
Coefficient of deter-
mination, r2.≥ 0.970. 
1Determine values for specified parameters 
as described in 40 CFR 1065.514(e) by com-
paring measured values to denormalized pres-sure values from the duty cycle in Appendix II of this part. (c) Measure PTO emissions from the 
fully warmed-up hybrid vehicle as 
follows: 
(1) Perform the steps in paragraphs 
(b)(1) through (5) of this section. 
(2) Prepare the vehicle for testing by 
operating it as needed to stabilize the RESS at a full state of charge (or equivalent for non-electric RESS). 
(i) For plug-in hybrid electric 
vehicles, we recommend charging the battery with an external electrical source. 
(ii) For other vehicles, we recommend 
running back-to-back PTO tests until engine operation is initiated to charge the RESS. The RESS should be fully 
charged once engine operation stops. The ignition should remain in the ‘‘on’’ position. 
(3) Turn the vehicle and PTO system 
off while the sampling system is being prepared. 
(4) Turn the vehicle and PTO system 
on such that the PTO system is 
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functional, whether it draws power from 
the engine or a battery. 
(5) Operate the vehicle over one or 
both of the denormalized PTO duty cycles without turning the vehicle off, until the engine starts and then shuts down. This may require running multiple repeats of the PTO duty cycles. For non-PHEV systems the test cycle is completed once the engine shuts down. For plug-in hybrid systems, continue running until the PTO hybrid is running in a charge-sustaining mode such that the ‘‘End of Test’’ requirements defined in 40 CFR 1066.501 are met. Measure emissions as described in paragraph (b)(7) of this section. Use good engineering judgment to minimize the variability in testing between the two types of vehicles. 
(6) For plug-in hybrid electric 
vehicles, follow 40 CFR 1066.501 to divide the test into charge-depleting and charge-sustaining operation. 
(7) Apply cycle-validation criteria as 
described in paragraph (b)(8) of this section to both charge-sustaining and charge-depleting operation. 
(d) Calculate the equivalent distance 
driven based on operating time for each section of the PTO portion of the test as applicable by determining the time of the test and applying the conversion factor in paragraph (d)(4) of this section. For testing where fractions of a cycle were run (for example, where three cycles are completed and the halfway point of a fourth PTO cycle is reached before the engine starts and shuts down again), calculate the time of the test, t
test, 
as follows: 
(1) Add up the time run for all 
complete tests. 
(2) For fractions of a test, use the 
following equation to calculate the time: 
Where: 
i = an indexing variable that represents one 
recorded value. 
N = number of measurement intervals. 
pcircuit-1,i = normalized pressure command 
from circuit 1 of the PTO cycle for each 
point, i, starting from i = 1. 
pcircuit-2,i = normalized pressure command 
from circuit 2 of the PTO cycle for each point, i, starting from i = 1. Let p
circuit-2  
= 0 if there is only one circuit. 
p¯circuit-1 = the mean normalized pressure 
command from circuit 1 over the entire 
PTO cycle. p¯circuit-2 = the mean normalized pressure 
command from circuit 2 over the entire 
PTO cycle. Let p ¯circuit-2 = 0 if there is only 
one circuit. 
Dt = the time interval between measurements. 
For example, at 100 Hz, Dt = 0.0100 
seconds. 
(3) Sum the time from the complete 
cycles and from the partial cycle. 
(4) Divide the total PTO operating 
time from paragraph (d)(3) of this 
section by a conversion factor of 0.0144 hr/mi for Phase 1 and 0.0217 hr/mi for Phase 2 to determine the equivalent 
distance driven. The conversion factors are based on estimates of average vehicle speed and PTO operating time as a percentage of total engine operating time; the Phase 2 conversion factor is calculated from an average speed of 27.1 mi/hr and PTO operation 37% of engine operating time, as follows: 
(e) For Phase 1, calculate combined 
cycle-weighted emissions of the four 
duty cycles for vocational vehicles, for both the conventional and hybrid PTO vehicle tests, as follows: 
(1) Calculate the CO
2emission rates in 
grams per test without rounding for both the conventional vehicle and the charge- sustaining and charge-depleting portions of the test for the hybrid vehicle as applicable. 
(2) Divide the CO
2mass from the PTO 
cycle by the distance determined in paragraph (d)(4) of this section and the standard payload to get the CO
2 
emission rate in g/ton-mile. For plug-in hybrid electric vehicles follow paragraph (f)(3) of this section to calculate utility factor weighted CO
2 
emissions in g/ton-mile. (3) Calculate the g/ton-mile emission 
rate for the driving portion of the test specified in § 1037.510 and add this to the CO
2g/ton-mile emission rate for the 
PTO portion of the test. 
(4) Follow the provisions of 
§ 1037.615 to calculate improvement factors and benefits for advanced technologies. 
(f) For Phase 2, calculate the delta 
PTO fuel results for input into GEM during vehicle certification as follows: 
(1) Calculate fuel consumption in 
grams per test, m
fuelPTO , without 
rounding, as described in 40 CFR 1036.540(d)(4) and (5) for both the conventional vehicle and the charge- sustaining and charge-depleting portions of the test for the hybrid vehicle as applicable. (2) Divide the fuel mass by the 
applicable distance determined in paragraph (d)(4) of this section and the appropriate standard payload to determine the fuel rate in g/ton-mile. 
(3) For plug-in hybrid electric 
vehicles calculate the utility factor weighted fuel consumption in g/ton- mile, as follows: 
(i) Determine the utility factor fraction 
for the PTO system from the table in Appendix V of this part using interpolation based on the total time of the charge-depleting portion of the test as determined in paragraphs (c)(6) and (d)(3) of this section. 
(ii) Weight the emissions from the 
charge-sustaining and charge-depleting portions of the test using the following equation: 
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Where: 
mPTO,CD = mass of fuel per ton-mile while in 
charge-depleting mode. 
UF tCD= utility factor fraction at time t CDas 
determined in paragraph (f)(3)(i) of this 
section. 
mPTO,CS = mass of fuel per ton-mile while in 
charge-sustaining mode. 
(4) Calculate the difference between 
the conventional PTO emissions result 
and the hybrid PTO emissions result for input into GEM. 
(g) If the PTO system has more than 
two circuits, apply the provisions of this section using good engineering judgment. 
§ 1037.550 Powertrain testing. 
(a) This section describes how to 
determine engine fuel maps using a measurement procedure that involves testing an engine coupled with a powertrain to simulate vehicle operation. Engine fuel maps are part of demonstrating compliance with Phase 2 vehicle standards under this part 1037; this fuel-mapping information may come from different types of testing as described in 40 CFR 1036.510. 
(b) Perform powertrain testing to 
establish measured fuel-consumption rates over applicable duty cycles for several different vehicle configurations. The following general provisions apply: (1) Measure NO
Xemissions for each 
sampling period in grams. You may 
perform these measurements using a NO
Xemission-measurement system that 
meets the requirements of 40 CFR part 1065, subpart J. Include these measured NO
Xvalues any time you report to us 
your greenhouse gas emissions or fuel consumption values from testing under this section. If a system malfunction prevents you from measuring NO
X 
emissions during a test under this section but the test otherwise gives valid results, you may consider this a valid test and omit the NO
Xemission 
measurements; however, we may require you to repeat the test if we determine that you inappropriately voided the test with respect to NO
X 
emission measurement. 
(2) This section uses engine 
parameters and variables that are consistent with 40 CFR part 1065. 
(3) While this section includes the 
detailed equations, you need to develop your own driver model and vehicle model; we recommend that you use the MATLAB/Simulink code provided at 
www.epa.gov/otaq/climate/gem.htm. 
(c) Select an engine and powertrain 
for testing as described in § 1037.231. 
(d) Set up the engine according to 40 
CFR 1065.110. The default test configuration involves connecting the powertrain’s transmission output shaft directly to the dynamometer. You may instead set up the dynamometer to connect at the wheel hubs if your powertrain configuration requires it, such as for hybrid powertrains, or if you want to represent the axle performance with powertrain test results. If you connect at the wheel hubs, input your test results into GEM to reflect this. 
(e) Cool the powertrain during testing 
so temperatures for intake-air, oil, coolant, block, head, transmission, battery, and power electronics are within their expected ranges for normal operation. You may use auxiliary coolers and fans. 
(f) Set the dynamometer to operate in 
speed-control mode. Record data as described in 40 CFR 1065.202. Command and control dynamometer speed at a minimum of 5 Hz. If you choose to command the dynamometer at a slower rate than the calculated dynamometer speed setpoint, use good engineering judgment to subsample the calculated setpoints for use in commanding the dynamomemter speed setpoint. Design a vehicle model to use the measured torque and calculate the dynamometer speed setpoint at a rate of at least 100 Hz, as follows: 
(1) Calculate the dynamometer’s 
angular speed target, ƒ
nref,dyno , based on 
the simulated linear speed of the tires: 
Where: 
ka[speed] = drive axle ratio as determined in 
paragraph (h) of this section. vrefi= simulated vehicle reference speed. Use 
the unrounded result for calculating 
ƒnrefi,dyno . r[speed] = tire radius as determined in 
paragraph (h) of this section. 
Where: i = a time-based counter corresponding to 
each measurement during the sampling 
period. Let v ref1= 0; start calculations at i = 2. A 10-minute sampling period will 
generally involve 60,000 measurements. 
T = instantaneous measured torque. 
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Eƒƒ axle= axle efficiency. Use Eƒƒ axle= 0.955 
for T > 0, and use Eƒƒ axle= 1/0.955 for 
T < 0. To calculate ƒ nrefi,dyno for a 
dynamometer connected at the wheel 
hubs, as described in paragraph (f)(2) of this section, use Eƒƒ
axle= 1.0. M = vehicle mass for a vehicle class as 
determined in paragraph (h) of this 
section. 
g = gravitational constant = 9.81 m/s2. 
Crr= coefficient of rolling resistance for a 
vehicle class as determined in paragraph 
(h) of this section. Gi-1= the percent grade interpolated at 
distance, Di-1,from the duty cycle in 
Appendix IV corresponding to 
measurement (i¥1). 
r = air density at reference conditions. Use 
r = 1.20 kg/m3. CdA = drag area for a vehicle class as 
determined in paragraph (h) of this 
section. Fbrake= instantaneous braking force applied 
by the driver model. 
Dt = the time interval between measurements. 
For example, at 100 Hz, Dt = 0.0100 
seconds. 
Mrotating = inertial mass of rotating 
components. Let M rotating = 340 kg for 
vocational Light HDV or vocational 
Medium HDV. See paragraph (h) of this section for tractors and for vocational 
Heavy HDV. 
Example:  This example is for a vocational Light HDV 
or vocational Medium HDV with 6 speed 
automatic transmission at B speed (Test 4 in Table 2 of 40 CFR 1036.540). k
aB= 4.0 
rB= 0.399 m 
T1000–1 = 500.0 N·m 
Crr= 6.9 kg/tonne = 6.9·10minus;3 kg/kg 
M = 11408 kg 
CdA = 5.4 m2 
G1000–1 = 1.0% = 0.018 
Fbrake1000–1 = 0 N 
vref1000–1 = 20.0 m/s Fgrade1001–1 = 11408·9.81·sin(atan(0.018)) 
= 2014.1N Dt = 0.0100 s 
Mrotating = 340 kg 
vref1000 = 20.00129 m/s 
(2) For testing with the dynamometer 
connected at the wheel hubs, calculate 
fnref,dyno using the following equation: 
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(g) Design a driver model to simulate 
a human driver modulating the throttle 
and brake pedals to follow the test cycle as closely as possible. The driver model must meet the speed requirements for operation over the highway cruise cycles as described in § 1037.510 and for operation over the transient cycle as described in 40 CFR 1066.425(b). The exceptions in 40 CFR 1066.425(b)(4) apply to the transient cycle and the 
highway cruise cycles. Design the driver model to meet the following specifications: 
(1) Send a brake signal when throttle 
position is zero and vehicle speed is 
greater than the reference vehicle speed from the test cycle. Include a delay before changing the brake signal to prevent dithering, consistent with good 
engineering judgment. 
(2) Allow braking only if throttle 
position is zero. 
(3) Compensate for the distance 
driven over the duty cycle over the course of the test. Use the following equation to perform the compensation in real time to determine your time in the cycle: 
Where: 
vvehicle = measured vehicle speed. 
vcycle= reference speed from the test cycle. If 
vcycle,i-1 < 1.0 m/s, set v cycle,i-1 = vvehicle,i-1.  
(h) Configure the vehicle model in the 
test cell to test the powertrain using at 
least three equally spaced axle ratios or tire sizes and three different road loads (nine configurations), or at least four equally spaced axle ratios or tire sizes and two different road loads (eight configurations) to cover the range of intended vehicle applications. Select axle ratios to represent the full range of expected vehicle installations. Determine the vehicle model inputs for vehicle mass, C
dA, and C rrfor a set of 
vehicle configurations as described in 40 CFR 1036.540(c)(3). You may instead test to simulate eight or nine vehicle configurations from different vehicle categories if you limit your powertrains to a certain range of vehicles. For example, if your powertrain will be installed only in vocational Medium HDV and vocational Heavy HDV, you may perform testing to represent eight or nine vehicle configurations using vehicle masses for Medium HDV and Heavy HDV, the predefined C
dA for 
those vehicles, and the lowest and highest C
rrof the tires that will be 
installed on those vehicles. Also, instead of selecting specific axle ratios and tire size as described in this paragraph (h), you may select equally spaced axle ratios and tire sizes that cover the range of minimum and maximum engine speed over vehicle speed when the transmission is in top gear for the vehicles the powertrain will be installed in. 
(i) Operate the powertrain over each 
of the duty cycles specified in § 1037.510(a)(2), and for each applicable test configuration identified in 40 CFR 1036.540(c). For each duty cycle, precondition the powertrain using the Test 1 vehicle configuration and test the different configurations in numerical order starting with Test 1. If an infrequent regeneration event occurs during testing, void the test, but continue operating the vehicle to allow the regeneration event to finish, then precondition the engine to the same condition as would apply for normal testing and restart testing at the start of the same duty cycle for that test configuration. For PHEV powertrains, precondition the battery and then complete all back to back tests for each test configuration according to 40 CFR 1066.501 before moving to the next test configuration. You may send signals to the engine controller during the test, such as cycle road grade and vehicle speed, if that allows powertrain operation during the test to better represent real-world operation. 
(j) Collect and measure emissions as 
described in 40 CFR part 1065. For hybrid powertrains with no plug-in capability, correct for the net energy change of the energy storage device as described in 40 CFR 1066.501. For PHEV powertrains, follow 40 CFR 1066.501 to determine End-of-Test for charge-depleting operation. You must get our approval in advance for your utility factor curve; we will approve it if you can show that you created it from sufficient in-use data of vehicles in the same application as the vehicles in which the PHEV powertrain will be installed. 
(k) For each test point, validate the 
measured output speed with the corresponding reference values. If the range of reference speed is less than 10 percent of the mean reference speed, you need to meet only the standard error of estimate in Table 1 of this section. You may delete points when the vehicle is stopped. Apply cycle- validation criteria for each separate transient or highway cruise cycle based on the following parameters: 
TABLE 1 OF§ 1037.550—S TATISTICAL  
CRITERIA FOR VALIDATING DUTYCY-
CLES  
Parameter1 Speed control 
Slope, a1................... 0.990 ≤a1≤1.010. 
Absolute value of 
intercept, √a0√.≤2.0% of maximum 
test speed. 
Standard error of esti-
mate, SEE.≤2.0% of maximum 
test speed. 
Coefficient of deter-
mination, r2.≥0.990. 
1Determine values for specified parameters 
as described in 40 CFR 1065.514(e) by com-
paring measured and reference values for f
nref,dyno.  
(l) [Reserved] 
(m) Calculate mass of fuel consumed 
for all duty cycles except idle as 
described in 40 CFR 1036.540(d)(4). 
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(n) Determine the mass of fuel 
consumed at idle for the applicable duty 
cycles as follows: 
(1) Measure fuel consumption with a 
fuel flow meter and report the mean fuel mass flow rate for each duty cycle as applicable, mÔ
fuelidle . 
(2) For measurements that do not 
involve measured fuel mass flow rate, calculate the fuel mass flow rate for each duty cycle, mÔ
fuelidle , for each set of 
vehicle settings, as follows: 
Where: 
MC= molar mass of carbon. 
wCmeas = carbon mass fraction of fuel (or 
mixture of test fuels) as determined by in 
CFR 1065.655(d), except that you may not use the default properties in Table 1 of 40 CFR 1065.655 to determine a, b, 
and w
Cfor liquid fuels. 
nÔ
exh= the mean raw exhaust molar flow rate 
from which you measured emissions according to 40 CFR 1065.655. x¯
Ccombdry = the mean concentration of carbon 
from fuel and any injected fluids in the 
exhaust per mole of dry exhaust. 
x¯H2Oexhdry = the mean concentration of H 2O in 
exhaust per mole of dry exhaust. 
mÔ
H2O2DEF = the mean CO 2mass emission rate 
resulting from diesel exhaust fluid decomposition over the duty cycle as determined in 40 CFR 1036.535(b)(10). If your engine does not use diesel exhaust fluid, or if you choose not to perform this 
correction, set mÔ
CO2DEF equal to 0. 
MCO2= molar mass of carbon dioxide. 
Example:  
MC= 12.0107 g/mol 
wCmeas = 0.867 
nÔ
exh= 25.534 mol/s 
x¯Ccombdry = 2.805·10¥3mol/mol 
x¯H2Oexhdry = 3.53·10¥2mol/mol 
mÔ
CO2DEF = 0.0726 g/s 
MCO2= 44.0095 
mÔ
fuelidle = 0.405 g/s = 1458.6 g/hr 
(o) Use the results of powertrain 
testing to determine GEM inputs for the 
different simulated vehicle configurations as follows: 
(1) Select fuel-consumption rates, 
m
fuel[cycle] , in g/cycle. In addition, 
declare a fuel mass consumption rate for each applicable idle duty cycle, mÔ
fuelidle . These declared values may not be lower 
than any corresponding measured values determined in this section. You may select any value that is at or above the corresponding measured value. These declared fuel-consumption rates, 
which serve as emission standards, represent collectively as the certified powertrain fuel map. (2) Powertrain output speed per unit 
of vehicle speed. If the test is done with 
the dynamometer connected at the wheel hubs set k
ato the axle ratio of the 
rear axle that was used in the test. If the vehicle does not have a drive axle, such as hybrid vehicles with direct electric drive, let k
a= 1. 
(3) Positive work, W [cycle] , over the 
duty cycle at the transmission output or 
wheel hubs from the powertrain test. (4) The following table illustrates the 
GEM data inputs corresponding to the different vehicle configurations: 
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(p) Correct the measured or calculated 
fuel mass, m fuel,and idle fuel mass flow 
rate, mÔfuelidle if applicable, for each test 
result to a mass-specific net energy 
content of a reference fuel as described in § 1036.535(b)(11), replacing mÔ
fuel 
with mfuelwhere applicable in Eq. 
1036.535–3. 
(q) For each test run, record the 
engine speed and torque as defined in 40 CFR 1065.915(d)(5) with a minimum sampling frequency of 1 Hz. These engine speed and torque values represent a duty cycle that can be used for separate testing with an engine mounted on an engine dynamometer, such as for a selective enforcement audit as described in § 1037.301. 
§ 1037.551 Engine-based simulation of 
powertrain testing. 
Section 1037.550 describes how to 
measure fuel consumption over specific 
duty cycles with an engine coupled to a transmission; § 1037.550(q) describes how to create equivalent duty cycles for repeating those same measurements with just the engine. This § 1037.551 describes how to perform this engine testing to simulate the powertrain test. These engine-based measurements may be used for confirmatory testing as described in § 1037.235, or for selective enforcement audits as described in § 1037.301, as long as the test engine’s operation represents the engine operation observed in the powertrain test. If we use this approach for confirmatory testing, when making compliance determinations, we will consider the uncertainty associated with this approach relative to full powertrain testing. Use of this approach for engine SEAs is optional for engine manufacturers. 
(a) Use the procedures of 40 CFR part 
1065 to set up the engine, measure emissions, and record data. Measure individual parameters and emission 
constituents as described in this section. Measure NO
Xemissions for each 
sampling period in grams. You may perform these measurements using a NO
Xemission-measurement system that 
meets the requirements of 40 CFR part 1065, subpart J. Include these measured NO
Xvalues any time you report to us 
your greenhouse gas emissions or fuel consumption values from testing under this section. If a system malfunction prevents you from measuring NO
X 
emissions during a test under this section but the test otherwise gives valid results, you may consider this a valid test and omit the NO
Xemission 
measurements; however, we may require you to repeat the test if we determine that you inappropriately voided the test with respect to NO
X 
emission measurement. For hybrid powertrains, correct for the net energy change of the energy storage device as described in 40 CFR 1066.501. 
(b) Operate the engine over the 
applicable engine duty cycles corresponding to the vehicle cycles specified in § 1037.510(a)(2) for powertrain testing over the applicable vehicle simulations described in § 1037.550(h). Warm up the engine to prepare for the transient test or one of the highway cruise cycles by operating it one time over one of the simulations of the corresponding duty cycle. Warm up the engine to prepare for the idle test by operating it over a simulation of the 65-mi/hr highway cruise cycle for 600 seconds. Within 60 seconds after concluding the warm up cycle, start 
emission sampling while the engine operates over the duty cycle. You may perform any number of test runs directly in succession once the engine is warmed up. Perform cycle validation as described in 40 CFR 1065.514 for engine speed, torque, and power. (c) Calculate the mass of fuel 
consumed as described in § 1037.550(m) 
and (n). Correct each measured value for the test fuel’s mass-specific net energy content as described in 40 CFR 1036.530. Use these corrected values to determine whether the engine’s emission levels conform to the declared fuel-consumption rates from the powertrain test. 
§ 1037.555 Special procedures for testing 
Phase 1 hybrid systems. 
This section describes the procedure 
for simulating a chassis test with a pre- 
transmission or post-transmission hybrid system for A to B testing of Phase 1 vehicles. These procedures may also be used to perform A to B testing with 
non-hybrid systems. See § 1037.550 for Phase 2 hybrid systems. 
(a) Set up the engine according to 40 
CFR 1065.110 to account for work inputs and outputs and accessory work. 
(b) Collect CO
2emissions while 
operating the system over the test cycles specified in § 1037.510(a)(1). 
(c) Collect and measure emissions as 
described in 40 CFR part 1066. Calculate emission rates in grams per ton-mile without rounding. Determine values for A, B, C, and M for the vehicle 
being simulated as specified in 40 CFR part 1066. If you will apply an improvement factor or test results to multiple vehicle configurations, use values of A, B, C, M, k
a, and r that 
represent the vehicle configuration with the smallest potential reduction in greenhouse gas emissions as a result of the hybrid capability. 
(d) Calculate the transmission output 
shaft’s angular speed target for the driver model, f
nref,driver , from the linear 
speed associated with the vehicle cycle using the following equation: 
Where: 
vcyclei = vehicle speed of the test cycle for 
each point, i, starting from i = 1. 
ka= drive axle ratio, as declared by the 
manufacturer. r = radius of the loaded tires, as declared by 
the manufacturer. 
(e) Use speed control with a loop rate 
of at least 100 Hz to program the 
dynamometer to follow the test cycle, as follows: (1) Calculate the transmission output 
shaft’s angular speed target for the 
dynamometer, f
nref,dyno , from the 
measured linear speed at the dynamometer rolls using the following equation: 
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Where: 
T = instantaneous measured torque at the 
transmission output shaft. 
Fbrake= instantaneous brake force applied by 
the driver model to add force to slow 
down the vehicle. 
t = elapsed time in the driving schedule as 
measured by the dynamometer, in seconds. 
(2) For each test, validate the 
measured transmission output shaft’s 
speed with the corresponding reference values according to 40 CFR 1065.514(e). You may delete points when the vehicle is stopped. Perform the validation based on speed values at the transmission output shaft. For steady-state tests (55 mi/hr and 65 mi/hr cruise), apply cycle- validation criteria by treating the sampling periods from the two tests as a continuous sampling period. Perform this validation based on the following parameters: 
TABLE 1 OF§ 1037.555—S TATISTICAL  
CRITERIA FOR VALIDATING DUTYCY-
CLES  
Parameter Speed control 
Slope, a1................... 0.950 ≤ a1≤ 1.030. 
Absolute value of 
intercept, |a0|.≤ 2.0% of maximum 
test speed. 
Standard error of esti-
mate, SEE.≤ 5% of maximum 
test speed. 
Coefficient of deter-
mination, r2.≥ 0.970. 
(f) Send a brake signal when throttle 
position is equal to zero and vehicle speed is greater than the reference vehicle speed from the test cycle. Set a delay before changing the brake state to prevent the brake signal from dithering, consistent with good engineering judgment. 
(g) The driver model should be 
designed to follow the cycle as closely as possible and must meet the requirements of § 1037.510 for steady- state testing and 40 CFR 1066.430(e) for transient testing. The driver model should be designed so that the brake and throttle are not applied at the same time. 
(h) Correct for the net energy change 
of the energy storage device as described in 40 CFR 1066.501. 
(i) Follow the provisions of § 1037.510 
to weight the cycle results and § 1037.615 to calculate improvement factors and benefits for advanced technologies for Phase 1 vehicles. 
§ 1037.560 Axle efficiency test. 
This section describes a procedure for 
mapping axle efficiency through a determination of axle power loss. 
(a) You may establish axle power loss 
maps based on testing any number of axle configurations within an axle family as specified in § 1037.232. You may share data across a family of axle configurations, as long as you test the axle configuration with the lowest efficiency from the axle family; this will generally involve testing the axle with the highest axle ratio. For vehicles with tandem drive axles, always test each drive axle separately. For tandem axles that can be disconnected, test both single-drive and tandem axle configurations. Alternatively, you may ask us to approve power loss maps for untested configurations that are analytically derived from tested configurations within the same family (see § 1037.235(h)). 
(b) Prepare an axle assembly for 
testing as follows: 
(1) Select an axle assembly with less 
than 500 hours of operation before testing. Assemble the axle in its housing, along with wheel ends and bearings. 
(2) If you have a family of axle 
assemblies with different axle ratios, you may test multiple configurations using a common axle housing, wheel ends, and bearings. (3) Install the axle on the 
dynamometer with an input shaft angle perpendicular to the axle. 
(i) For axle assemblies with or 
without a locking main differential, test the axle using one of the following methods: 
(A) Lock the main differential and test 
it with one electric motor on the input shaft and a second electric motor on the output side of the output shaft that has the speed-reduction gear attached to it. 
(B) Test with the main differential 
unlocked and with one electric motor on the input shaft and electric motors on the output sides of each of the output shafts. 
(ii) For drive-through tandem-axle 
setups, lock the longitudinal and inter- wheel differentials. 
(4) Add gear oil according to the axle 
manufacturer’s instructions. If the axle manufacturer specifies multiple gear oils, select the one with the highest viscosity at operating temperature. You may use a lower-viscosity gear oil if we approve that as critical emission-related maintenance under § 1037.125. Fill the gear oil to a level that represents in-use operation. You may use an external gear oil conditioning system, as long as it does not affect measured values. 
(5) Install equipment for measuring 
the bulk temperature of the gear oil in the oil sump or a similar location. 
(6) Break in the axle assembly using 
good engineering judgment. Maintain gear oil temperature at or below 100 °C throughout the break-in period. 
(7) Drain the gear oil following the 
break-in procedure and repeat the filling procedure described in paragraph (b)(3) of this section. 
(c) Measure input and output speed 
and torque as described in 40 CFR 1065.210(b), except that you may use a magnetic or optical shaft-position detector with only one count per revolution. Use a speed-measurement system that meets an accuracy of 
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±0.05% of point. Use torque transducers 
that meet an accuracy requirement of ±0.2% of the maximum axle input 
torque or output torque tested for loaded test points, and ±1.0 N·m for unloaded test points. Calibrate and verify measurement instruments according to 40 CFR part 1065, subpart C. Command speed and torque at a minimum of 10 Hz, and record all data, including bulk oil temperature, as 1 Hz mean values. 
(d) The test matrix consists of output 
torque and wheel speed values meeting the following specifications: 
(1) Output torque includes both 
loaded and unloaded operation. For measurement involving unloaded output torque, also called spin loss testing, the wheel end is not connected to the dynamometer and is left to rotate freely; in this condition the input torque (to maintain constant wheel speed) equals the power loss. Test axles at a range of output torque values, as follows: 
(i) 0, 500, 1000, 2000, 3000, and 4000 
N·m for single drive axle applications for tractors and for vocational Heavy HDV with a single drive axle. 
(ii) 0, 250, 500, 1000, 1500, and 2000 
N·m for tractors, for vocational Heavy HDV with tandem drive axles, and for all vocational Light HDV or vocational Medium HDV. (iii) You may exclude values that 
exceed your axle’s maximum torque 
rating. 
(2) Determine maximum wheel speed 
corresponding to a vehicle speed of 65 mi/hr based on the smallest tire (as determined using § 1037.520(c)(1)) that will be used with the axle. If you do not know the smallest tire size, you may use a default size of 650 r/mi. Use wheel rotational speeds for testing that include 50 r/min and speeds in 100 r/min increments that encompass the maximum wheel speed (150, 250, etc.). 
(3) You may test the axle at additional 
speed and torque setpoints. 
(e) Determine axle efficiency using the 
following procedure: 
(1) Maintain ambient temperature 
between (15 and 35) °C throughout testing. Measure ambient temperature within 1.0 m of the axle assembly. Verify that critical axle settings (such as bearing preload, backlash, and oil sump level) are within specifications before and after testing. 
(2) Maintain gear oil temperature at 
(81 to 83) °C. Measure gear oil 
temperature at the drain of the sump. You may use an external gear oil conditioning system, as long as it does not affect measured values. 
(3) Use good engineering judgment to 
warm up the axle by operating it until the gear oil is within the specified temperature range. (4) Stabilize operation at each point in 
the test matrix for at least 10 seconds, 
then measure the input torque, output torque, and wheel speed for at least 10 seconds, recording the mean values for 
all three parameters. Calculate power loss as described in paragraph (f) of this section based on torque and speed values at each test point. 
(5) Perform the map sequence 
described in paragraph (e)(4) of this section three times. Remove torque from the input shaft and allow the axle to come to a full stop before each repeat measurement. 
(6) You may need to perform 
additional testing based on a calculation of repeatability at a 95% confidence level. Make a separate repeatability calculation for the three data points at each operating condition in the test matrix. If the confidence limit is greater than 0.10% for loaded tests or greater than 0.05% for unloaded tests, perform another repeat of the axle power loss map and recalculate the repeatability for the whole set of test results. Continue testing until the repeatability is at or below the specified values for all operating conditions. 
Calculate a confidence limit 
representing the repeatability in establishing a 95% confidence level using the following equation: 
Where: 
sPloss= standard deviation of power loss 
values at a given torque-speed setting 
(see 40 CFR 1065.602(c)). N = number of repeat tests. 
Pmax= maximum output torque setting from 
the test matrix. 
Example:  sPloss= 165.0 W 
N = 3 
Pmax= 314200 W 
(7) Calculate mean input torque, T ¯in 
mean output torque, T ¯out, and mean 
wheel rotational speed, f ¯nwheel , for each point in the test matrix using the results 
from all the repeat tests. (f) Calculate the mean power loss, 
P¯loss, at each operating condition in the 
test matrix as follows: 
(2) For each test calculate the mean 
power loss, P ¯loss, as follows: 
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Where: 
T¯in= mean input torque. 
f¯nwheel = mean wheel rotational speed. 
ka= drive axle ratio, expressed to at least the 
nearest 0.001. T¯out= mean output torque. Let T ¯out= 0 for 
all unloaded tests. 
Example:  
T¯in= 845.1 N·m f ¯nwheel = 100 r/min = 10.472 
rad/s 
ka= 3.731 T¯out= 3000 N·m 
P¯loss= 845.1·10.472·3.731 ¥ 3000·10.472 
P¯loss= 1602.9 W = 1.6029 kW 
P¯loss,2= 1601.9 W = 1.6019 kW 
P¯loss,3= 1603.9 W = 1.6039 kW 
(g) Create a table showing the mean 
power loss, 
corresponding to each mean output 
torque and mean wheel speed for input into GEM. Express wheel speed in r/min to one decimal place; express output torque in N·m to two decimal places; express power loss in kW to four decimal places. Select mean power loss values at or above the corresponding value calculated in paragraph (f) of this section. Use good engineering judgment to select values that will be at or above the mean power loss values for your production axles. For vehicles with tandem drive axles, sum the power losses and output torques of the individual axles when creating your table. For tandem axles with a disconnect, input a separate table into GEM for the single and tandem drive axle configurations. Vehicle manufacturers will use these declared mean power loss values for certification. 
§ 1037.565 Transmission efficiency test. 
This section describes a procedure for 
mapping transmission efficiency through a determination of transmission power loss. 
(a) You may establish transmission 
power loss maps based on testing any number of transmission configurations within a transmission family as specified in § 1037.232. You may share data across any configurations within the family, as long as you test the transmission configuration with the lowest efficiency from the emission family. Alternatively, you may ask us to approve power loss maps for untested configurations that are analytically derived from tested configurations within the same family (see § 1037.235(h)). 
(b) Prepare a transmission for testing 
as follows: (1) Select a transmission with less 
than 500 hours of operation before 
testing. 
(2) Mount the transmission to the 
dynamometer such that the geared shaft in the transmission is aligned with the input shaft from the dynamometer. 
(3) Add transmission oil according to 
the transmission manufacturer’s instructions. If the transmission manufacturer specifies multiple transmission oils, select the one with the highest viscosity at operating temperature. You may use a lower- viscosity transmission oil if we approve that as critical emission-related maintenance under § 1037.125. Fill the 
transmission oil to a level that represents in-use operation. You may use an external transmission oil conditioning system, as long as it does not affect measured values. 
(4) Include any internal and external 
pumps for hydraulic fluid and lubricating oil in the test. Determine the work required to drive an external pump according to 40 CFR 1065.210. 
(5) Install equipment for measuring 
the bulk temperature of the transmission oil in the oil sump or a similar location. 
(6) If the transmission is equipped 
with a torque converter, lock it for all testing performed in this section. 
(7) Break in the transmission using 
good engineering judgment. Maintain transmission oil temperature at (87 to 93) °C for automatic transmissions and 
transmissions having more than two friction clutches, and at (77 to 83) °C for 
all other transmissions. You may ask us to approve a different range of transmission oil temperatures if you have data showing that it better represents in-use operation. 
(c) Measure input and output shaft 
speed and torque as described in 40 CFR 1065.210(b), except that you may use a magnetic or optical shaft-position detector with only one count per revolution. Use a-speed measurement system that meets an accuracy of ±0.05% of point. Use torque transducers 
that meet an accuracy requirement of ±0.2% of the transmission’s maximum rated input torque or output torque for the selected gear ratio, for loaded test points, and ±0.1% of the transmission’s maximum rated input torque for unloaded test points. Calibrate and verify measurement instruments according to 40 CFR part 1065, subpart C. Command speed and torque at a minimum of 10 Hz, and record all data, including bulk oil temperature, at a minimum of 1 Hz mean values. 
(d) The test matrix consists of 
transmission input shaft speeds and 
torque setpoints meeting the following specifications for each gear tested: 
(1) Include transmission input shaft 
speeds at the maximum rated input shaft speed, 600 r/min, and three equally spaced intermediate speeds. The intermediate speed points may be adjusted to the nearest 50 or 100 r/min. 
(2) Include one loaded torque setpoint 
between 75% and 105% of the maximum transmission input torque and one unloaded (zero-torque) setpoint. You may test at any number of additional torque setpoints to improve accuracy. Note that GEM calculates power loss between tested or default values by linear interpolation. 
(3) In the case of transmissions that 
automatically go into neutral when the vehicle is stopped, also perform tests at 600 r/min and 800 r/min with the transmission in neutral and the transmission output fixed at zero speed. 
(e) Determine transmission torque loss 
using the following procedure: 
(1) Maintain ambient temperature 
between (15 and 35) °C throughout testing. Measure ambient temperature within 1.0 m of the transmission. 
(2) Maintain transmission oil 
temperature as described in paragraph (b)(7) of this section. You may use an external transmission oil conditioning system, as long as it does not affect measured values. 
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(3) Use good engineering judgment to 
warm up the transmission according to 
the transmission manufacturer’s specifications. 
(4) Perform unloaded transmission 
tests by disconnecting the transmission output shaft from the dynamometer and letting it rotate freely. If the transmission adjusts pump pressure based on whether the vehicle is moving or stopped, set up the transmission for unloaded tests to operate as if the vehicle is moving. 
(5) For transmissions that have 
multiple configurations for a given gear ratio, such as dual-clutch transmissions that can pre-select an upshift or downshift, set the transmission to operate in the configuration with the greatest power loss. Alternatively, test in each configuration and use good engineering judgment to calculate a weighted power loss for each test point under this section based on field data that characterizes the degree of in-use operation in each configuration. (6) Operate the transmission in the 
top gear at a selected torque setpoint with the input shaft speed at one of the speed setpoints for at least 10 seconds, then measure the speed and torque of the input and output shafts for at least 10 seconds. You may omit measurement of output shaft speeds if your transmission is configured is a way that does not allow slip. Calculate arithmetic mean values for all speed and torque values over each measurement period. Repeat this stabilization, measurement, and calculation for the other speed and torque setpoints from the test matrix in any sequence. Calculate power loss as described in paragraph (f) of this section based on torque and speed values at each test point. 
(7) Repeat the procedure described in 
paragraph (e) for all gears, or for all gears down to a selected gear. GEM will use default values for any gears not tested. 
(8) Perform the test sequence 
described in paragraphs (d)(6) and (7) of this section three times. You may do this repeat testing at any given test point before you perform measurements for the whole test matrix. Remove torque from the transmission input shaft and bring the transmission to a complete stop before each repeat measurement. 
(9) You may need to perform 
additional testing based on a calculation of repeatability at a 95% confidence level. Make a separate repeatability calculation for the three data points at each operating condition in the test matrix. If the confidence limit is greater than 0.10% for loaded tests or greater than 0.05% for unloaded tests, perform another repeat of measurements at that operating condition and recalculate the repeatability for the whole set of test results. Continue testing until the repeatability is at or below the specified values for all operating conditions. Calculate a confidence limit representing the repeatability in establishing a 95% confidence level using the following equation: 
Where: 
sPloss= standard deviation of power loss 
values at a given test point (see 40 CFR 
1065.602(c)). N = number of repeat tests. 
Prated= the transmission’s rated input power 
for a given gear. For testing in neutral, 
use the value of P ratedfor the top gear. Example:  
sPloss= 120.0 W 
N = 3 
Prated= 314200 W 
Confidence Limit = 0.0432% 
(10) Calculate mean input shaft 
torque, T¯in, mean output shaft torque, T¯out, mean input shaft speed, f ¯nin, and 
mean output shaft speed, f ¯nout, for each 
point in the test matrix using the results 
from all the repeat tests. (f) Calculate the mean power loss, 
P¯loss, at each operating condition in the 
test matrix as follows: 
(2) For each test calculate the mean 
power loss, P ¯loss, as follows: 
Where: 
T¯in= mean input shaft torque. 
f¯nin= mean input shaft speed. T¯out= mean output shaft torque. Let T ¯out= 0 
for all unloaded tests. f¯nout= mean output shaft speed. Let f; ¯nout= 0 
for all tests with the transmission in 
neutral. See paragraph (f)(3) of this 
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section for calculating for certain 
transmission configurations. 
Example:  T¯in= 1000.0 N·m 
f¯nin= 1000 r/min = 104.72 rad/sec 
T¯out= 2654.5 N·m 
f¯nout= 361.27 r/min = 37.832 rad/s P¯loss,1= 1000.0·104.72 ¥ 2654.5·37.832 
P¯loss= 4295 W = 4.295 kW 
P¯loss,2= 4285 W = 4.285 kW 
P¯loss,3= 4292 W = 4.292 kW 
(3) For transmissions that are 
configured in a way that does not allow slip, you may calculate f ¯noutbased on the 
gear ratio using the following equation: 
Where: 
kg= transmission gear ratio, expressed to at 
least the nearest 0.001. 
(g) Create a table showing the mean 
power loss, 
corresponding to each mean 
transmission input speed and mean input torque for input into GEM. Also include mean power loss in neutral for each tested engines speed, if applicable. Express transmission input speed in r/ min to one decimal place; express input torque in N•m to two decimal places; express power loss in kW to four decimal places. Select mean power loss values at or above the corresponding value calculated in paragraph (f) of this section. Use good engineering judgment to select values that will be at or above the mean power loss values for your production axles. Vehicle manufacturers will use these declared mean power loss values for certification. 
Subpart G—Special Compliance 
Provisions 
§ 1037.601 General compliance provisions. 
(a) Engine and vehicle manufacturers, 
as well as owners and operators of vehicles subject to the requirements of this part, and all other persons, must observe the provisions of this part, the applicable provisions of 40 CFR part 1068, and the applicable provisions of the Clean Air Act. The provisions of 40 CFR part 1068 apply for heavy-duty vehicles as specified in that part, subject to the provisions: 
(1) Except as specifically allowed by 
this part or 40 CFR part 1068, it is a violation of § 1068.101(a)(1) to introduce into U.S. commerce a tractor or vocational vehicle containing an engine not certified to the applicable 
requirements of this part and 40 CFR part 86. Further, it is a violation to introduce into U.S. commerce a Phase 1 tractor containing an engine not certified for use in tractors; or to introduce into U.S. commerce a vocational vehicle containing a light heavy-duty or medium heavy-duty engine not certified for use in vocational vehicles. These prohibitions apply especially to the vehicle manufacturer. Note that this paragraph (a)(1) allows 
the use of Heavy heavy-duty tractor engines in vocational vehicles. 
(2) The provisions of 40 CFR 
1068.105(a) apply for vehicle manufacturers installing engines certified under 40 CFR part 1036 as further limited by this paragraph (a)(2). If new engine emission standards apply in a given model year, you may install normal inventories of engines from the preceding model year under the provisions of 40 CFR 1068.105(a) through March 31 of that year without our approval; you may not install such engines after March 31 of that year unless we approve it in advance. Installing such engines after March 31 without our prior approval is considered to be prohibited stockpiling of engines. In a written request for our approval, you must describe how your circumstances led you and your engine supplier to have normal inventories of engines that were not used up in the specified time frame. We will approve your request for up to three additional months to install up to 50 engines under this paragraph (a)(2) if we determine that the excess inventory is a result of unforeseeable circumstances and should not be considered circumvention of emission standards. Note that 40 CFR 1068.105(a) allows vehicle manufacturers to use up only normal inventories of engines meeting less stringent standards; if, for example, a vehicle manufacturer’s normal practice is to receive a shipment of engines every two weeks, it will deplete its potential to install previous-tier engines under this paragraph (a)(2) well before March 31 in the year that new standards apply. 
(3) The exemption provisions of 40 
CFR 1068.201 through 1068.230, 1068.240, and 1068.260 through 265 apply for heavy-duty motor vehicles. Other exemption provisions, which are specific to nonroad engines, do not apply for heavy-duty vehicles or heavy- duty engines. 
(4) The tampering prohibition in 40 
CFR 1068.101(b)(1) applies for alternative fuel conversions as specified in 40 CFR part 85, subpart F. 
(5) The warranty-related prohibitions 
in section 203(a)(4) of the Act (42 U.S.C. 7522(a)(4)) apply to manufacturers of new heavy-duty highway vehicles in addition to the prohibitions described in 40 CFR 1068.101(b)(6). We may assess a civil penalty up to $44,539 for each engine or vehicle in violation. 
(6) A vehicle manufacturer that 
completes assembly of a vehicle at two or more facilities may ask to use as the date of manufacture for that vehicle the date on which manufacturing is completed at the place of main assembly, consistent with provisions of 49 CFR 567.4. Note that such staged assembly is subject to the corresponding provisions of 40 CFR 1068.260. Include your request in your application for certification, along with a summary of your staged-assembly process. You may ask to apply this allowance to some or all of the vehicles in your vehicle family. Our approval is effective when we grant your certificate. We will not approve your request if we determine 
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that you intend to use this allowance to 
circumvent the intent of this part. 
(7) The provisions for selective 
enforcement audits apply as described in 40 CFR part 1068, subpart E, and subpart D of this part. 
(b) Vehicles exempted from the 
applicable standards of 40 CFR part 86 other than glider vehicles are exempt from the standards of this part without request. Similarly, vehicles other than glider vehicles are exempt without request if the installed engine is exempted from the applicable standards in 40 CFR part 86. 
(c) The prohibitions of 40 CFR 
1068.101 apply for vehicles subject to the requirements of this part. The actions prohibited under this provision include the introduction into U.S. commerce of a complete or incomplete vehicle subject to the standards of this part where the vehicle is not covered by a valid certificate of conformity or exemption. 
(d) The emergency vehicle field 
modification provisions of 40 CFR 85.1716 apply with respect to the standards of this part. 
(e) Under § 1037.801, certain vehicles 
are considered to be new vehicles when they are imported into the United States, even if they have previously been used outside the country. Independent Commercial Importers may use the provisions of 40 CFR part 85, subpart P, and 40 CFR 85.1706(b) to receive a certificate of conformity for engines and vehicles meeting all the requirements of 40 CFR part 1036 and this part 1037. 
(f) Standards apply to multi-fuel 
vehicles as described for engines in 40 CFR 1036.601(d). 
§ 1037.605 Installing engines certified to 
alternate standards for specialty vehicles. 
(a) General provisions. This section 
allows vehicle manufacturers to 
introduce into U.S. commerce certain new motor vehicles using engines certified to alternate emission standards specified in 40 CFR part 86 for motor vehicle engines used in specialty vehicles. You may not install an engine certified to these alternate standards if there is an engine certified to the full set of requirements of 40 CFR part 86 that has the appropriate physical and performance characteristics to power the vehicle. Note that, although these alternate emission standards are mostly equivalent to standards that apply for nonroad engines under 40 CFR part 1039 or 1048, they are specific to motor vehicle engines. The alternate standards for compression-ignition engines at or above 56 kW are described in 40 CFR 86.007–11(g); the alternate standards for spark-ignition engines are described in 40 CFR 86.008–10(g). The provisions of this section apply for the following types of specialty vehicles: 
(1) All-terrain motor vehicles with 
portal axles (i.e., axles that are offset 
from the corresponding wheel centerline by a gear assembly) or any axle configuration involving gear reduction such that the wheels rotate more slowly than the axle. 
(2) Amphibious vehicles. 
(3) Vehicles with maximum speed at 
or below 45 miles per hour. If your 
vehicle is speed-limited to meet this specification by reducing maximum speed below what is otherwise possible, this speed limitation must be programmed into the engine or vehicle’s electronic control module in a way that is tamper-proof. If your vehicles are not inherently limited to a maximum speed at or below 45 miles per hour, they may qualify under this paragraph (a)(3) only if we approve your design to limit maximum speed as being tamper-proof in advance. 
(4) Through model year 2027, vehicles 
with a hybrid powertrain in which the engine provides energy for the Rechargeable Energy Storage System. 
(b) Notification and reporting 
requirements. Send the Designated 
Compliance Officer written notification describing your plans before using the provisions of this section. In addition, by February 28 of each calendar year (or less often if we tell you), send the Designated Compliance Officer a report with all the following information: 
(1) Identify your full corporate name, 
address, and telephone number. 
(2) List the vehicle models for which 
you used this exemption in the previous year and identify the engine manufacturer and engine model for each vehicle model. Also identify the total number of vehicles produced in the previous year. 
(c) Production limits. You may 
produce up to 1,000 hybrid vehicles in a given model year through model year 2027, and up to 200 of each type of vehicle identified in paragraph (a)(1) through (3) of this section in a given model year. This includes vehicles produced by affiliated companies. If you exceed this limit, the number of vehicles that exceed the limit for the model year will not be covered by a valid certificate of conformity. For the purpose of this paragraph (c), we will count all vehicles labeled or otherwise identified as exempt under this section. 
(d) Vehicle standards. The vehicle 
standards of this part apply as follows for these vehicles: 
(1) Vehicles qualifying under 
paragraphs (a)(1) through (3) of this section are subject to evaporative emission standards of § 1037.103, but are exempt from the other requirements of this part, except as specified in this section and in § 1037.601. These vehicles must include a label as specified in § 1037.135(a) with the information from § 1037.135(c)(1) and (2) and the following statement: ‘‘THIS VEHICLE IS EXEMPT FROM GREENHOUSE GAS STANDARDS UNDER 40 CFR 1037.605.’’ 
(2) Hybrid vehicles using the 
provisions of this section remain subject to the vehicle standards and all other requirements of this part 1037. For example, you may need to use GEM in conjunction with powertrain testing to demonstrate compliance with emission standards under subpart B of this part. 
§ 1037.610 Vehicles with off-cycle 
technologies. 
(a) You may ask us to apply the 
provisions of this section for CO 2 
emission reductions resulting from 
vehicle technologies that were not in common use with heavy-duty vehicles before model year 2010 that are not reflected in GEM. While you are not required to prove that such technologies were not in common use with heavy- duty vehicles before model year 2010, we will not approve your request if we determine that they do not qualify. These may be described as off-cycle or innovative technologies. You may apply these provisions for CO
2emission 
reductions reflected in the specified test procedures if they are not reflected in GEM, except as allowed under paragraph (g) of this section. We will apply these provisions only for technologies that will result in measurable, demonstrable, and verifiable real-world CO
2emission 
reductions. 
(b) The provisions of this section may 
be applied as either an improvement factor or as a separate credit, consistent with good engineering judgment. Note that the term ‘‘credit’’ in this section describes an additive adjustment to emission rates and is not equivalent to an emission credit in the ABT program of subpart H of this part. We recommend that you base your credit/ adjustment on A to B testing of pairs of vehicles differing only with respect to the technology in question. 
(1) Calculate improvement factors as 
the ratio of in-use emissions with the technology divided by the in-use emissions without the technology. Use the improvement-factor approach where good engineering judgment indicates that the actual benefit will be proportional to emissions measured 
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over the test procedures specified in this 
part. 
(2) Calculate separate credits (g/ton- 
mile) based on the difference between the in-use emission rate with the technology and the in-use emission rate without the technology. Subtract this value from your GEM result and use this adjusted value to determine your FEL. Use the separate-credit approach where 
good engineering judgment indicates that the actual benefit will not be proportional to emissions measured over the test procedures specified in this part. 
(3) We may require you to discount or 
otherwise adjust your improvement factor or credit to account for uncertainty or other relevant factors. 
(c) You may perform A to B testing by 
measuring emissions from the vehicles during chassis testing or from in-use on- road testing. You may also ask to use modified powertrain testing. If you use on-road testing, we recommend that you test according to SAE J1321, Fuel Consumption Test Procedure—Type II, revised February 2012, or SAE J1526, SAE Fuel Consumption Test Procedure (Engineering Method), Revised September 2015 (see § 1037.810 for information on availability of SAE standards), subject to the following provisions: 
(1) The minimum route distance is 
100 miles. 
(2) The route selected must be 
representative in terms of grade. We will take into account published and relevant research in determining whether the grade is representative. 
(3) Control vehicle speed over the 
route to be representative of the drive- cycle weighting adopted for each regulatory subcategory, as specified in § 1037.510(c), or apply a correction to account for the appropriate weighting. For example, if the route selected for an evaluation of a combination tractor with a sleeper cab contains only interstate driving at 65 mi/hr, the improvement factor would apply only to 86 percent of the weighted result. 
(4) The ambient air temperature must 
be between (5 and 35) °C, unless the technology requires other temperatures for demonstration. 
(5) We may allow you to use a 
Portable Emissions Measurement System (PEMS) device for measuring CO
2emissions during the on-road 
testing. 
(d) Send your request to the 
Designated Compliance Officer. We recommend that you do not begin collecting test data (for submission to EPA) before contacting us. For technologies for which the engine manufacturer could also claim credits (such as transmissions in certain circumstances), we may require you to include a letter from the engine manufacturer stating that it will not seek credits for the same technology. Your request must contain the following items: 
(1) A detailed description of the off- 
cycle technology and how it functions to reduce CO
2emissions under 
conditions not represented on the duty cycles required for certification. 
(2) A list of the vehicle configurations 
that will be equipped with the technology. 
(3) A detailed description and 
justification of the selected test vehicles. 
(4) All testing and simulation data 
required under this section, plus any other data you have considered in your analysis. You may ask for our preliminary approval of your test plan under § 1037.210. 
(5) A complete description of the 
methodology used to estimate the off- cycle benefit of the technology and all supporting data, including vehicle testing and in-use activity data. Also include a statement regarding your recommendation for applying the provisions of this section for the given technology as an improvement factor or a credit. 
(6) An estimate of the off-cycle benefit 
by vehicle model, and the fleetwide benefit based on projected sales of vehicle models equipped with the technology. 
(7) A demonstration of the in-use 
durability of the off-cycle technology, based on any available engineering analysis or durability testing data (either by testing components or whole vehicles). 
(8) A recommended method for 
auditing production vehicles consistent with the intent of 40 CFR part 1068, subpart E. We may approve your recommended method or specify a different method. 
(e) We may seek public comment on 
your request, consistent with the provisions of 40 CFR 86.1866. However, we will generally not seek public comment on credits or adjustments based on A to B chassis testing performed according to the duty-cycle testing requirements of this part or in- use testing performed according to paragraph (c) of this section. 
(f) We may approve an improvement 
factor or credit for any configuration that is properly represented by your testing. 
(1) For model years before 2021, you 
may continue to use an approved improvement factor or credit for any appropriate vehicle families in future model years through 2020. (2) For model years 2021 and later, 
you may not rely on an approval for 
model years before 2021. You must separately request our approval before applying an improvement factor or credit under this section for Phase 2 vehicles, even if we approved an improvement factor or credit for similar vehicle models before model year 2021. Note that Phase 2 approval may carry over for multiple years. 
(g) You normally may not calculate 
off-cycle credits or improvement factors under this section for technologies represented by GEM, but we may allow you to do so by averaging multiple GEM runs for special technologies for which a single GEM run cannot accurately reflect in-use performance. For example, if you use an idle-reduction technology that is effective 80 percent of the time, we may allow you to run GEM with the technology active and with it inactive, and then apply an 80% weighting factor to calculate the off-cycle credit or improvement factor. You may need to perform testing to establish proper weighting factors or otherwise quantify 
the benefits of the special technologies. 
§ 1037.615 Advanced technologies. 
(a) This section applies in Phase 1 for 
hybrid vehicles with regenerative braking, vehicles equipped with Rankine-cycle engines, electric vehicles, and fuel cell vehicles, and in Phase 2 through model year 2027 for plug-in hybrid electric vehicles, electric vehicles, and fuel cell vehicles. You may not generate credits for Phase 1 engine technologies for which the engines generate credits under 40 CFR part 1036. 
(b) Generate Phase 1 advanced- 
technology credits for vehicles other than electric vehicles as follows: 
(1) Measure the effectiveness of the 
advanced system by chassis-testing a vehicle equipped with the advanced system and an equivalent conventional vehicle, or by testing the hybrid systems and the equivalent non-hybrid systems as described in § 1037.555. Test the vehicles as specified in subpart F of this part. For purposes of this paragraph (b), a conventional vehicle is considered to be equivalent if it has the same footprint (as defined in 40 CFR 86.1803), vehicle service class, aerodynamic drag, and other relevant factors not directly related to the hybrid powertrain. If you use § 1037.540 to quantify the benefits of a hybrid system for PTO operation, the conventional vehicle must have the same number of PTO circuits and have equivalent PTO power. If you do not produce an equivalent vehicle, you may create and test a prototype equivalent vehicle. The conventional vehicle is 
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considered Vehicle A and the advanced 
vehicle is considered Vehicle B. We may specify an alternate cycle if your vehicle includes a power take-off. 
(2) Calculate an improvement factor 
and g/ton-mile benefit using the following equations and parameters: 
(i) Improvement Factor = [(Emission 
Rate A)¥(Emission Rate B)]/(Emission Rate A). 
(ii) g/ton-mile benefit = Improvement 
Factor × (GEM Result B). 
(iii) Emission Rates A and B are the 
g/ton-mile CO
2emission rates of the 
conventional and advanced vehicles, respectively, as measured under the test procedures specified in this section. GEM Result B is the g/ton-mile CO
2 
emission rate resulting from emission modeling of the advanced vehicle as specified in § 1037.520. 
(3) If you apply an improvement 
factor to multiple vehicle configurations using the same advanced technology, use the vehicle configuration with the smallest potential reduction in greenhouse gas emissions resulting from the hybrid capability. 
(4) Use the equations of § 1037.705 to 
convert the g/ton-mile benefit to emission credits (in Mg). Use the g/ton- mile benefit in place of the (Std-FEL) term. 
(c) See § 1037.540 for special testing 
provisions related to Phase 1 vehicles equipped with hybrid power take-off units. 
(d) For Phase 2 plug-in hybrid electric 
vehicles and for fuel cells powered by any fuel other than hydrogen, calculate CO
2credits using an FEL based on 
emission measurements from powertrain testing. Phase 2 advanced- technology credits do not apply for hybrid vehicles that have no plug-in capability. 
(e) You may use an engineering 
analysis to calculate an improvement factor for fuel cell vehicles based on measured emissions from the fuel cell vehicle. 
(f) For electric vehicles, calculate CO
2 
credits using an FEL of 0 g/ton-mile. 
(g) As specified in subpart H of this 
part, advanced-technology credits generated from Phase 1 vehicles under this section may be used under this part 1037 outside of the averaging set in which they were generated, or they may be used under 40 CFR 86.1819 or 40 CFR part 1036. Advanced-technology credits generated from Phase 2 vehicles are subject to all the averaging-set restrictions that apply to other emission credits. 
(h) You may certify using both 
provisions of this section and the off- cycle technology provisions of § 1037.610, provided you do not double count emission benefits. 
§ 1037.620 Responsibilities for multiple 
manufacturers. 
This section describes certain 
circumstances in which multiple 
manufacturers share responsibilities for vehicles they produce together. This section does not limit responsibilities that apply under the Act or these regulations for anyone meeting the definition of ‘‘manufacturer’’ in § 1037.801. Note that the definition of manufacturer is broad and can include persons not commercially considered to be manufacturers. 
(a) The following provisions apply 
when there are multiple persons meeting the definition of manufacturer in § 1037.801: 
(1) Each person meeting the definition 
of manufacturer must comply with the requirements of this part that apply to manufacturers. However, if one person complies with a specific requirement for a given vehicle, then all manufacturers are deemed to have complied with that specific requirement. 
(2) We will apply the requirements of 
subparts C and D of this part to the manufacturer that obtains the certificate of conformity for the vehicle. Other manufacturers are required to comply with the requirements of subparts C and D of this part only when notified by us. In our notification, we will specify a reasonable time period in which you need to comply with the requirements identified in the notice. See § 1037.601 for the applicability of 40 CFR part 1068 to these other manufacturers and remanufacturers. 
(b) The provisions of § 1037.621, 
including delegated assembly, apply for certifying manufacturers that rely on other manufacturers to finish assembly in a certified configuration. The provisions of § 1037.622 generally apply for manufacturers that ship vehicles subject to the requirements of this part to a certifying secondary vehicle manufacturer. The provisions of § 1037.622 also apply to the secondary vehicle manufacturer. If you hold the certificate of conformity for a vehicle only with respect to exhaust or evaporative emissions, and a different company holds the other certificate of conformity for that vehicle, the provisions of § 1037.621 apply with respect to the certified configuration as described in your application for certification, and the provisions of § 1037.622 apply with respect to the certified configuration as described in the other manufacturer’s application for certification. (c) Manufacturers of aerodynamic 
devices may perform the aerodynamic testing described in § 1037.526 to quantify DC
dAvalues for trailers and 
submit that data to EPA verification under § 1037.211. Trailer manufacturers may use such verified data to establish input parameters for certifying their trailers. Both device manufacturers and trailer manufacturers are subject to 40 CFR part 1068, including the recall provisions described in 40 CFR part 1068, subpart F. 
(d) Component manufacturers (such 
as tire manufacturers) providing test data to certifying vehicle manufacturers are responsible as follows for test components and emission test results provided to vehicle manufacturers for the purpose of certification under this part: 
(1) Such test results are deemed under 
§ 1037.825 to be submissions to EPA. This means that you may be subject to criminal penalties under 18 U.S.C. 1001 if you knowingly submit false test results to the certifying manufacturer. 
(2) You may not cause a vehicle 
manufacturer to violate the regulations by rendering inaccurate emission test results you provide (or emission test results from testing of test components you provide) to the vehicle manufacturer (see 40 CFR 1068.101(c)). 
(3) Your provision of test components 
and/or emission test results to vehicle manufacturers for the purpose of certifying under this part are deemed to be an agreement to provide components to EPA for confirmatory testing under § 1037.235. 
(e) Component manufacturers may 
contractually agree to process emission warranty claims on behalf of the certifying manufacturer with respect to those components, as follows: 
(1) Your fulfillment of the warranty 
requirements of this part is deemed to fulfill the vehicle manufacturer’s warranty obligations under this part with respect to components covered by your warranty. 
(2) You may not cause a vehicle 
manufacturer to violate the regulations by failing to fulfill the emission warranty requirements that you contractually agreed to fulfill (see 40 CFR 1068.101(c)). 
(f) We may require component 
manufacturers to provide information or take other actions under 42 U.S.C. 7542. For example, we may require component manufacturers to test components they produce. 
§ 1037.621 Delegated assembly. 
(a) This section describes provisions 
that allow certificate holders to sell or ship vehicles that are missing certain 
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emission-related components if those 
components will be installed by a secondary vehicle manufacturer. Paragraph (g) of this section similarly describes how dealers and distributors may modify new vehicles with your advance approval. (Note: See § 1037.622 
for provisions related to manufacturers introducing into U.S. commerce partially complete vehicles for which a secondary vehicle manufacturer holds the certificate of conformity.) 
(b) You do not need an exemption to 
ship a vehicle that does not include installation or assembly of certain emission-related components if those components are shipped along with the vehicle. For example, you may generally ship fuel tanks and aerodynamic devices along with vehicles rather than installing them on the vehicle before shipment. We may require you to describe how you plan to use this provision. 
(c) You may ask us at the time of 
certification for an exemption to allow you to ship your vehicles without emission-related components. If we allow this, you must provide emission- related installation instructions as specified in § 1037.130. You must follow delegated-assembly requirements in 40 CFR 1068.261 if you rely on secondary vehicle manufacturers to install certain technologies or components as specified in paragraph (d) of this section. For other technologies or components, we may specify conditions that we determine are needed to ensure that shipping the vehicle without such components will not result in the vehicle being operated outside of its certified configuration; this may include a requirement to comply with the delegated-assembly provisions in paragraph (d) of this section. We may consider your past performance when we specify the conditions that apply. 
(d) Delegated-assembly provisions 
apply as specified in this paragraph (d) if the certifying vehicle manufacturer relies on a secondary vehicle manufacturer to procure and install auxiliary power units, aerodynamic devices, hybrid components (for powertrain or power take-off), or natural gas fuel tanks. These provisions do not apply for other systems or components, such as air conditioning lines and fittings, except as specified in paragraph (c) of this section. Apply the provisions of 40 CFR 1068.261, with the following exceptions and clarifications: 
(1) Understand references to 
‘‘engines’’ to refer to vehicles. 
(2) Understand references to 
‘‘aftertreatment components’’ to refer to any relevant emission-related components under this paragraph (d). 
(3) Understand ‘‘equipment 
manufacturers’’ to be secondary vehicle manufacturers. 
(4) The provisions of 40 CFR 
1068.261(b), (c)(7), (d), and (e) do not apply. Accordingly, the provisions of 40 CFR 1068.261(c) apply regardless of pricing arrangements. 
(e) Secondary vehicle manufacturers 
must follow the engine manufacturer’s emission-related installation instructions. Not meeting the manufacturer’s emission-related installation instructions is a violation of one or more of the prohibitions of § 1068.101. We may also require secondary vehicle manufacturers to recall defective vehicles under 40 CFR 1068.505 if we determine that their manufacturing practices caused vehicles to not conform to the regulations. Secondary vehicle manufacturers may be required to meet additional requirements if the certifying vehicle manufacturer delegates final assembly of emission controls as described in paragraph (d) of this section. 
(f) Except as allowed by § 1037.622, 
the provisions of this section apply to manufacturers for glider kits they produce. Note that under § 1037.620, glider kit manufacturers are generally presumed to be responsible (in whole or in part) for compliance with respect to vehicles produced from their glider kits, even if a secondary vehicle manufacturer holds the certificate under § 1037.622. 
(g) We may allow certifying vehicle 
manufacturers to authorize dealers or distributors to reconfigure vehicles after the vehicles have been introduced into commerce if they have not yet been delivered to the ultimate purchaser as follows: 
(1) This allowance is limited to 
changes from one certified configuration to another, as noted in the following examples: 
(i) If your vehicle family includes 
certified configurations with different axle ratios, you may authorize changing from one certified axle ratio to another. 
(ii) You may authorize adding a 
certified APU to a tractor. 
(2) Your final ABT report must 
accurately describe the vehicle’s certified configuration as delivered to the ultimate purchaser. This means that the allowance no longer applies after you submit the final ABT report. 
(3) The vehicle label must accurately 
reflect the final vehicle configuration. 
(4) You must keep records to 
document modifications under this paragraph (g). (5) Dealers and distributors must keep 
a record of your authorizing instructions. Dealers and distributors that fail to follow your instructions or otherwise make unauthorized changes may be committing a tampering violation as described in 40 CFR 1068.105(b). 
§ 1037.622 Shipment of partially complete 
vehicles to secondary vehicle manufacturers. 
This section specifies how 
manufacturers may introduce partially 
complete vehicles into U.S. commerce (or in the case of certain custom vehicles, introduce complete vehicles into U.S. commerce for modification by a small manufacturer). The provisions of this section are generally not intended for trailers, but they may apply in unusual circumstances, such as when a secondary vehicle manufacturer will modify a trailer in a way that makes it exempt. The provisions of this section are intended to accommodate normal business practices without compromising the effectiveness of certified emission controls. You may not use the provisions of this section to circumvent the intent of this part. For vehicles subject to both exhaust GHG and evaporative standards, the provisions of this part apply separately for each certificate. 
(a) The provisions of this section 
allow manufacturers to ship partially complete vehicles to secondary vehicle manufacturers or otherwise introduce them into U.S. commerce in the following circumstances: 
(1) Certified vehicles. Manufacturers 
may introduce partially complete tractors into U.S. commerce if they are covered by certificates of conformity and are in certified configurations. See § 1037.621 for vehicles not yet in a certified configuration when introduced into U.S. commerce. 
(2) Uncertified vehicles that will be 
certified by secondary vehicle manufacturers. Manufacturers may 
introduce into U.S. commerce partially complete vehicles for which they do not hold the required certificate of conformity only as allowed by paragraph (b) of this section; however, the requirements of this section do not apply for tractors or vocational vehicles with a date of manufacture before January 1, 2022, that are produced by a secondary vehicle manufacturer if they are excluded from the standards of this part under § 1037.150(c). 
(3) Exempted vehicles. Manufacturers 
may introduce into U.S. commerce partially complete vehicles without a certificate of conformity if the vehicles are exempt under this part or under 40 
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CFR part 1068. This may involve the 
secondary vehicle manufacturer qualifying for the exemption. 
(4) Small manufacturers modifying 
certified tractors. Small manufacturers that build custom sleeper cabs or natural gas-fueled tractors may modify complete or incomplete vehicles certified as tractors, as specified by paragraph (d) of this section. 
(b) The provisions of this paragraph 
(b) generally apply where the secondary vehicle manufacturer has substantial control over the design and assembly of emission controls. They also apply where a secondary vehicle manufacturer qualifies for a permanent exemption. In unusual circumstances we may allow other secondary vehicle manufacturers to use these provisions. In determining whether a manufacturer has substantial control over the design and assembly of emission controls, we would consider the degree to which the secondary vehicle manufacturer would be able to ensure that the engine and vehicle will conform to the regulations in their final configurations. 
(1) A secondary vehicle manufacturer 
may finish assembly of partially complete vehicles in the following cases: 
(i) It obtains a vehicle that is not fully 
assembled with the intent to manufacture a complete vehicle in a certified or exempted configuration. For example, this would apply where a 
glider vehicle assembler holds a certificate that allows the assembler to produce certified glider vehicles from glider kits. 
(ii) It obtains a vehicle with the intent 
to modify it to a certified configuration before it reaches the ultimate purchaser. For example, this may apply for converting a gasoline-fueled vehicle to operate on natural gas under the terms of a valid certificate. 
(2) Manufacturers may introduce 
partially complete vehicles into U.S. commerce as described in this paragraph (b) if they have a written request for such vehicles from a secondary vehicle manufacturer that will finish the vehicle assembly and has certified the vehicle (or the vehicle has been exempted or excluded from the requirements of this part). The written request must include a statement that the secondary vehicle manufacturer has a certificate of conformity (or exemption/exclusion) for the vehicle and identify a valid vehicle family name associated with each vehicle model ordered (or the basis for an exemption/ exclusion). The original vehicle manufacturer must apply a removable label meeting the requirements of 40 CFR 1068.45(b) that identifies the corporate name of the original 
manufacturer and states that the vehicle is exempt under the provisions of § 1037.622. The name of the certifying manufacturer must also be on the label or, alternatively, on the bill of lading that accompanies the vehicles during shipment. The original manufacturer may not apply a permanent emission control information label identifying the vehicle’s eventual status as a certified vehicle. Note that an exemption allowing a glider assembler to install an exempt engine does not necessarily exempt the vehicle from the requirements of this part. 
(3) If you are the secondary vehicle 
manufacturer and you will hold the certificate, you must include the following information in your application for certification: 
(i) Identify the original manufacturer 
of the partially complete vehicle or of the complete vehicle you will modify. 
(ii) Describe briefly how and where 
final assembly will be completed. Specify how you have the ability to ensure that the vehicles will conform to the regulations in their final configuration. (Note: This section 
prohibits using the provisions of this paragraph (b) unless you have substantial control over the design and assembly of emission controls.) 
(iii) State unconditionally that you 
will not distribute the vehicles without conforming to all applicable regulations. 
(4) If you are a secondary vehicle 
manufacturer and you are already a 
certificate holder for other families, you may receive shipment of partially complete vehicles after you apply for a certificate of conformity but before the certificate’s effective date. This exemption allows the original manufacturer to ship vehicles after you have applied for a certificate of conformity. Manufacturers may introduce partially complete vehicles into U.S. commerce as described in this paragraph (b)(4) if they have a written request for such vehicles from a secondary vehicle manufacturer stating that the application for certification has been submitted (instead of the information we specify in paragraph (b)(2) of this section). We may set additional conditions under this paragraph (b)(4) to prevent circumvention of regulatory requirements. 
(5) The provisions of this section also 
apply for shipping partially complete vehicles if the vehicle is covered by a valid exemption and there is no valid family name that could be used to represent the vehicle model. Unless we approve otherwise in advance, you may do this only when shipping engines to secondary vehicle manufacturers that 
are certificate holders. In this case, the secondary vehicle manufacturer must identify the regulatory cite identifying the applicable exemption instead of a valid family name when ordering engines from the original vehicle manufacturer. 
(6) Both original and secondary 
vehicle manufacturers must keep the records described in this section for at least five years, including the written request for exempted vehicles and the bill of lading for each shipment (if applicable). The written request is deemed to be a submission to EPA. 
(7) These provisions are intended 
only to allow secondary vehicle manufacturers to obtain or transport vehicles in the specific circumstances identified in this section so any exemption under this section expires when the vehicle reaches the point of final assembly identified in paragraph (b)(3)(ii) of this section. 
(8) For purposes of this section, an 
allowance to introduce partially complete vehicles into U.S. commerce includes a conditional allowance to sell, introduce, or deliver such vehicles into commerce in the United States or import them into the United States. It does not include a general allowance to offer such vehicles for sale because this exemption is intended to apply only for cases in which the certificate holder 
already has an arrangement to purchase the vehicles from the original manufacturer. This exemption does not allow the original manufacturer to subsequently offer the vehicles for sale to a different manufacturer who will hold the certificate unless that second manufacturer has also complied with the requirements of this part. The exemption does not apply for any individual vehicles that are not labeled as specified in this section or which are shipped to someone who is not a certificate holder. 
(9) We may suspend, revoke, or void 
an exemption under this section, as follows: 
(i) We may suspend or revoke your 
exemption if you fail to meet the requirements of this section. We may suspend or revoke an exemption related to a specific secondary vehicle manufacturer if that manufacturer sells vehicles that are in not in a certified configuration in violation of the regulations. We may disallow this exemption for future shipments to the affected secondary vehicle manufacturer or set additional conditions to ensure that vehicles will be assembled in the certified configuration. 
(ii) We may void an exemption for all 
the affected vehicles if you intentionally 
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submit false or incomplete information 
or fail to keep and provide to EPA the records required by this section. 
(iii) The exemption is void for a 
vehicle that is shipped to a company that is not a certificate holder or for a vehicle that is shipped to a secondary vehicle manufacturer that is not in compliance with the requirements of this section. 
(iv) The secondary vehicle 
manufacturer may be liable for penalties for causing a prohibited act where the exemption is voided due to actions on the part of the secondary vehicle manufacturer. 
(c) Provide instructions along with 
partially complete vehicles including all information necessary to ensure that an engine will be installed in its certified configuration. 
(d) Small manufacturers that build 
custom sleeper cabs or natural gas- fueled tractors may modify complete or incomplete vehicles certified as tractors, subject to the provisions of this paragraph (d). Such businesses are secondary vehicle manufacturers. 
(1) Secondary vehicle manufacturers 
may not modify the vehicle body in front of the b-pillar or increase the effective frontal area of the certified configuration including consideration of the frontal area of the standard trailer. For high-roof custom sleeper tractors, this would generally mean that no part of the added sleeper compartment may extend beyond 102 inches wide or 162 inches high (measured from the ground), which are the dimensions of the standard trailer for high-roof tractors under this part. Note that these dimensions have a tolerance of ±2 inches. 
(2) The certifying manufacturer may 
have responsibilities for the vehicle under this section, as follows: 
(i) If the vehicle being modified is a 
complete tractor in a certified configuration, the certifying manufacturer has no additional responsibilities for the vehicle under this section. 
(ii) If the vehicle being modified is 
partially complete only because it lacks body components to the rear of the b- pillar (but is otherwise a complete tractor in a certified configuration), the certifying manufacturer has no additional responsibilities for the vehicle under this section. 
(iii) If the vehicle being modified is an 
incomplete tractor not in a certified configuration, the certifying manufacturer must comply with the provisions of § 1037.621 for the vehicle. 
(3) The secondary vehicle 
manufacturer must add a permanent supplemental label to the vehicle near the original manufacturer’s emission control information label. On the label identify your corporate name and include the statement: ‘‘THIS TRACTOR WAS MODIFIED UNDER 40 CFR 1037.622.’’ 
(4) See § 1037.150 for additional 
interim options that may apply. 
(5) The provisions of this paragraph 
(d) may apply separately for vehicle GHG and evaporative emission standards. 
(6) Modifications under this 
paragraph (d) do not violate 40 CFR 1068.101(b)(1). 
§ 1037.630 Special purpose tractors. 
(a) General provisions. This section 
allows a vehicle manufacturer to reclassify certain tractors as vocational tractors. Vocational tractors are treated as vocational vehicles and are exempt from the standards of § 1037.106. Note that references to ‘‘tractors’’ outside of this section mean non-vocational tractors. 
(1) This allowance is intended only 
for vehicles that do not typically operate at highway speeds, or would otherwise not benefit from efficiency improvements designed for line-haul tractors. This allowance is limited to the following vehicle and application types: 
(i) Low-roof tractors intended for 
intra-city pickup and delivery, such as those that deliver bottled beverages to retail stores. 
(ii) Tractors intended for off-road 
operation (including mixed service operation that does not qualify for an exemption under § 1037.631), such as those with reinforced frames and increased ground clearance. This includes drayage tractors. 
(iii) Model year 2020 and earlier 
tractors with a gross combination weight rating (GCWR) at or above 120,000 pounds. Note that Phase 2 tractors meeting the definition of ‘‘heavy-haul’’ in § 1037.801 must be certified to the heavy-haul standards in §§ 1037.106 or 1037.670. 
(2) Where we determine that a 
manufacturer is not applying this allowance in good faith, we may require the manufacturer to obtain preliminary approval before using this allowance. 
(b) Requirements. The following 
requirements apply with respect to tractors reclassified under this section: 
(1) The vehicle must fully conform to 
all requirements applicable to vocational vehicles under this part. 
(2) Vehicles reclassified under this 
section must be certified as a separate vehicle family. However, they remain part of the vocational regulatory subcategory and averaging set that applies for their service class. (3) You must include the following 
additional statement on the vehicle’s emission control information label under § 1037.135: ‘‘THIS VEHICLE WAS CERTIFIED AS A VOCATIONAL TRACTOR UNDER 40 CFR 1037.630.’’ 
(4) You must keep records for three 
years to document your basis for believing the vehicles will be used as described in paragraph (a)(1) of this section. Include in your application for certification a brief description of your basis. 
(c) Production limit. No manufacturer 
may produce more than 21,000 Phase 1 vehicles under this section in any consecutive three model year period. This means you may not exceed 6,000 in a given model year if the combined total for the previous two years was 15,000. The production limit applies with respect to all Class 7 and Class 8 Phase 1 tractors certified or exempted as vocational tractors. No production limit applies for tractors subject to Phase 2 standards. 
(d) Off-road exemption. All the 
provisions of this section apply for vocational tractors exempted under § 1037.631, except as follows: 
(1) The vehicles are required to 
comply with the requirements of § 1037.631 instead of the requirements that would otherwise apply to vocational vehicles. Vehicles complying with the requirements of § 1037.631 and using an engine certified to the standards of 40 CFR part 1036 are deemed to fully conform to all requirements applicable to vocational vehicles under this part. 
(2) The vehicles must be labeled as 
specified under § 1037.631 instead of as specified in paragraph (b)(3) of this section. 
§ 1037.631 Exemption for vocational 
vehicles intended for off-road use. 
This section provides an exemption 
from the greenhouse gas standards of 
this part for certain vocational vehicles (including certain vocational tractors) that are intended to be used extensively in off-road environments such as forests, oil fields, and construction sites. This section does not exempt engines used in vocational vehicles from the standards of 40 CFR part 86 or part 1036. Note that you may not include these exempted vehicles in any credit calculations under this part. 
(a) Qualifying criteria. Vocational 
vehicles intended for off-road use are exempt without request, subject to the provisions of this section, if they are primarily designed to perform work off- road (such as in oil fields, mining, forests, or construction sites), and they meet at least one of the criteria of 
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paragraph (a)(1) of this section and at 
least one of the criteria of paragraph (a)(2) of this section. See § 1037.105(h) for alternate Phase 2 standards that apply for vehicles meeting only one of these sets of criteria. 
(1) The vehicle must have affixed 
components designed to work inherently in an off-road environment (such as hazardous material equipment or off-road drill equipment) or be designed to operate at low speeds such that it is unsuitable for normal highway operation. 
(2) The vehicle must meet one of the 
following criteria: 
(i) Have an axle that has a gross axle 
weight rating (GAWR) at or above 29,000 pounds. 
(ii) Have a speed attainable in 2.0 
miles of not more than 33 mi/hr. 
(iii) Have a speed attainable in 2.0 
miles of not more than 45 mi/hr, an unloaded vehicle weight that is not less than 95 percent of its gross vehicle weight rating, and no capacity to carry occupants other than the driver and operating crew. 
(iv) Have a maximum speed at or 
below 54 mi/hr. You may consider the vehicle to be appropriately speed- limited if engine speed at 54 mi/hr is at or above 95 percent of the engine’s maximum test speed in the highest available gear. You may alternatively limit vehicle speed by programming the engine or vehicle’s electronic control module in a way that is tamper-proof. 
(b) Tractors. The provisions of this 
section may apply for tractors only if each tractor qualifies as a vocational tractor under § 1037.630. 
(c) Recordkeeping and reporting. (1) 
You must keep records to document that your exempted vehicle configurations meet all applicable requirements of this section. Keep these records for at least eight years after you stop producing the exempted vehicle model. We may review these records at any time. 
(2) You must also keep records of the 
individual exempted vehicles you produce, including the vehicle identification number and a description of the vehicle configuration. 
(3) Within 90 days after the end of 
each model year, you must send to the Designated Compliance Officer a report with the following information: 
(i) A description of each exempted 
vehicle configuration, including an explanation of why it qualifies for this exemption. 
(ii) The number of vehicles exempted 
for each vehicle configuration. 
(d) Labeling. You must include the 
following additional statement on the vehicle’s emission control information label under § 1037.135: ‘‘THIS VEHICLE WAS EXEMPTED UNDER 40 CFR 1037.631.’’ 
§ 1037.635 Glider kits and glider vehicles. 
Except as specified in § 1037.150, the 
requirements of this section apply beginning January 1, 2017. 
(a) Vehicles produced from glider kits 
and other glider vehicles are subject to the same standards as other new vehicles, including the applicable vehicle standards described in Subpart B of this part. Note that this requirement for the vehicle generally applies even if the engine meets the criteria of paragraph (c)(1) of this section. For engines originally produced before 2017, if you are unable to obtain a fuel map for an engine you may ask to use a default map, consistent with good engineering judgment. 
(b) Section 1037.601(a)(1) disallows 
the introduction into U.S. commerce of a new tractor or vocational vehicle (including a vehicle assembled from a glider kit) unless it has an engine that is certified to the applicable standards in 40 CFR parts 86 and 1036. Except as specified otherwise in this part, the standards apply for engines used in glider vehicles as follows: 
(1) The engine must meet the GHG 
standards of 40 CFR part 1036 that apply for the engine model year corresponding to the vehicle’s date of manufacture. For example, for a vehicle with a 2024 date of manufacture, the engine must meet the GHG standards that apply for model year 2024. 
(2) The engine must meet the criteria 
pollutant standards of 40 CFR part 86 that apply for the engine model year corresponding to the vehicle’s date of manufacture. 
(3) The engine may be from an earlier 
model year if the standards were identical to the currently applicable engine standards. 
(4) Note that alternate standards or 
requirements may apply under § 1037.150. 
(c) The engine standards identified in 
paragraph (b) of this section do not apply for certain engines when used in glider kits. These engines remain subject to the standards to which they were previously certified. 
(1) The allowance in this paragraph 
(c) applies only for following engines: 
(i) Certified engines still within their 
original useful life in terms of both miles and years. Glider vehicles produced using engines meeting this criterion are exempt from the requirements of paragraph (a) of this section if the glider vehicle configuration is identical to a configuration previously certified to the requirements of this part 1037 for a model year the same as or later than the 
model year of the engine. 
(ii) Certified engines of any age with 
less than 100,000 miles of engine operation. This is intended for specialty vehicles (such as fire trucks) that have very low usage rates. These vehicles are exempt from the requirements of paragraph (a) of this section, provided the completed vehicle is returned to the 
owner of the engine in a configuration equivalent to that of the donor vehicle. 
(iii) Certified engines less than three 
years old with any number of accumulated miles of engine operation. Vehicles using these engines must comply with the requirements of paragraph (a) of this section. 
(2) For remanufactured engines, these 
eligibility criteria apply based on the original date of manufacture rather than the date of remanufacture. For example, an engine originally manufactured in 2003 that is remanufactured in 2012 after 350,000 miles, then accumulates an additional 150,000 miles before being installed in a model year 2020 glider would be considered to be 17 years old and to have accumulated 500,000 miles. 
(3) The provisions of this paragraph 
(c) apply only where you can show that one or more criteria have been met. For example, to apply the criterion of paragraph (c)(1)(i) or (ii), you must be able prove the number of miles the engine has accumulated. 
(d) All engines used in glider vehicles 
(including remanufactured engines) must be in a certified configuration and properly labeled. This requirement applies equally to any engine covered by this section. Depending on the model year of the engine (and other applicable provisions of this section), it may be permissible for the engine to remain in its original certified configuration or another configuration of the same original model year. However, it may be necessary to modify the engine to a newer certified configuration. 
(e) The following additional 
provisions apply: 
(1) The Clean Air Act definition of 
‘‘manufacturer’’ includes anyone who assembles motor vehicles, including entities that install engines in or otherwise complete assembly of glider kits. 
(2) Vehicle manufacturers (including 
assemblers) producing glider vehicles must comply with the reporting and recordkeeping requirements in § 1037.250. 
(3) Manufacturers of glider kits 
providing glider kits for the purpose of allowing another manufacturer to assemble vehicles under this section are subject to the provisions of §§ 1037.620 through 1037.622, as applicable. For 
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example, introducing an uncertified 
glider kit into U.S. commerce may subject you to penalties under 40 CFR 1068.101 if the completed glider vehicle does not conform fully with the regulations of the part at any point before being placed into service. 
§ 1037.640 Variable vehicle speed limiters. 
This section specifies provisions that 
apply for vehicle speed limiters (VSLs) that you model under § 1037.520. This does not apply for VSLs that you do not model under § 1037.520. (e) This section is written to apply for tractors; however, you may use good engineering judgment to apply equivalent adjustments for Phase 2 vocational vehicles with vehicle speed limiters. 
(a) General. The regulations of this 
part do not constrain how you may design VSLs for your vehicles. For example, you may design your VSL to have a single fixed speed limit or a soft- top speed limit. You may also design your VSL to expire after accumulation of a predetermined number of miles. 
However, designs with soft tops or expiration features are subject to proration provisions under this section that do not apply to fixed VSLs that do not expire. 
(b) Definitions. The following 
definitions apply for purposes of this section: (1) Default speed limit means the 
speed limit that normally applies for the 
vehicle, except as follows: 
(i) The default speed limit for 
adjustable VSLs must represent the speed limit that applies when the VSL is adjusted to its highest setting under paragraph (c) of this section. 
(ii) For VSLs with soft tops, the 
default speed does not include speeds possible only during soft-top operation. 
(iii) For expiring VSLs, the default 
does not include speeds that are possible only after expiration. 
(2) Soft-top speed limit means the 
highest speed limit that applies during soft-top operation. 
(3) Maximum soft-top duration means 
the maximum amount of time that a vehicle could operate above the default 
speed limit. 
(4) Certified VSL means a VSL 
configuration that applies when a vehicle is new and until it expires. 
(5) Expiration point means the 
mileage at which a vehicle’s certified VSL expires (or the point at which tamper protections expire). 
(6) Effective speed limit has the 
meaning given in paragraph (d) of this section. 
(c) Adjustments. You may design your 
VSL to be adjustable; however, this may affect the value you use in GEM. 
(1) Except as specified in paragraph 
(c)(2) of this section, any adjustments that can be made to the engine, vehicle, or their controls that change the VSL’s actual speed limit are considered to be adjustable operating parameters. Compliance is based on the vehicle being adjusted to the highest speed limit within this range. 
(2) The following adjustments are not 
adjustable parameters: 
(i) Adjustments made only to account 
for changing tire size or final drive ratio. 
(ii) Adjustments protected by 
encrypted controls or passwords. 
(iii) Adjustments possible only after 
the VSL’s expiration point. 
(d) Effective speed limit. (1) For VSLs 
without soft tops or expiration points that expire before 1,259,000 miles, the effective speed limit is the highest speed limit that results by adjusting the VSL or other vehicle parameters consistent with the provisions of paragraph (c) of this section. 
(2) For VSLs with soft tops and/or 
expiration points, the effective speed limit is calculated as specified in this paragraph (d)(2), which is based on 10 hours of operation per day (394 miles per day for day cabs and 551 miles per day for sleeper cabs). Note that this calculation assumes that a fraction of this operation is speed-limited (3.9 hours and 252 miles for day cabs, and 7.3 hours and 474 miles for sleeper cabs). Use the following equation to calculate the effective speed limit, rounded to the nearest 0.1 mi/hr: 
Where: 
ExF = expiration point miles/1,259,000 
miles. 
STF = the maximum number of allowable 
soft top operation hours per day/3.9 
hours for day cabs (or maximum miles per day/252), or the maximum number of allowable soft top operation hours per day/7.3 hours for sleeper cabs (or maximum miles per day/474). 
STSL = the soft-top speed limit. DSL = the default speed limit. 
§ 1037.645 In-use compliance with family 
emission limits (FELs). 
Section 1037.225 describes how to 
change the FEL for a vehicle family 
during the model year. This section, which describes how you may ask us to increase a vehicle family’s FEL after the end of the model year, is intended to address circumstances in which it is in the public interest to apply a higher in- use FEL based on forfeiting an appropriate number of emission credits. For example, this may be appropriate where we determine that recalling 
vehicles would not significantly reduce in-use emissions. We will generally not allow this option where we determine the credits being forfeited would likely have expired. 
(a) You may ask us to increase a 
vehicle family’s FEL after the end of the model year if you believe some of your in-use vehicles exceed the CO
2FEL that 
applied during the model year (or the CO
2emission standard if the family did 
not generate or use emission credits). We may consider any available information in making our decision to approve or deny your request. 
(b) If we approve your request under 
this section, you must apply emission credits to cover the increased FEL for all affected vehicles. Apply the emission credits as part of your credit demonstration for the current production year. Include the 
appropriate calculations in your final report under § 1037.730. (c) Submit your request to the 
Designated Compliance Officer. Include the following in your request: 
(1) Identify the names of each vehicle 
family that is the subject of your request. Include separate family names for different model years 
(2) Describe why your request does 
not apply for similar vehicle models or additional model years, as applicable. 
(3) Identify the FEL that applied 
during the model year for each configuration and recommend replacement FELs for in-use vehicles; include a supporting rationale to describe how you determined the recommended replacement FELs. 
(4) Describe whether the needed 
emission credits will come from averaging, banking, or trading. 
(d) If we approve your request, we 
will identify one or more replacement FELs, as follows: 
(1) Where your vehicle family 
includes more than one sub-family with 
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different FELs, we may apply a higher 
FEL within the family than was applied to the vehicle’s configuration in your final ABT report. For example, if your vehicle family included three sub- families, with FELs of 200 g/ton-mile, 210 g/ton-mile, and 220 g/ton-mile, we may apply a 220 g/ton-mile in-use FEL to vehicles that were originally designated as part of the 200 g/ton-mile or 210 g/ton-mile sub-families. 
(2) Without regard to the number of 
sub-families in your certified vehicle family, we may specify one or more new sub-families with higher FELs than you included in your final ABT report. We may apply these higher FELs as in-use FELs for your vehicles. For example, if your vehicle family included three sub- families, with FELs of 200 g/ton-mile, 210 g/ton-mile, and 220 g/ton-mile, we may specify a new 230 g/ton-mile sub- family. 
(3) Our selected values for the 
replacement FEL will reflect our best judgment to accurately reflect the actual in-use performance of your vehicles, consistent with the testing provisions specified in this part. 
(4) We may apply the higher FELs to 
other vehicle families from the same or different model years to the extent they used equivalent emission controls. We may include any appropriate conditions with our approval. 
(e) If we order a recall for a vehicle 
family under 40 CFR 1068.505, we will no longer approve a replacement FEL under this section for any of your vehicles from that vehicle family, or from any other vehicle family that relies on equivalent emission controls. 
§ 1037.655 Post-useful life vehicle 
modifications. 
(a) General. Vehicle modifications 
during and after the useful life are 
presumed to violate 42 U.S.C. 7522(a)(3)(A) if they involve removing or rendering inoperative any emission control device installed to comply with the requirements of this part 1037. This section specifies vehicle modifications that may occur in certain circumstances after a vehicle reaches the end of its regulatory useful life. EPA may require a higher burden of proof with respect to modifications that occur within the useful life period, and the specific examples presented here do not necessarily apply within the useful life. This section also does not apply with respect to engine modifications or recalibrations. 
(b) Allowable modifications. You may 
modify a vehicle for the purpose of reducing emissions, provided you have a reasonable technical basis for knowing that such modification will not increase emissions of any other pollutant. ‘‘Reasonable technical basis’’ has the meaning given in 40 CFR 1068.30. This generally requires you to have information that would lead an engineer or other person familiar with engine and vehicle design and function to reasonably believe that the modifications will not increase emissions of any regulated pollutant. 
(c) Examples of allowable 
modifications. The following are 
examples of allowable modifications: 
(1) It is generally allowable to remove 
tractor roof fairings after the end of the vehicle’s useful life if the vehicle will no longer be used primarily to pull box vans. 
(2) Other fairings may be removed 
after the end of the vehicle’s useful life if the vehicle will no longer be used significantly on highways with a vehicle speed of 55 miles per hour or higher. 
(d) Examples of prohibited 
modifications. The following are 
examples of modifications that are not allowable: 
(1) No person may disable a vehicle 
speed limiter prior to its expiration point. 
(2) No person may remove 
aerodynamic fairings from tractors that are used primarily to pull box vans on highways. 
§ 1037.660 Idle-reduction technologies. 
This section specifies requirements 
that apply for idle-reduction technologies modeled under § 1037.520. It does not apply for idle-reduction technologies you do not model under § 1037.520. 
(a) Minimum requirements. Idle- 
reduction technologies must meet all the following requirements to be modeled under § 1037.520 except as specified in paragraphs (b) and (c) of this section: 
(1) Automatic engine shutdown (AES) 
systems. The system must shut down 
the engine within a threshold inactivity period of 60 seconds or less for vocational vehicles and 300 seconds or less for tractors when all the following conditions are met: 
(i) The transmission is set to park, or 
the transmission is in neutral with the parking brake engaged. This is ‘‘parked idle.’’ 
(ii) The operator has not reset the 
system timer within the specified threshold inactivity period by changing the position of the accelerator, brake, or clutch pedal; or by resetting the system timer with some other mechanism we approve. 
(iii)You may identify systems as 
‘‘tamper-resistant’’ if you make no provision for vehicle owners, dealers, or other service outlets to adjust the 
threshold inactivity period. 
(iv) For Phase 2 tractors, you may 
identify AES systems as ‘‘adjustable’’ if, before delivering to the ultimate purchaser, you enable authorized dealers to modify the vehicle in a way that disables the AES system or makes the threshold inactivity period longer than 300 seconds. However, the vehicle may not be delivered to the ultimate purchaser with the AES system disabled or the threshold inactivity period set longer than 300 seconds. You may allow dealers or repair facilities to make such modifications; this might involve password protection for electronic controls, or special tools that only you provide. Any dealers making any modifications before delivery to the ultimate purchaser must notify you, and you must account for such modifications in your production and ABT reports after the end of the model year. Dealers failing to provide prompt notification are in violation of the tampering prohibition of 40 CFR 1068.101(b)(1). Dealer notifications are deemed to be submissions to EPA. Note that these adjustments may not be made if the AES system was not ‘‘adjustable’’ when first delivered to the ultimate purchaser. 
(v) For vocational vehicles, you may 
use the provisions of § 1037.610 to apply for an appropriate partial emission reduction for AES systems you identify as ‘‘adjustable.’’ 
(2) Neutral idle. Phase 2 vehicles with 
hydrokinetic torque converters paired with automatic transmissions qualify for neutral-idle credit in GEM modeling if the transmission reduces torque equivalent to shifting into neutral 
throughout the interval during which the vehicle’s brake pedal is depressed and the vehicle is at a zero-speed condition. If a vehicle reduces torque partially but not enough to be equivalent to shifting to neutral, you may use the provisions of § 1037.610(g) to apply for an appropriate partial emission reduction; this may involve A to B testing with the powertrain test procedure in § 1037.550 or the spin-loss portion of the transmission efficiency test in § 1037.565. 
(3) Stop-start. Phase 2 vocational 
vehicles qualify for stop-start reduction in GEM modeling if the engine shuts down no more than 5 seconds after the vehicle’s brake pedal is depressed when the vehicle is at a zero-speed condition. 
(b) Override conditions. The system 
may limit activation of the idle- reduction technology while any of the conditions of this paragraph (b) apply. These conditions allow the system to delay engine shutdown, adjust engine 
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restarting, or delay disengaging 
transmissions, but do not allow for resetting timers. Engines may restart and transmissions may re-engage during override conditions if the vehicle is set up to do this automatically. We may approve additional override criteria as needed to protect the engine and vehicle from damage and to ensure safe vehicle operation. 
(1) For AES systems on tractors, the 
system may delay shutdown— 
(i) While an exhaust emission control 
device is regenerating. The period considered to be regeneration for purposes of this allowance must be consistent with good engineering judgment and may differ in length from the period considered to be regeneration for other purposes. For example, in some cases it may be appropriate to include a cool down period for this purpose but not for infrequent regeneration adjustment factors. 
(ii) If necessary while servicing the 
vehicle, provided the deactivation of the AES system is accomplished using a diagnostic scan tool. The system must be automatically reactivated when the engine is shut down for more than 60 minutes. 
(iii) If the vehicle’s main battery state- 
of-charge is not sufficient to allow the main engine to be restarted. 
(iv) If the vehicle’s transmission, fuel, 
oil, or engine coolant temperature is too low or too high according to the manufacturer’s specifications for protecting against system damage. This allows the engine to continue operating until it is in a predefined temperature range, within which the shutdown sequence of paragraph (a) of this section would resume. 
(v) While the vehicle’s main engine is 
operating in power take-off (PTO) mode. For purposes of this paragraph (b), an engine is considered to be in PTO mode when a switch or setting designating PTO mode is enabled. 
(vi) If external ambient conditions 
prevent managing cabin temperatures for the driver’s safety. 
(2) For AES systems on vocational 
vehicles, the system may limit activation— 
(i) If any condition specified in 
paragraphs (b)(1)(i) through (vi) of this section applies. 
(ii) If internal cab temperatures are too 
hot or too cold for the driver’s safety. 
(3) For neutral idle, the system may 
delay shifting the transmission to neutral— 
(i) For the PTO conditions specified 
in paragraph (b)(1)(v) of this section. 
(ii) [Reserved] 
(4) For stop-start, the system may 
limit activation— (i) For any of the conditions specified 
in paragraphs (b)(2) or (b)(3)(ii) of this 
section. 
(ii) When air brake pressure is too low 
according to the manufacturer’s specifications for maintaining vehicle- braking capability. 
(iii) When the transmission is in 
reverse gear. 
(iv) When recent vehicle speeds 
indicate an abnormally high shutdown and restart frequency, such as with congested driving. For example, a vehicle not exceeding 10 mi/hr for the previous 300 seconds or since the most recent engine start would be a proper basis for overriding engine shutdown. You may also design this override to protect against system damage or malfunction of safety systems. 
(v) When the vehicle detects that a 
system or component is worn or malfunctioning in a way that could reasonably prevent the engine from restarting, such as low battery voltage. 
(c) Adjustments to AES systems for 
Phase 1. (1) The AES system may include an expiration point (in miles) after which the AES system may be disabled. If your vehicle is equipped with an AES system that expires before 1,259,000 miles, adjust the model input as follows, rounded to the nearest 0.1 g/ ton-mile: AES Input = 5 g CO
2/ton-mile 
× (miles at expiration/1,259,000 miles). 
(2) For AES systems designed to limit 
idling to a specific number of hours less than 1,800 hours over any 12-month period, calculate an adjusted AES input using the following equation, rounded to the nearest 0.1 g/ton-mile: AES Input = 5 g CO
2/ton-mile × (1—(maximum 
allowable number of idling hours per year/1,800 hours)). This is an annual allowance that starts when the vehicle is new and resets every 12 months after that. Manufacturers may propose an alternate method based on operating hours or miles instead of years. 
(d) Adjustable parameters. Provisions 
that apply generally with respect to adjustable parameters also apply to the AES system operating parameters, except the following are not considered to be adjustable parameters: 
(1) Accelerator, brake, and clutch 
pedals, with respect to resetting the idle timer. Parameters associated with other timer reset mechanisms we approve are also not adjustable parameters. 
(2) Bypass parameters allowed for 
vehicle service under paragraph (b)(1)(ii) of this section. 
(3) Parameters that are adjustable only 
after the expiration point. 
(e) PM limit for diesel APU. For model 
year 2020 and earlier tractors with a date of manufacture on or after January 1, 2018, the GEM credit for AES systems with OEM-installed diesel APUs is valid only if the engine is certified under 40 CFR part 1039 with a deteriorated emission level for particulate matter at or below 0.15 g/kW-hr, or if the engine or APU is certified to the standards specified in § 1037.106(g). 
§ 1037.665 Production and in-use tractor 
testing. 
Manufacturers with annual U.S.- 
directed production volumes of greater 
than 20,000 tractors must perform testing as described in this section. Tractors may be new or used. 
(a) The following test requirements 
apply for model years 2021 and later: 
(1) Each calendar year, select for 
testing three sleeper cabs and two day cabs certified to Phase 1 or Phase 2 standards. If we do not identify certain vehicle configurations for your testing, select models that you project to be among your 12 highest-selling vehicle configurations for the given year. 
(2) Set up the tractors on a chassis 
dynamometer and operate them over all applicable duty cycles from § 1037.510(a). You may use emission- measurement systems meeting the specifications of 40 CFR part 1065, subpart J. Calculate coefficients for the road-load force equation as described in Section 10 of SAE J1263 or Section 11 of SAE J2263 (both incorporated by reference in § 1037.810). Use standard payload. Measure emissions of NO
X, 
PM, CO, NMHC, CO 2, CH 4, and N 2O. 
Determine emission levels in g/hour for the idle test and g/ton-mile for other duty cycles. 
(b) Send us an annual report with 
your test results for each duty cycle and the corresponding GEM results. Send the report by the next October 1 after the year we select the vehicles for testing, or a later date that we approve. We may make your test data publicly available. 
(c) We may approve your request to 
perform alternative testing that will provide equivalent or better information compared to the specified testing. We may also direct you to do less testing than we specify in this section. 
(d) GHG standards do not apply with 
respect to testing under this section. Note however that NTE standards apply for any qualifying operation that occurs during the testing in the same way that it would during any other in-use testing. 
§ 1037.670 Optional CO 2emission 
standards for tractors at or above 120,000 
pounds GCWR. 
(a) You may certify tractors at or 
above 120,000 pounds GCWR to the 
following CO 2standards instead of the 
CO 2standards of § 1037.106: 
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TABLE 1 OF§ 1037.670—O PTIONAL  
CO 2STANDARDS FOR TRACTORS  
ABOVE 120,000 P OUNDS GCWR BY 
MODEL YEAR 
[g/ton-mile] 
Subcategory Phase 2 
standards 
for model 
years 2021 
and later 
Heavy Class 8 Low-Roof Day 
Cab ........................................ 51.8 
Heavy Class 8 Low-Roof 
Sleeper Cab .......................... 45.3 
Heavy Class 8 Mid-Roof Day 
Cab ........................................ 54.1 
Heavy Class 8 Mid-Roof Sleep-
er Cab ................................... 47.9 
Heavy Class 8 High-Roof Day 
Cab ........................................ 54.1 
Heavy Class 8 High-Roof 
Sleeper Cab .......................... 46.9 
(b) Determine subcategories as 
described in § 1037.230 for tractors that 
are not heavy-haul tractors. For example, the subcategory for tractors that would otherwise be considered Class 8 low-roof day cabs would be Heavy Class 8 Low-Roof Day Cabs. 
(c) Except for the CO
2standards of 
§ 1037.106, all provisions applicable to tractors under this part continue to apply to tractors certified to the standards of this section. Include the following compliance statement on your label instead of the statement specified in § 1037.135(c)(8): ‘‘THIS VEHICLE COMPLIES WITH U.S. EPA 
REGULATIONS FOR [MODEL YEAR] HEAVY–DUTY VEHICLES UNDER 40 CFR 1037.670.’’ 
(d) The optional emission standards 
in this section are intended primarily for tractors that will be exported; however, you may include any tractors certified under this section in your emission credit calculation under § 1037.705 if they are part of your U.S.- directed production volume. 
Subpart H—Averaging, Banking, and 
Trading for Certification 
§ 1037.701 General provisions. 
(a) You may average, bank, and trade 
emission credits for purposes of certification as described in this subpart and in subpart B of this part to show compliance with the standards of §§ 1037.105 through 1037.107. Note that §§ 1037.105(h) and 1037.107 specify standards involving limited or no use of emission credits under this subpart. Participation in this program is voluntary. 
(b) The definitions of subpart I of this 
part apply to this subpart in addition to the following definitions: (1) Actual emission credits means 
emission credits you have generated that we have verified by reviewing your final report. 
(2) Averaging set means a set of 
vehicles in which emission credits may be exchanged. Note that an averaging set may comprise more than one regulatory subcategory. See § 1037.740. 
(3) Broker means any entity that 
facilitates a trade of emission credits between a buyer and seller. 
(4) Buyer means the entity that 
receives emission credits as a result of a trade. 
(5) Reserved emission credits means 
emission credits you have generated that we have not yet verified by reviewing your final report. 
(6) Seller means the entity that 
provides emission credits during a trade. 
(7) Standard means the emission 
standard that applies under subpart B of this part for vehicles not participating in the ABT program of this subpart. 
(8) Trade means to exchange emission 
credits, either as a buyer or seller. 
(c) Emission credits may be 
exchanged only within an averaging set, except as specified in § 1037.740. 
(d) You may not use emission credits 
generated under this subpart to offset any emissions that exceed an FEL or standard, except as allowed by § 1037.645. 
(e) You may use either of the 
following approaches to retire or forego emission credits: 
(1) You may trade emission credits 
generated from any number of your vehicles to the vehicle purchasers or other parties to retire the credits. Identify any such credits in the reports described in § 1037.730. Vehicles must comply with the applicable FELs even if you donate or sell the corresponding emission credits under this paragraph (e). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards. 
(2) You may certify a family using an 
FEL below the emission standard as described in this part and choose not to generate emission credits for that family. If you do this, you do not need to calculate emission credits for those families and you do not need to submit or keep the associated records described in this subpart for that family. 
(f) Emission credits may be used in 
the model year they are generated. Where we allow it, surplus emission credits may be banked for future model years. Surplus emission credits may sometimes be used for past model years, as described in § 1037.745. 
(g) You may increase or decrease an 
FEL during the model year by amending your application for certification under § 1037.225. The new FEL may apply only to vehicles you have not already introduced into commerce. 
(h) See § 1037.740 for special credit 
provisions that apply for credits generated under 40 CFR 86.1819(k)(7), 40 CFR 1036.615, or § 1037.615. 
(i) Unless the regulations explicitly 
allow it, you may not calculate credits more than once for any emission reduction. For example, if you generate CO
2emission credits for a given hybrid 
vehicle under this part, no one may generate CO
2emission credits for the 
hybrid engine under 40 CFR part 1036. However, credits could be generated for identical engine used in vehicles that did not generate credits under this part. 
(j) You may use emission credits 
generated under the Phase 1 standards when certifying vehicles to Phase 2 standards. No credit adjustments are required other than corrections for different useful lives. 
§ 1037.705 Generating and calculating 
emission credits. 
(a) The provisions of this section 
apply separately for calculating 
emission credits for each pollutant. 
(b) For each participating family or 
subfamily, calculate positive or negative emission credits relative to the otherwise applicable emission standard. Calculate positive emission credits for a family or subfamily that has an FEL below the standard. Calculate negative emission credits for a family or subfamily that has an FEL above the standard. Sum your positive and negative credits for the model year before rounding. Round the sum of emission credits to the nearest megagram (Mg), using consistent units with the following equation: 
Emission credits (Mg) = (Std–FEL) · (PL) 
· (Volume) · (UL) · (10
¥6) 
Where: 
Std = the emission standard associated with 
the specific regulatory subcategory (g/ 
ton-mile). 
FEL = the family emission limit for the 
vehicle subfamily (g/ton-mile). 
PL = standard payload, in tons. 
Volume = U.S.-directed production volume 
of the vehicle subfamily. For example, if you produce three configurations with the same FEL, the subfamily production volume would be the sum of the production volumes for these three configurations. 
UL = useful life of the vehicle, in miles, as 
described in § 1037.105 and § 1037.106. Use 250,000 miles for trailers. 
(c) As described in § 1037.730, 
compliance with the requirements of 
this subpart is determined at the end of the model year based on actual U.S.- 
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directed production volumes. Keep 
appropriate records to document these production volumes. Do not include any of the following vehicles to calculate emission credits: 
(1) Vehicles that you do not certify to 
the CO
2standards of this part because 
they are permanently exempted under subpart G of this part or under 40 CFR part 1068. 
(2) Exported vehicles. 
(3) Vehicles not subject to the 
requirements of this part, such as those 
excluded under § 1037.5. 
(4) Any other vehicles, where we 
indicate elsewhere in this part 1037 that they are not to be included in the calculations of this subpart. 
§ 1037.710 Averaging. 
(a) Averaging is the exchange of 
emission credits among your vehicle families. You may average emission credits only within the same averaging set, except as specified in § 1037.740. 
(b) You may certify one or more 
vehicle families (or subfamilies) to an FEL above the applicable standard, subject to any applicable FEL caps and other provisions in subpart B of this part, if you show in your application for certification that your projected balance of all emission-credit transactions in that model year is greater than or equal to zero or that a negative balance is allowed under § 1037.745. 
(c) If you certify a vehicle family to an 
FEL that exceeds the otherwise applicable standard, you must obtain enough emission credits to offset the vehicle family’s deficit by the due date for the final report required in § 1037.730. The emission credits used to address the deficit may come from your other vehicle families that generate emission credits in the same model year (or from later model years as specified in § 1037.745), from emission credits you have banked from previous model years, or from emission credits generated in the same or previous model years that you obtained through trading. Note that the option for using banked or traded credits does not apply for trailers. 
§ 1037.715 Banking. 
(a) Banking is the retention of surplus 
emission credits by the manufacturer generating the emission credits for use in future model years for averaging or trading. Note that § 1037.107 does not allow banking for trailers. 
(b) You may designate any emission 
credits you plan to bank in the reports you submit under § 1037.730 as reserved credits. During the model year and before the due date for the final report, you may designate your reserved emission credits for averaging or trading. 
(c) Reserved credits become actual 
emission credits when you submit your final report. However, we may revoke these emission credits if we are unable to verify them after reviewing your reports or auditing your records. 
(d) Banked credits retain the 
designation of the averaging set in which they were generated. 
§ 1037.720 Trading. 
(a) Trading is the exchange of 
emission credits between manufacturers, or the transfer of credits to another party to retire them. You may use traded emission credits for averaging, banking, or further trading transactions. Traded emission credits remain subject to the averaging-set restrictions based on the averaging set in which they were generated. Note that § 1037.107 does not allow trading for trailers. 
(b) You may trade actual emission 
credits as described in this subpart. You may also trade reserved emission credits, but we may revoke these emission credits based on our review of your records or reports or those of the company with which you traded emission credits. You may trade banked credits within an averaging set to any certifying manufacturer. 
(c) If a negative emission credit 
balance results from a transaction, both the buyer and seller are liable, except in cases we deem to involve fraud. See § 1037.255(e) for cases involving fraud. We may void the certificates of all vehicle families participating in a trade that results in a manufacturer having a negative balance of emission credits. See § 1037.745. 
§ 1037.725 What must I include in my 
application for certification? 
(a) You must declare in your 
application for certification your intent 
to use the provisions of this subpart for each vehicle family that will be certified using the ABT program. You must also declare the FELs you select for the vehicle family or subfamily for each pollutant for which you are using the ABT program. Your FELs must comply with the specifications of subpart B of this part, including the FEL caps. FELs must be expressed to the same number of decimal places as the applicable standards. 
(b) Include the following in your 
application for certification: 
(1) A statement that, to the best of 
your belief, you will not have a negative balance of emission credits for any averaging set when all emission credits are calculated at the end of the year; or a statement that you will have a negative balance of emission credits for one or more averaging sets but that it is allowed under § 1037.745. 
(2) Calculations of projected emission 
credits (positive or negative) based on projected U.S.-directed production volumes. We may require you to include similar calculations from your other vehicle families to project your net credit balances for the model year. If you project negative emission credits for a family or subfamily, state the source of positive emission credits you expect to use to offset the negative emission credits. 
§ 1037.730 ABT reports. 
(a) If any of your engine families are 
certified using the ABT provisions of this subpart, you must send an end-of- year report by March 31 following the end of the model year and a final report by September 30 following the end of the model year. We may waive the requirement to send an end-of-year report. 
(b) Your end-of-year and final reports 
must include the following information for each vehicle family participating in the ABT program: 
(1) Vehicle-family and subfamily 
designations, and averaging set. 
(2) The regulatory subcategory and 
emission standards that would otherwise apply to the vehicle family. 
(3) The FEL for each pollutant. If you 
change the FEL after the start of production, identify the date that you started using the new FEL and/or give the vehicle identification number for the first vehicle covered by the new FEL. In this case, identify each applicable FEL and calculate the positive or negative emission credits as specified in § 1037.225. 
(4) The projected and actual U.S.- 
directed production volumes for the model year. If you changed an FEL during the model year, identify the actual U.S.-directed production volume associated with each FEL. 
(5) Useful life. 
(6) Calculated positive or negative 
emission credits for the whole vehicle 
family. Identify any emission credits that you traded, as described in paragraph (d)(1) of this section. 
(7) If you have a negative credit 
balance for the averaging set in the given model year, specify whether the vehicle family (or certain subfamilies with the vehicle family) have a credit deficit for the year. Consider for example, a manufacturer with three vehicle families (‘‘A’’, ‘‘B’’, and ‘‘C’’) in a given averaging set. If family A generates enough credits to offset the negative credits of family B but not 
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enough to also offset the negative credits 
of family C (and the manufacturer has no banked credits in the averaging set), the manufacturer may designate families A and B as having no deficit for the model year, provided it designates family C as having a deficit for the model year. 
(c) Your end-of-year and final reports 
must include the following additional information: 
(1) Show that your net balance of 
emission credits from all your participating vehicle families in each averaging set in the applicable model year is not negative, except as allowed under § 1037.745. Your credit tracking must account for the limitation on credit life under § 1037.740(c). 
(2) State whether you will retain any 
emission credits for banking. If you choose to retire emission credits that would otherwise be eligible for banking, identify the families that generated the emission credits, including the number of emission credits from each family. 
(3) State that the report’s contents are 
accurate. 
(4) Identify the technologies that make 
up the certified configuration associated with each vehicle identification number. You may identify this as a range of identification numbers for vehicles involving a single, identical certified configuration. 
(d) If you trade emission credits, you 
must send us a report within 90 days after the transaction, as follows: 
(1) As the seller, you must include the 
following information in your report: 
(i) The corporate names of the buyer 
and any brokers. 
(ii) A copy of any contracts related to 
the trade. 
(iii) The averaging set corresponding 
to the vehicle families that generated emission credits for the trade, including the number of emission credits from each averaging set. 
(2) As the buyer, you must include the 
following information in your report: 
(i) The corporate names of the seller 
and any brokers. 
(ii) A copy of any contracts related to 
the trade. 
(iii) How you intend to use the 
emission credits, including the number of emission credits you intend to apply for each averaging set. 
(e) Send your reports electronically to 
the Designated Compliance Officer using an approved information format. If you want to use a different format, send us a written request with justification for a waiver. 
(f) Correct errors in your end-of-year 
or final report as follows: 
(1) You may correct any errors in your 
end-of-year report when you prepare the final report, as long as you send us the 
final report by the time it is due. 
(2) If you or we determine within 270 
days after the end of the model year that errors mistakenly decreased your balance of emission credits, you may correct the errors and recalculate the balance of emission credits. You may 
not make these corrections for errors that are determined more than 270 days after the end of the model year. If you report a negative balance of emission credits, we may disallow corrections under this paragraph (f)(2). 
(3) If you or we determine any time 
that errors mistakenly increased your balance of emission credits, you must correct the errors and recalculate the balance of emission credits. 
§ 1037.735 Recordkeeping. 
(a) You must organize and maintain 
your records as described in this section. 
(b) Keep the records required by this 
section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any vehicles if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits. 
(c) Keep a copy of the reports we 
require in §§ 1037.725 and 1037.730. 
(d) Keep records of the vehicle 
identification number for each vehicle you produce. You may identify these numbers as a range. If you change the FEL after the start of production, identify the date you started using each FEL and the range of vehicle identification numbers associated with each FEL. You must also identify the purchaser and destination for each vehicle you produce to the extent this information is available. 
(e) We may require you to keep 
additional records or to send us relevant information not required by this section in accordance with the Clean Air Act. 
§ 1037.740 Restrictions for using emission 
credits. 
The following restrictions apply for 
using emission credits: 
(a) Averaging sets. Except as specified 
in paragraph (b) of this section, 
emission credits may be exchanged only within an averaging set. The following principal averaging sets apply for vehicles certified to the standards of this part involving emission credits as described in this subpart: 
(1) Light HDV. 
(2) Medium HDV. (3) Heavy HDV. (4) Long trailers. (5) Short trailers. (6) Note that other separate averaging 
sets also apply for emission credits not related to this part. For example, 
vehicles certified to the greenhouse gas standards of 40 CFR 86.1819 comprise a single averaging set. Separate averaging sets also apply for engines under 40 CFR part 1036, including engines used in vehicles subject to this subpart. 
(b) Credits from hybrid vehicles and 
other advanced technologies. Credits you generate under § 1037.615 from Phase 1 vehicles may be used for any of the averaging sets identified in paragraph (a) of this section; you may also use those credits to demonstrate compliance with the CO
2emission 
standards in 40 CFR 86.1819 and 40 CFR part 1036. Similarly, you may use advanced-technology credits generated under 40 CFR 86.1819–14(k)(7) or 40 CFR 1036.615 to demonstrate compliance with the CO
2standards in 
this part. Credits generated from Phase 2 vehicles are subject to all the averaging-set restrictions that apply to other emission credits. 
(1) The maximum amount of credits 
you may bring into the following service class groups is 60,000 Mg per model year: 
(i) Spark-ignition engines, light heavy- 
duty compression-ignition engines, and light heavy-duty vehicles. This group comprises the averaging set listed in paragraphs (a)(1) of this section and the averaging set listed in 40 CFR 1036.740(a)(1) and (2). 
(ii) Medium heavy-duty compression- 
ignition engines and medium heavy- duty vehicles. This group comprises the averaging sets listed in paragraph (a)(2) of this section and 40 CFR 1036.740(a)(3). 
(iii) Heavy heavy-duty compression- 
ignition engines and heavy heavy-duty vehicles. This group comprises the averaging sets listed in paragraph (a)(3) of this section and 40 CFR 1036.740(a)(4). 
(2) Paragraph (b)(1) of this section 
does not limit the advanced-technology credits that can be used within a service class group if they were generated in that same service class group. 
(c) Credit life. Banked credits may be 
used only for five model years after the year in which they are generated. For example, credits you generate in model year 2018 may be used to demonstrate compliance with emission standards only through model year 2023. 
(d) Other restrictions. Other sections 
of this part specify additional restrictions for using emission credits under certain special provisions. 
§ 1037.745 End-of-year CO 2credit deficits. 
Except as allowed by this section, we 
may void the certificate of any vehicle 
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family certified to an FEL above the 
applicable standard for which you do not have sufficient credits by the deadline for submitting the final report. 
(a) Your certificate for a vehicle 
family for which you do not have sufficient CO
2credits will not be void 
if you remedy the deficit with surplus credits within three model years (this applies equally for tractors, trailers, and vocational vehicles). For example, if you have a credit deficit of 500 Mg for a vehicle family at the end of model year 2015, you must generate (or otherwise obtain) a surplus of at least 500 Mg in that same averaging set by the end of model year 2018. 
(b) You may not bank or trade away 
CO
2credits in the averaging set in any 
model year in which you have a deficit. 
(c) You may apply only surplus 
credits to your deficit. You may not apply credits to a deficit from an earlier model year if they were generated in a model year for which any of your vehicle families for that averaging set had an end-of-year credit deficit. 
(d) You must notify us in writing how 
you plan to eliminate the credit deficit within the specified time frame. If we determine that your plan is unreasonable or unrealistic, we may deny an application for certification for a vehicle family if its FEL would increase your credit deficit. We may determine that your plan is unreasonable or unrealistic based on a 
consideration of past and projected use of specific technologies, the historical sales mix of your vehicle models, your commitment to limit production of higher-emission vehicles, and expected access to traded credits. We may also consider your plan unreasonable if your credit deficit increases from one model year to the next. We may require that you send us interim reports describing your progress toward resolving your credit deficit over the course of a model year. 
(e) If you do not remedy the deficit 
with surplus credits within three model years, we may void your certificate for that vehicle family. Note that voiding a certificate applies ab initio. Where the net deficit is less than the total amount of negative credits originally generated by the family, we will void the certificate only with respect to the number of vehicles needed to reach the amount of the net deficit. For example, if the original vehicle family generated 500 Mg of negative credits, and the manufacturer’s net deficit after three years was 250 Mg, we would void the certificate with respect to half of the vehicles in the family. 
(f) For purposes of calculating the 
statute of limitations, the following actions are all considered to occur at the expiration of the deadline for offsetting a deficit as specified in paragraph (a) of this section: 
(1) Failing to meet the requirements of 
paragraph (a) of this section. 
(2) Failing to satisfy the conditions 
upon which a certificate was issued relative to offsetting a deficit. 
(3) Selling, offering for sale, 
introducing or delivering into U.S. commerce, or importing vehicles that are found not to be covered by a certificate as a result of failing to offset a deficit. 
§ 1037.750 What can happen if I do not 
comply with the provisions of this subpart? 
(a) For each vehicle family 
participating in the ABT program, the 
certificate of conformity is conditioned upon full compliance with the provisions of this subpart during and after the model year. You are responsible to establish to our satisfaction that you fully comply with applicable requirements. We may void the certificate of conformity for a vehicle family if you fail to comply with any provisions of this subpart. 
(b) You may certify your vehicle 
family or subfamily to an FEL above an applicable standard based on a projection that you will have enough emission credits to offset the deficit for the vehicle family. See § 1037.745 for provisions specifying what happens if you cannot show in your final report that you have enough actual emission credits to offset a deficit for any pollutant in a vehicle family. 
(c) We may void the certificate of 
conformity for a vehicle family if you fail to keep records, send reports, or give us information we request. Note that failing to keep records, send reports, or give us information we request is also a violation of 42 U.S.C. 7522(a)(2). 
(d) You may ask for a hearing if we 
void your certificate under this section (see § 1037.820). 
§ 1037.755 Information provided to the 
Department of Transportation. 
After receipt of each manufacturer’s 
final report as specified in § 1037.730 
and completion of any verification testing required to validate the manufacturer’s submitted final data, we will issue a report to the Department of Transportation with CO
2emission 
information and will verify the accuracy of each manufacturer’s equivalent fuel consumption data required by NHTSA under 49 CFR 535.8. We will send a report to DOT for each vehicle manufacturer based on each regulatory category and subcategory, including sufficient information for NHTSA to determine fuel consumption and 
associated credit values. See 49 CFR 535.8 to determine if NHTSA deems submission of this information to EPA to also be a submission to NHTSA. 
Subpart I—Definitions and Other 
Reference Information 
§ 1037.801 Definitions. 
The following definitions apply to 
this part. The definitions apply to all subparts unless we note otherwise. All undefined terms have the meaning the Act gives to them. The definitions follow: 
Act means the Clean Air Act, as 
amended, 42 U.S.C. 7401–7671q. 
Adjustable parameter means any 
device, system, or element of design that someone can adjust (including those which are difficult to access) and that, if adjusted, may affect measured or modeled emissions (as applicable). You may ask us to exclude a parameter that is difficult to access if it cannot be adjusted to affect emissions without significantly degrading vehicle performance, or if you otherwise show us that it will not be adjusted in a way that affects emissions during in-use operation. 
Adjusted Loaded Vehicle Weight 
means the numerical average of vehicle curb weight and GVWR. 
Advanced technology means vehicle 
technology certified under 40 CFR 86.1819–14(k)(7), 40 CFR 1036.615, or § 1037.615. 
Aftertreatment means relating to a 
catalytic converter, particulate filter, or any other system, component, or technology mounted downstream of the exhaust valve (or exhaust port) whose design function is to decrease emissions in the vehicle exhaust before it is exhausted to the environment. Exhaust gas recirculation (EGR) and turbochargers are not aftertreatment. 
Aircraft means any vehicle capable of 
sustained air travel more than 100 feet off the ground. 
Alcohol-fueled vehicle means a 
vehicle that is designed to run using an alcohol fuel. For purposes of this definition, alcohol fuels do not include fuels with a nominal alcohol content below 25 percent by volume. 
Alternative fuel conversion has the 
meaning given for clean alternative fuel conversion in 40 CFR 85.502. 
Ambulance has the meaning given in 
40 CFR 86.1803. 
Amphibious vehicle means a motor 
vehicle that is also designed for 
operation on water. Note that high ground clearance that enables a vehicle to drive through water rather than floating on the water does not make a vehicle amphibious. 
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A to B testing means testing 
performed in pairs to allow comparison 
of two vehicles or other test articles. Back-to-back tests are performed on Article A and Article B, changing only the variable(s) of interest for the two tests. 
Automated manual transmission 
(AMT) means a transmission that 
operates mechanically similar to a manual transmission, except that an automated clutch actuator controlled by the onboard computer disengages and engages the drivetrain instead of a human driver. An automated manual transmission does not include a torque converter or a clutch pedal controllable by the driver. 
Automatic tire inflation system means 
a pneumatically or electronically activated system installed on a vehicle to maintain tire pressure at a preset level. These systems eliminate the need to manually inflate tires. Note that this is different than a ‘‘tire pressure monitoring system,’’ which we define separately in this section. 
Automatic transmission (AT) means a 
transmission with a torque converter (or equivalent) that uses computerize or other internal controls to shift gears in response to a single driver input for controlling vehicle speed. Note that automatic manual tranmissions are not automatic transmissions because they do not include torque converters. 
Auxiliary emission control device 
means any element of design that senses temperature, motive speed, engine rpm, transmission gear, or any other parameter for the purpose of activating, modulating, delaying, or deactivating the operation of any part of the emission control system. 
Auxiliary power unit means a device 
installed on a vehicle that uses an engine to provide power for purposes other than to (directly or indirectly) propel the vehicle. 
Averaging set has the meaning given 
in § 1037.701. 
Axle ratio or Drive axle ratio, k
a, 
means the dimensionless number representing the angular speed of the transmission output shaft divided by the angular speed of the drive axle. 
Basic vehicle frontal area means the 
area enclosed by the geometric projection of the basic vehicle along the longitudinal axis onto a plane perpendicular to the longitudinal axis of the vehicle, including tires but excluding mirrors and air deflectors. Note that in certain cases, this may refer to the combined area of a tractor and trailer. 
Box van has the meaning given in the 
definition for ‘‘trailer’’ in this section. Bus means a heavy-duty vehicle 
designed to carry more than 15 passengers. Buses may include coach buses, school buses, and urban transit buses. 
Calibration means the set of 
specifications and tolerances specific to a particular design, version, or application of a component or assembly capable of functionally describing its operation over its working range. 
Carryover means relating to 
certification based on emission data generated from an earlier model year. 
Coach bus means a bus designed for 
inter-city passenger transport. Buses with features to accommodate standing passengers are not coach buses. 
Concrete mixer means a heavy-duty 
vehicle designed to mix and transport concrete in a permanently mounted revolving drum. 
Certification means relating to the 
process of obtaining a certificate of conformity for a vehicle family that complies with the emission standards and requirements in this part. 
Certified emission level means the 
highest deteriorated emission level in a vehicle subfamily for a given pollutant from either transient or steady-state testing. 
Class means relating to GVWR classes 
for vehicles other than trailers, as follows: 
(1) Class 2b means relating to heavy- 
duty motor vehicles at or below 10,000 pounds GVWR. 
(2) Class 3 means relating to heavy- 
duty motor vehicles above 10,000 pounds GVWR but at or below 14,000 pounds GVWR. 
(3) Class 4 means relating to heavy- 
duty motor vehicles above 14,000 pounds GVWR but at or below 16,000 pounds GVWR. 
(4) Class 5 means relating to heavy- 
duty motor vehicles above 16,000 pounds GVWR but at or below 19,500 pounds GVWR. 
(5) Class 6 means relating to heavy- 
duty motor vehicles above 19,500 pounds GVWR but at or below 26,000 pounds GVWR. 
(6) Class 7 means relating to heavy- 
duty motor vehicles above 26,000 pounds GVWR but at or below 33,000 pounds GVWR. 
(7) Class 8 means relating to heavy- 
duty motor vehicles above 33,000 pounds GVWR. 
Complete vehicle has the meaning 
given in the definition for vehicle in this 
section. 
Compression-ignition has the meaning 
given in § 1037.101 
Container chassis means a trailer 
designed for carrying temporarily mounted shipping containers. Date of manufacture means the date 
on which the certifying vehicle manufacturer completes its manufacturing operations, except as follows: 
(1) Where the certificate holder is an 
engine manufacturer that does not manufacture the chassis, the date of manufacture of the vehicle is based on the date assembly of the vehicle is completed. 
(2) We may approve an alternate date 
of manufacture based on the date on which the certifying (or primary) manufacturer completes assembly at the place of main assembly, consistent with the provisions of § 1037.601 and 49 CFR 567.4. 
Day cab means a type of tractor cab 
that is not a sleeper cab or a heavy-haul tractor cab. 
Designated Compliance Officer means 
one of the following: 
(1) For compression-ignition engines, 
Designated Compliance Officer means Director, Diesel Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; complianceinfo@epa.gov; epa.gov/otaq/verify. 
(2) For spark-ignition engines, 
Designated Compliance Officer means Director, Gasoline Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; nonroad-si-cert@epa.gov. 
Deteriorated emission level means the 
emission level that results from applying the appropriate deterioration factor to the official emission result of the emission-data vehicle. Note that where no deterioration factor applies, references in this part to the deteriorated emission level mean the official emission result. 
Deterioration factor means the 
relationship between the highest emissions during the useful life and emissions at the low-hour test point, expressed in one of the following ways: 
(1) For multiplicative deterioration 
factors, the ratio of the highest emissions to emissions at the low-hour test point. 
(2) For additive deterioration factors, 
the difference between the highest emissions and emissions at the low- hour test point. 
Diesel exhaust fluid (DEF) means a 
liquid reducing agent (other than the engine fuel) used in conjunction with selective catalytic reduction to reduce NO
Xemissions. Diesel exhaust fluid is 
generally understood to be an aqueous solution of urea conforming to the specifications of ISO 22241. 
Drayage tractor means a tractor that is 
intended for service in a port or 
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intermodal railyard, with multiple 
design features consistent with that intent, such as a cab with only a single seat, rear cab entry, a raisable fifth wheel, a solid-mounted rear suspension, and a maximum speed at or below 54 mi/hr. 
Drive idle means idle operation 
during which the vehicle operator remains in the vehicle cab, as evidenced by engaging the brake or clutch pedals, or by other indicators we approve. 
Driver model means an automated 
controller that simulates a person driving a vehicle. 
Dual-clutch transmission (DCT) 
means a transmission that operates similar to an automated manual transmission, but with two clutches that allow the transmission to maintain positive torque to the drive axle during a shift. 
Dual-fuel means relating to a vehicle 
or engine designed for operation on two different fuels but not on a continuous mixture of those fuels. For purposes of this part, such a vehicle or engine remains a dual-fuel vehicle or engine even if it is designed for operation on three or more different fuels. 
Electric vehicle means a vehicle that 
does not include an engine, and is powered solely by an external source of electricity and/or solar power. Note that this does not include hybrid electric vehicles or fuel-cell vehicles that use a chemical fuel such as gasoline, diesel fuel, or hydrogen. Electric vehicles may also be referred to as all-electric vehicles to distinguish them from hybrid vehicles. 
Emergency vehicle means a vehicle 
that is an ambulance or a fire truck. 
Emission control system means any 
device, system, or element of design that controls or reduces the emissions of regulated pollutants from a vehicle. 
Emission-data component means a 
vehicle component that is tested for certification. This includes vehicle components tested to establish deterioration factors. 
Emission-data vehicle means a 
vehicle (or vehicle component) that is tested for certification. This includes vehicles tested to establish deterioration factors. 
Emission-related maintenance means 
maintenance that substantially affects emissions or is likely to substantially affect emission deterioration. 
Excluded means relating to vehicles 
that are not subject to some or all of the requirements of this part as follows: 
(1) A vehicle that has been 
determined not to be a ‘‘motor vehicle’’ is excluded from this part. (2) Certain vehicles are excluded from 
the requirements of this part under 
§ 1037.5. 
(3) Specific regulatory provisions of 
this part may exclude a vehicle generally subject to this part from one or more specific standards or requirements of this part. 
Exempted has the meaning given in 
40 CFR 1068.30. Note that exempted vehicles are not considered to be 
excluded. 
Extended idle means tractor idle 
operation during which the engine is operating to power accessories for a sleeper compartment or other passenger compartment. Although the vehicle is generally parked during extended idle, the term ‘‘parked idle’’ generally refers to something different than extended idle. 
Family emission limit (FEL) means an 
emission level declared by the manufacturer to serve in place of an otherwise applicable emission standard under the ABT program in subpart H of this part. The family emission limit must be expressed to the same number of decimal places as the emission standard it replaces. Note that an FEL may apply as a ‘‘subfamily’’ emission limit. 
Final drive ratio, k
d, means the 
dimensionless number representing the angular speed of the transmission input shaft divided by the angular speed of the drive axle when the vehicle is operating in its highest available gear. The final drive ratio is the transmission gear ratio (in the highest available gear) multiplied by the drive axle ratio. 
Fire truck has the meaning given in 40 
CFR 86.1803. 
Flatbed trailer means a trailer 
designed to accommodate side-loading cargo onto a single, continuous load- bearing surface that runs from the rear of the trailer to at least the trailer’s kingpin. This includes trailers that use curtains, straps, or other devices to restrain or protect cargo while underway. It also may include similar trailers that have one or more side walls without completely enclosing the cargo space. For purposes of this definition, disregard any ramps, moveable platforms, or other rear-mounted equipment or devices designed to assist with loading the trailer. 
Flexible-fuel means relating to an 
engine designed for operation on any mixture of two or more different fuels. 
Fuel system means all components 
involved in transporting, metering, and mixing the fuel from the fuel tank to the combustion chamber(s), including the fuel tank, fuel pump, fuel filters, fuel lines, carburetor or fuel-injection components, and all fuel-system vents. It also includes components for controlling evaporative emissions, such as fuel caps, purge valves, and carbon canisters. 
Fuel type means a general category of 
fuels such as diesel fuel or natural gas. There can be multiple grades within a single fuel type, such as high-sulfur or low-sulfur diesel fuel. 
Gaseous fuel means a fuel that has a 
boiling point below 20 °C. 
Gear ratio or Transmission gear ratio, 
k
g, means the dimensionless number 
representing the angular velocity of the transmission’s input shaft divided by the angular velocity of the transmission’s output shaft when the transmission is operating in a specific gear. 
Glider kit means either of the 
following: 
(1) A new vehicle that is incomplete 
because it lacks an engine, transmission, and/or axle(s). 
(2) Any other new equipment that is 
substantially similar to a complete motor vehicle and is intended to become a complete motor vehicle with a previously used engine (including a rebuilt or remanufactured engine). For example, incomplete heavy-duty tractor assemblies that are produced on the same assembly lines as complete tractors and that are made available to secondary vehicle manufacturers to complete assembly by installing used/ remanufactured engines, transmissions and axles are glider kits. 
Glider vehicle means a new motor 
vehicle produced from a glider kit, or otherwise produced as a new motor vehicle with a with a used/ remanufactured engine. 
Good engineering judgment has the 
meaning given in 40 CFR 1068.30. See 40 CFR 1068.5 for the administrative process we use to evaluate good engineering judgment. 
Greenhouse gas Emissions Model 
(GEM) means the GEM simulation tool 
described in § 1037.520 (incorporated by reference in § 1037.810). Note that an updated version of GEM applies starting in model year 2021. 
Gross axle weight rating (GAWR) 
means the value specified by the vehicle manufacturer as the maximum weight of a loaded axle or set of axles, consistent with good engineering judgment. 
Gross combination weight rating 
(GCWR) means the value specified by 
the vehicle manufacturer as the maximum weight of a loaded vehicle and trailer, consistent with good engineering judgment. For example, compliance with SAE J2807 is generally considered to be consistent with good engineering judgment, especially for Class 3 and smaller vehicles. 
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Gross vehicle weight rating (GVWR) 
means the value specified by the vehicle 
manufacturer as the maximum design loaded weight of a single vehicle, consistent with good engineering judgment. 
Heavy-duty engine means any engine 
used for (or for which the engine manufacturer could reasonably expect to be used for) motive power in a heavy- duty vehicle. 
Heavy-duty vehicle means any trailer 
and any other motor vehicle that has a GVWR above 8,500 pounds, a curb weight above 6,000 pounds, or a basic vehicle frontal area greater than 45 square feet. 
Heavy-haul tractor means a tractor 
with GCWR greater than or equal to 120,000 pounds. A heavy-haul tractor is 
not a vocational tractor in Phase 2. 
Hybrid engine or hybrid powertrain 
means an engine or powertrain that includes energy storage features other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note that certain provisions in this part treat hybrid engines and powertrains intended for vehicles that include regenerative braking different than those intended for vehicles that do not include regenerative braking. 
Hybrid vehicle means a vehicle that 
includes energy storage features (other than a conventional battery system or conventional flywheel) in addition to an internal combustion engine or other engine using consumable chemical fuel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems Note that certain provisions in this part treat hybrid vehicles that include regenerative braking different than those that do not include regenerative braking. 
Hydrocarbon (HC) means the 
hydrocarbon group on which the emission standards are based for each fuel type. For alcohol-fueled vehicles, HC means nonmethane hydrocarbon equivalent (NMHCE) for exhaust emissions and total hydrocarbon equivalent (THCE) for evaporative emissions. For all other vehicles, HC means nonmethane hydrocarbon (NMHC) for exhaust emissions and total hydrocarbon (THC) for evaporative emissions. 
Identification number means a unique 
specification (for example, a model number/serial number combination) that allows someone to distinguish a particular vehicle from other similar vehicles. 
Idle operation means any operation 
other than PTO operation during which the vehicle speed is zero. Idle operation may be ‘‘Drive idle’’ or ‘‘Parked idle’’ (as defined in this section). 
Incomplete vehicle has the meaning 
given in the definition of vehicle in this 
section. 
Innovative technology means 
technology certified under § 1037.610 (also described as ‘‘off-cycle technology’’). 
Light-duty truck means any motor 
vehicle rated at or below 8,500 pounds GVWR with a curb weight at or below 6,000 pounds and basic vehicle frontal area at or below 45 square feet, which is: 
(1) Designed primarily for purposes of 
transportation of property or is a derivation of such a vehicle; or 
(2) Designed primarily for 
transportation of persons and has a capacity of more than 12 persons; or 
(3) Available with special features 
enabling off-street or off-highway operation and use. 
Light-duty vehicle means a passenger 
car or passenger car derivative capable of seating 12 or fewer passengers. 
Low-mileage means relating to a 
vehicle with stabilized emissions and represents the undeteriorated emission level. This would generally involve approximately 4000 miles of operation. 
Low rolling resistance tire means a tire 
on a vocational vehicle with a TRRL at or below of 7.7 kg/tonne, a steer tire on a tractor with a TRRL at or below 7.7 kg/ tonne, a drive tire on a tractor with a TRRL at or below 8.1 kg/tonne, a tire on a non-box trailer with a TRRL at or below of 6.5 kg/tonne, or a tire on a box van with a TRRL at or below of 6.0 kg/ tonne,. 
Manual transmission (MT) means a 
transmission that requires the driver to shift the gears and manually engage and disengage the clutch. 
Manufacture means the physical and 
engineering process of designing, constructing, and/or assembling a vehicle. 
Manufacturer has the meaning given 
in section 216(1) of the Act. In general, this term includes any person who manufactures or assembles a vehicle (including a trailer or another incomplete vehicle) for sale in the United States or otherwise introduces a new motor vehicle into commerce in the United States. This includes importers who import vehicles for resale, entities that manufacture glider kits, and entities that assemble glider vehicles. 
Medium-duty passenger vehicle 
(MDPV) has the meaning given in 40 
CFR 86.1803. 
Model year means one of the 
following for compliance with this part 1037. Note that manufacturers may have other model year designations for the same vehicle for compliance with other requirements or for other purposes: 
(1) For tractors and vocational 
vehicles with a date of manufacture on or after January 1, 2021, the vehicle’s model year is the calendar year corresponding to the date of manufacture; however, the vehicle’s model year may be designated to be the year before the calendar year corresponding to the date of manufacture if the engine’s model year is also from an earlier year. Note that § 1037.601(a)(2) limits the extent to which vehicle manufacturers may install engines built in earlier calendar years. 
(2) For trailers and for Phase 1 tractors 
and vocational vehicles with a date of manufacture before January 1, 2021, model year means the manufacturer’s annual new model production period, except as restricted under this definition and 40 CFR part 85, subpart X. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. The model year may be set to match the calendar year corresponding to the date of manufacture. 
(i) The manufacturer who holds the 
certificate of conformity for the vehicle must assign the model year based on the date when its manufacturing operations are completed relative to its annual model year period. In unusual circumstances where completion of your assembly is delayed, we may allow you to assign a model year one year earlier, provided it does not affect which regulatory requirements will apply. 
(ii) Unless a vehicle is being shipped 
to a secondary vehicle manufacturer that will hold the certificate of conformity, the model year must be assigned prior to introduction of the vehicle into U.S. commerce. The certifying manufacturer must redesignate the model year if it does not complete its manufacturing operations within the originally identified model year. A vehicle introduced into U.S. commerce without a model year is deemed to have a model year equal to the calendar year of its introduction into U.S. commerce unless the certifying manufacturer assigns a later date. 
Motor home has the meaning given in 
49 CFR 571.3. 
Motor vehicle has the meaning given 
in 40 CFR 85.1703. 
Multi-Purpose means relating to the 
Multi-Purpose duty cycle as specified in § 1037.510. 
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Neutral coasting means a vehicle 
technology that automatically puts the 
transmission in neutral when the vehicle has minimal power demand, such as driving downhill. 
Neutral idle means a vehicle 
technology that automatically puts the transmission in neutral when the vehicle is stopped, as described in § 1037.660(a). 
New motor vehicle has the meaning 
given in the Act. It generally means a motor vehicle meeting the criteria of either paragraph (1) or (2) of this definition. New motor vehicles may be 
complete or incomplete. 
(1) A motor vehicle for which the 
ultimate purchaser has never received the equitable or legal title is a new motor vehicle. This kind of vehicle might 
commonly be thought of as ‘‘brand new’’ although a new motor vehicle may include previously used parts. For example, vehicles commonly known as ‘‘glider kits,’’ ‘‘glider vehicles,’’ or ‘‘gliders’’ are new motor vehicles. Under this definition, the vehicle is new from the time it is produced until the ultimate purchaser receives the title or places it into service, whichever comes first. 
(2) An imported heavy-duty motor 
vehicle originally produced after the 1969 model year is a new motor vehicle. 
Noncompliant vehicle means a 
vehicle that was originally covered by a certificate of conformity, but is not in the certified configuration or otherwise does not comply with the conditions of the certificate. 
Nonconforming vehicle means a 
vehicle not covered by a certificate of conformity that would otherwise be subject to emission standards. 
Nonmethane hydrocarbon (NMHC) 
means the sum of all hydrocarbon species except methane, as measured according to 40 CFR part 1065. 
Nonmethane hydrocarbon equivalent 
(NMHCE) has the meaning given in 40 
CFR 1065.1001. 
Off-cycle technology means 
technology certified under § 1037.610 (also described as ‘‘innovative technology’’). 
Official emission result means the 
measured emission rate for an emission- data vehicle on a given duty cycle before the application of any required deterioration factor, but after the applicability of regeneration adjustment factors. 
Owners manual means a document or 
collection of documents prepared by the vehicle manufacturer for the owners or operators to describe appropriate vehicle maintenance, applicable warranties, and any other information related to operating or keeping the vehicle. The owners manual is typically provided to the ultimate purchaser at the time of sale. The owners manual may be in paper or electronic format. 
Oxides of nitrogen has the meaning 
given in 40 CFR 1065.1001. 
Parked idle means idle operation 
during which the transmission is set to park, or the transmission is in neutral with the parking brake engaged. Although this idle may occur for extended periods, the term ‘‘extended idle’’ refers to tractor operation in which the engine is operating to power accessories for a sleeper compartment or other passenger compartment. 
Particulate trap means a filtering 
device that is designed to physically trap all particulate matter above a certain size. 
Percent (%) has the meaning given in 
40 CFR 1065.1001. Note that this means percentages identified in this part are assumed to be infinitely precise without regard to the number of significant figures. For example, one percent of 1,493 is 14.93. 
Petroleum means gasoline or diesel 
fuel or other fuels normally derived from crude oil. This does not include methane or liquefied petroleum gas. 
Phase 1 means relating to the Phase 
1 standards specified in §§ 1037.105 and 1037.106. For example, a vehicle subject to the Phase 1 standards is a Phase 1 vehicle. Note that there are no Phase 1 standards for trailers. 
Phase 2 means relating to the Phase 
2 standards specified in §§ 1037.105 through 1037.107. 
Placed into service means put into 
initial use for its intended purpose, excluding incidental use by the manufacturer or a dealer. 
Power take-off (PTO) means a 
secondary engine shaft (or equivalent) that provides substantial auxiliary power for purposes unrelated to vehicle propulsion or normal vehicle accessories such as air conditioning, power steering, and basic electrical accessories. A typical PTO uses a secondary shaft on the engine to transmit power to a hydraulic pump that powers auxiliary equipment, such as a boom on a bucket truck. You may ask us to consider other equivalent auxiliary power configurations (such as those with hybrid vehicles) as power take-off systems. 
Preliminary approval means approval 
granted by an authorized EPA representative prior to submission of an application for certification, consistent with the provisions of § 1037.210 or 1037.211. 
Rechargeable Energy Storage System 
(RESS) means the component(s) of a 
hybrid engine or vehicle that store recovered energy for later use, such as the battery system in an electric hybrid vehicle. 
Refuse hauler means a heavy-duty 
vehicle whose primary purpose is to collect, compact, and transport solid waste, including recycled solid waste. 
Regional means relating to the 
Regional duty cycle as specified in § 1037.510. 
Regulatory subcategory has the 
meaning given in § 1037.230. 
Relating to as used in this section 
means relating to something in a specific, direct manner. This expression is used in this section only to define terms as adjectives and not to broaden the meaning of the terms. 
Revoke has the meaning given in 40 
CFR 1068.30. 
Roof height means the maximum 
height of a vehicle (rounded to the 
nearest inch), excluding narrow accessories such as exhaust pipes and antennas, but including any wide accessories such as roof fairings. Measure roof height of the vehicle configured to have its maximum height that will occur during actual use, with properly inflated tires and no driver, passengers, or cargo onboard. Roof height may also refer to the following 
categories: 
(1) Low-roof means relating to a 
vehicle with a roof height of 120 inches or less. 
(2) Mid-roof means relating to a 
vehicle with a roof height of 121 to 147 inches. 
(3) High-roof means relating to a 
vehicle with a roof height of 148 inches or more. 
Round has the meaning given in 40 
CFR 1065.1001. 
Scheduled maintenance means 
adjusting, repairing, removing, disassembling, cleaning, or replacing components or systems periodically to keep a part or system from failing, malfunctioning, or wearing prematurely. It also may mean actions you expect are necessary to correct an overt indication of failure or malfunction for which periodic maintenance is not appropriate. 
School bus has the meaning given in 
49 CFR 571.3. 
Secondary vehicle manufacturer 
anyone that produces a vehicle by modifying a complete vehicle or completing the assembly of a partially complete vehicle. For the purpose of this definition, ‘‘modifying’’ generally does not include making changes that do not remove a vehicle from its original certified configuration. However, custom sleeper modifications and alternative fuel conversions that change actual vehicle aerodynamics are 
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considered to be modifications, even if 
they are permitted without recertification. This definition applies whether the production involves a complete or partially complete vehicle and whether the vehicle was previously certified to emission standards or not. Manufacturers controlled by the manufacturer of the base vehicle (or by an entity that also controls the manufacturer of the base vehicle) are not secondary vehicle manufacturers; rather, both entities are considered to be one manufacturer for purposes of this part. 
Sleeper cab means a type of tractor 
cab that has a compartment behind the driver’s seat intended to be used by the driver for sleeping, and is not a heavy- haul tractor cab. This includes cabs accessible from the driver’s compartment and those accessible from outside the vehicle. 
Small manufacturer means a 
manufacturer meeting the criteria specified in 13 CFR 121.201. The employee and revenue limits apply to the total number employees and total revenue together for affiliated companies. 
Spark-ignition has the meaning given 
in § 1037.101. 
Standard payload means the payload 
assumed for each vehicle, in tons, for modeling and calculating emission credits, as follows: 
(1) For vocational vehicles: 
(i) 2.85 tons for Light HDV. (ii) 5.6 tons for Medium HDV. (iii) 7.5 tons for Heavy HDV. (2) For tractors: (i) 12.5 tons for Class 7. (ii) 19 tons for Class 8, other than 
heavy-haul tractors. 
(iii) 43 tons for heavy-haul tractors. (3) For trailers: (i) 10 tons for short box vans. (ii) 19 tons for other trailers. Standard tractor has the meaning 
given in § 1037.501. 
Standard trailer has the meaning 
given in § 1037.501. 
Stop-start means a vehicle technology 
that automatically turns the engine off 
when the vehicle is stopped, as described in § 1037.660(a). 
Suspend has the meaning given in 40 
CFR 1068.30. 
Tank trailer means a trailer designed 
to transport liquids or gases. 
Test sample means the collection of 
vehicles or components selected from the population of a vehicle family for emission testing. This may include testing for certification, production-line testing, or in-use testing. 
Test vehicle means a vehicle in a test 
sample. 
Test weight means the vehicle weight 
used or represented during testing. Tire pressure monitoring system 
(TPMS) is a vehicle system that 
monitors air pressure in each tire and 
alerts the operator when tire pressure falls below a specified value. 
Tire rolling resistance level (TRRL) 
means a value with units of kg/tonne that represents the rolling resistance of a tire configuration. TRRLs are used as modeling inputs under §§ 1037.515 and 1037.520. Note that a manufacturer may use the measured value for a tire configuration’s coefficient of rolling resistance, or assign some higher value. 
Total hydrocarbon has the meaning 
given in 40 CFR 1065.1001. This generally means the combined mass of organic compounds measured by the specified procedure for measuring total hydrocarbon, expressed as a hydrocarbon with an atomic hydrogen- to-carbon ratio of 1.85:1. 
Total hydrocarbon equivalent has the 
meaning given in 40 CFR 1065.1001. This generally means the sum of the carbon mass contributions of non- oxygenated hydrocarbon, alcohols and aldehydes, or other organic compounds that are measured separately as contained in a gas sample, expressed as exhaust hydrocarbon from petroleum- fueled vehicles. The atomic hydrogen- to-carbon ratio of the equivalent hydrocarbon is 1.85:1. 
Tractor has the meaning given for 
‘‘truck tractor’’ in 49 CFR 571.3. This includes most heavy-duty vehicles specifically designed for the primary purpose of pulling trailers, but does not include vehicles designed to carry other loads. For purposes of this definition ‘‘other loads’’ would not include loads carried in the cab, sleeper compartment, or toolboxes. Examples of vehicles that are similar to tractors but that are not 
tractors under this part include 
dromedary tractors, automobile haulers, straight trucks with trailers hitches, and tow trucks. Note that the provisions of this part that apply for tractors do not apply for tractors that are classified as vocational tractors under § 1037.630. 
Trailer means a piece of equipment 
designed for carrying cargo and for being drawn by a tractor when coupled to the tractor’s fifth wheel. These trailers may be known commercially as semi- trailers or truck trailers. This definition excludes equipment that serve similar purposes but are not intended to be pulled by a tractor, whether or not they are known commercially as trailers. Trailers may be divided into different types and categories as described in paragraphs (1) through (4) of this definition. The types of equipment identified in paragraph (5) of this definition are not trailers for purposes of this part. (1) Box vans are trailers with enclosed 
cargo space that is permanently attached to the chassis, with fixed sides, nose, and roof. Tank trailers are not box vans. 
(2) Box vans with self-contained 
HVAC systems are refrigerated vans. Note that this includes systems that provide cooling, heating, or both. All other box vans are dry vans. 
(3) Trailers that are not box vans are 
non-box trailers. Note that the standards for non-box trailers in this part 1037 apply only to flatbed trailers, tank trailers, and container chassis. 
(4) Box vans with length at or below 
50.0 feet are short box vans. Other box vans are long box vans. 
(5) The following types of equipment 
are not trailers for purposes of this part 1037: 
(i) Containers that are not 
permanently mounted on chassis. 
(ii) Dollies used to connect tandem 
trailers. 
Ultimate purchaser means, with 
respect to any new vehicle, the first person who in good faith purchases such new vehicle for purposes other than resale. 
United States has the meaning given 
in 40 CFR 1068.30. 
Upcoming model year means for a 
vehicle family the model year after the one currently in production. 
Urban means relating to the Urban 
duty cycle as specified in § 1037.510. 
U.S.-directed production volume 
means the number of vehicle units, subject to the requirements of this part, produced by a manufacturer for which the manufacturer has a reasonable assurance that sale was or will be made to ultimate purchasers in the United States. This does not include vehicles certified to state emission standards that are different than the emission standards in this part. 
Useful life means the period during 
which a vehicle is required to comply with all applicable emission standards. 
Vehicle means equipment intended 
for use on highways that meets at least one of the criteria of paragraph (1) of this definition, as follows: 
(1) The following equipment are 
vehicles: 
(i) A piece of equipment that is 
intended for self-propelled use on highways becomes a vehicle when it includes at least an engine, a transmission, and a frame. (Note: For purposes of this definition, any electrical, mechanical, and/or hydraulic devices attached to engines for the purpose of powering wheels are considered to be transmissions.) 
(ii) A piece of equipment that is 
intended for self-propelled use on 
highways becomes a vehicle when it 
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includes a passenger compartment 
attached to a frame with one or more axles. 
(iii) Trailers. A trailer becomes a 
vehicle when it has a frame with one or more axles attached. 
(2) Vehicles other than trailers may be 
complete or incomplete vehicles as follows: 
(i) A complete vehicle is a functioning 
vehicle that has the primary load carrying device or container (or equivalent equipment) attached. Examples of equivalent equipment would include fifth wheel trailer hitches, firefighting equipment, and utility booms. 
(ii) An incomplete vehicle is a vehicle 
that is not a complete vehicle. Incomplete vehicles may also be cab- complete vehicles. This may include vehicles sold to secondary vehicle manufacturers. 
(iii) The primary use of the terms 
‘‘complete vehicle’’ and ‘‘incomplete vehicle’’ are to distinguish whether a vehicle is complete when it is first sold as a vehicle. 
(iv) You may ask us to allow you to 
certify a vehicle as incomplete if you manufacture the engines and sell the unassembled chassis components, as long as you do not produce and sell the body components necessary to complete the vehicle. 
Vehicle configuration means a unique 
combination of vehicle hardware and calibration (related to measured or modeled emissions) within a vehicle family. Vehicles with hardware or software differences, but that have no hardware or software differences related to measured or modeled emissions may be included in the same vehicle configuration. Note that vehicles with hardware or software differences related to measured or modeled emissions are considered to be different configurations even if they have the same GEM inputs and FEL. Vehicles within a vehicle configuration differ only with respect to normal production variability or factors unrelated to measured or modeled emissions. 
Vehicle family has the meaning given 
in § 1037.230. 
Vehicle service class has the meaning 
given in § 1037.140. The different vehicle service classes are Light HDV, Medium HDV, and Heavy HDV. 
Vehicle subfamily or subfamily means 
a subset of a vehicle family including vehicles subject to the same FEL(s). 
Vocational tractor means a vehicle 
classified as a vocational tractor under § 1037.630. 
Vocational vehicle means relating to a 
vehicle subject to the standards of § 1037.105 (including vocational tractors). 
Void has the meaning given in 40 CFR 
1068.30. 
Volatile liquid fuel means any fuel 
other than diesel or biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor Pressure higher than 2.0 pounds per square inch. 
We (us, our) means the Administrator 
of the Environmental Protection Agency and any authorized representatives. 
§ 1037.805 Symbols, abbreviations, and 
acronyms. 
The procedures in this part generally 
follow either the International System of 
Units (SI) or the United States customary units, as detailed in NIST Special Publication 811 (incorporated by reference in § 1037.810). See 40 CFR 1065.20 for specific provisions related to these conventions. This section summarizes the way we use symbols, units of measure, and other abbreviations. 
(a) Symbols for chemical species. This 
part uses the following symbols for chemical species and exhaust constituents: 
Symbol Species 
C ................... carbon. 
CH4............... methane. 
CO ................ carbon monoxide. 
CO 2............... carbon dioxide. 
H2O ............... water. 
HC ................. hydrocarbon. 
NMHC ........... nonmethane hydrocarbon. 
NMHCE ......... nonmethane hydrocarbon 
equivalent. 
NO ................ nitric oxide. 
NO 2............... nitrogen dioxide. 
NO X............... oxides of nitrogen. 
N2O ............... nitrous oxide. 
PM ................ particulate matter. 
THC .............. total hydrocarbon. 
THCE ............ total hydrocarbon equivalent. 
(b) Symbols for quantities. This part 
uses the following symbols and units of measure for various quantities: 
Symbol Quantity Unit Unit symbol Unit in terms of SI 
base units 
A.............. vehicle frictional load .............................. pound force or newton ............................ lbf or N ... ................ kg·m·s¥2. 
a.............. axle position regression coefficient.
α.............. atomic hydrogen-to-carbon ratio ............. mole per mole ......................................... mol/mol ........ ........... 1. 
α.............. axle position regression coefficient.
α0............ intercept of air speed correction.
α1............ slope of air speed correction.
ag............. acceleration of Earth’s gravity ................ meters per second squared .................... m/s2........................ m·s¥2. 
a0............. intercept of least squares regression.
a1............. slope of least squares regression.
B.............. vehicle load from drag and rolling resist-
ance.pound force per mile per hour or newton 
second per meter.lbf/(mi/hr) or N·s/m kg·s¥1. 
b.............. axle position regression coefficient.
β.............. atomic oxygen-to-carbon ratio ................ mole per mole ......................................... mol/mol ....... ............ 1. 
β.............. axle position regression coefficient.
β0............. intercept of air direction correction.
β1............. slope of air direction correction.
C............. vehicle-specific aerodynamic effects ...... pound force per mile per hour squared 
or newton-second squared per meter 
squared.lbf/mph2or N·s2/m1 kg·m¥1. 
c.............. axle position regression coefficient.
ci............. axle test regression coefficients.
Ci............. constant.
ΔC dA....... differential drag area ............................... meter squared ......................................... m2........................... m2. 
CdA.......... drag area ................................................. meter squared ......................................... m2........................... m2. 
Cd............ drag coefficient.
CF........... correction factor.
Crr............ coefficient of rolling resistance ............... kilogram per metric ton ........................... kg/tonne ......... ......... 10¥2. 
D............. distance ................................................... miles or meters ....................................... mi or m ................... m. 
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Symbol Quantity Unit Unit symbol Unit in terms of SI 
base units 
e.............. mass-weighted emission result ............... grams/ton-mile ........................................ g/ton-mi ....... ........... g/kg-km. 
Eff............ efficiency.
F.............. adjustment factor.
F.............. force ........................................................ pound force or newton ............................ lbf or N ................... kg·m·s¥2. 
fn.............. angular speed (shaft) .............................. revolutions per minute ............................ r/min ....... ................ π·30·s¥1. 
G............. road grade ............................................... percent .................................................. .. % ............................ 10¥2. 
g.............. gravitational acceleration ........................ meters per second squared .................... m/s2........................ m·s¥2. 
h.............. elevation or height .................................. meters ..................................................... m ............................ m. 
i............... indexing variable.
ka............. drive axle ratio ........................................ 1 
kd............. transmission gear ratio.
ktopgear ...... highest available transmission gear.
L.............. load over axle ......................................... pound force or newton ............................ lbf or N . .................. kg·m·s¥2. 
m............. mass ........................................................ pound mass or kilogram ......................... lbm or kg ................ kg. 
M............. molar mass ............................................. gram per mole ......................................... g/mol ....................... 10¥3·kg·mol¥1. 
M............. vehicle mass ........................................... kilogram ................................................... kg ............................ kg. 
Me............ vehicle effective mass ............................. kilogram ................................................... kg ... ......................... kg. 
Mrotating .... inertial mass of rotating components ...... kilogram ................................................... kg .................... ........ kg. 
N............. total number in series.
n.............. number of tires.
n˙.............. amount of substance rate ....................... mole per second ..................................... mol/s ......... .............. mol·s¥1. 
P.............. power ...................................................... kilowatt .................................................... kW .......................... 103·m2·kg·s¥3. 
P.............. tire inflation pressure .............................. pascal ...................................................... Pa ........................... kg·m¥1·s¥2. 
p.............. pressure .................................................. pascal ...................................................... Pa ........................... kg·m¥1·s¥2. 
r.............. mass density ........................................... kilogram per cubic meter ........................ kg/m3...................... kg·m¥3. 
PL............ payload .................................................... tons ......................................................... ton .......................... kg. 
j.............. direction ................................................... degrees ................................................... °.............................. °. 
1.............. direction ................................................... degrees ................................................... °.............................. °. 
r............... tire radius ................................................ meter ................................................ ....... m ............................ m. 
r2............. coefficient of determination.
Re#.......... Reynolds number.
SEE ......... standard estimate of error.
s.............. standard deviation.
TRPM ...... tire revolutions per mile .......................... revolutions per mile ................................. r/mi.
TRRL ....... tire rolling resistance level ...................... kilogram per metric ton ........................... kg/tonne ........... ....... 10¥3. 
T.............. absolute temperature .............................. kelvin ....................................................... K . ............................ K. 
T.............. Celsius temperature ................................ degree Celsius ........................................ °C ........................... K¥273.15. 
T.............. torque (moment of force) ........................ newton meter .......................................... N·m ........ ................. m2·kg·s¥2. 
t............... time ......................................................... hour or second ........................................ hr or s ..................... s. 
Δt............. time interval, period, 1/frequency ........... second ..................................................... s ......... ..................... s. 
UF........... utility factor.
v.............. speed ...................................................... miles per hour or meters per second ..... mi/hr or m/s .. .......... m·s¥1. 
w............. weighting factor.
w............. wind speed .............................................. miles per hour ......................................... mi/ hr ....................... m·s¥1. 
W............. work ......................................................... kilowatt-hour ............................................ kW·hr ...................... 3.6·m2·kg·s¥1. 
wC............ carbon mass fraction .............................. gram/gram ............................................... g/g ...... .................... 1. 
WR .......... weight reduction ...................................... pound mass ............................................ lbm ...... .................... kg. 
x.............. amount of substance mole fraction ........ mole per mole ......................................... mol/mol ........... ........ 1. 
(c) Superscripts. This part uses the 
following superscripts to define a 
quantity: 
Superscript Quantity 
overbar (such as y ¯) ... arithmetic mean. 
Double overbar (such arithmetic mean of 
= arithmetic mean. as y).
overdot (such as y ˙) ... quantity per unit time. 
(d) Subscripts. This part uses the 
following subscripts to define a quantity: 
Subscript Quantity 
±6 ................... ±6° yaw angle sweep. 
A ..................... A speed. 
air ................... air. 
aero ................ aerodynamic. Subscript Quantity 
alt ................... alternative. 
act .................. actual or measured condi-
tion. 
air ................... air. 
axle ................ axle. 
B ..................... B speed. 
brake .............. brake. 
C .................... C speed. 
Ccombdry ....... carbon from fuel per mole of 
dry exhaust. 
CD .................. charge-depleting. 
circuit .............. circuit. 
CO 2DEF ......... CO 2resulting from diesel ex-
haust fluid decomposition. 
CO 2PTO ......... CO 2emissions for PTO 
cycle. 
coastdown ...... coastdown. 
comp .............. composite. 
CS .................. charge-sustaining. 
cycle ............... test cycle. Subscript Quantity 
drive ............... drive axle. 
drive-idle ........ idle with the transmission in 
drive. 
driver .............. driver. 
dyno ............... dynamometer. 
effective .......... effective. 
end ................. end. 
eng ................. engine. 
event .............. event. 
fuel ................. fuel. 
full .................. full. 
grade .............. grade. 
H2Oexhaustdry .... H 2O in exhaust per mole of 
exhaust. 
hi .................... high. 
i ...................... an individual of a series. 
idle ................. idle. 
in .................... inlet. 
inc .................. increment. 
lo .................... low. 
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Subscript Quantity 
loss ................. loss. 
max ................ maximum. 
meas .............. measured quantity. 
med ................ median. 
min ................. minimum. 
moving ........... moving. 
out .................. outlet. 
P ..................... power. 
pair ................. pair of speed segments. 
parked-idle ..... idle with the transmission in 
park. 
partial ............. partial. 
ploss ............... power loss. 
plug-in ............ plug-in hybrid electric vehi-
cle. 
powertrain ...... powertrain. 
PTO ................ power take-off. 
rated ............... rated speed. 
record ............. record. 
ref ................... reference quantity. 
RL .................. road load. 
rotating ........... rotating. 
seg ................. segment. 
speed ............. speed. 
spin ................ axle spin loss. 
start ................ start. 
steer ............... steer axle. 
t ...................... tire. 
test ................. test. 
th .................... theoretical. 
total ................ total. Subscript Quantity 
trac ................. traction. 
trac10 ............. traction force at 10 mi/hr. 
trailer .............. trailer axle. 
transient ......... transient. 
TRR ................ tire rolling resistance. 
urea ................ urea. 
veh ................. vehicle. 
w .................... wind. 
wa .................. wind average. 
yaw ................. yaw angle. 
ys ................... yaw sweep. 
zero ................ zero quantity. 
(e) Other acronyms and abbreviations. 
This part uses the following additional 
abbreviations and acronyms: 
ABT ................... averaging, banking, and trading. 
AECD ................ auxiliary emission control device. 
AES ................... automatic engine shutdown. 
APU ................... auxiliary power unit. 
CD ..................... charge-depleting. 
CFD ................... computational fluid dynamics. 
CFR ................... Code of Federal Regulations. 
CITT .................. curb idle transmission torque. 
CS ..................... charge-sustaining. 
DOT .................. Department of Transportation. 
EPA ................... Environmental Protection Agency. 
FE ..................... fuel economy. 
FEL ................... Family Emission Limit. GAWR ............... gross axle weight rating. 
GCWR ............... gross combination weight rating. 
GEM .................. greenhouse gas emission model. 
GVWR ............... gross vehicle weight rating. 
Heavy HDV ....... Heavy heavy-duty vehicle (see 
§ 1037.140). 
HVAC ................ heating, ventilating, and air condi-
tioning. 
ISO .................... International Organization for 
Standardization. 
Light HDV ......... Light heavy-duty vehicle (see 
§ 1037.140). 
Medium HDV .... Medium heavy-duty vehicle (see 
§ 1037.140). 
NARA ................ National Archives and Records 
Administration. 
NHTSA .............. National Highway Transportation 
Safety Administration. 
PHEV ................ plug-in hybrid electric vehicle. 
PTO ................... power take-off. 
RESS ................ rechargeable energy storage sys-
tem. 
rpm .................... revolutions per minute. 
SAE ................... Society of Automotive Engineers. 
SEE ................... standard error of estimate. 
SKU ................... stock-keeping unit. 
TRPM ................ tire revolutions per mile. 
TRRL ................. tire rolling resistance level. 
U.S.C. ............... United States Code. 
VSL ................... vehicle speed limiter. 
(f) Constants. This part uses the 
following constants: 
Symbol Quantity Value 
g........................................... gravitational constant ...................................................... 9.81 m·s¥2. 
R........................................... specific gas constant ....................................................... 287.058 J/(kg·K). 
(g) Prefixes. This part uses the 
following prefixes to define a quantity: 
Symbol Quantity Value 
μ.................................................................................................. micro ........................................................................................... 10¥6 
m ................................................................................................. milli ............................................................................................. 10¥3 
c .................................................................................................. centi ............................................................................................ 10¥2 
k .................................................................................................. kilo .............................................................................................. 103 
M ................................................................................................. mega ........................................................................................... 106 
§ 1037.810 Incorporation by reference. 
(a) Certain material is incorporated by 
reference into this part with the 
approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition 
other than that specified in this section, the Environmental Protection Agency must publish a document in the Federal Register and the material must be 
available to the public. All approved material is available for inspection at U.S. EPA, Air and Radiation Docket and Information Center, 1301 Constitution Ave. NW., Room B102, EPA West Building, Washington, DC 20460, (202) 202–1744, and is available from the sources listed below. It is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of 
this material at NARA, call 202–741– 6030, or go to http://www.archives.gov/ federal_ register/code_ of_federal_
regulations/ibr_ locations.html. 
(b) International Organization for 
Standardization, Case Postale 56, CH– 1211 Geneva 20, Switzerland, (41) 22749 0111, www.iso.org, or central@iso.org. 
(1) ISO 28580:2009(E) ‘‘Passenger car, 
truck and bus tyres—Methods of measuring rolling resistance—Single point test and correlation of measurement results’’, First Edition, July 1, 2009, (‘‘ISO 28580’’), IBR approved for § 1037.520(c). 
(2) [Reserved] (c) U.S. EPA, Office of Air and 
Radiation, 2565 Plymouth Road, Ann Arbor, MI 48105, www.epa.gov. 
(1) Greenhouse gas Emissions Model 
(GEM), Version 2.0.1, September 2012 (‘‘GEM version 2.0.1’’), IBR approved for § 1037.520. The computer code for this model is available as noted in paragraph (a) of this section. A working version of this software is also available for download at http://www.epa.gov/otaq/ climate/gem.htm. 
(2) Greenhouse gas Emissions Model 
(GEM) Phase 2, Version 3.0, July 2016; IBR approved for § 1037.520. The computer code for this model is available as noted in paragraph (a) of this section. A working version of this software is also available for download 
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at http://www.epa.gov/otaq/climate/ 
gem.htm. 
(d) National Institute of Standards and 
Technology, 100 Bureau Drive, Stop 
1070, Gaithersburg, MD 20899–1070, (301) 975–6478, or www.nist.gov. 
(1) NIST Special Publication 811, 
Guide for the Use of the International System of Units (SI), 2008 Edition, March 2008, IBR approved for § 1037.805. 
(2) [Reserved] 
(e) SAE International, 400 
Commonwealth Dr., Warrendale, PA 
15096–0001, (877) 606–7323 (U.S. and Canada) or (724) 776–4970 (outside the U.S. and Canada), http://www.sae.org. 
(1) SAE J1025, Test Procedures for 
Measuring Truck Tire Revolutions Per Kilometer/Mile, Stabilized August 2012, (‘‘SAE J1025’’), IBR approved for § 1037.520(c). 
(2) SAE J1252, SAE Wind Tunnel Test 
Procedure for Trucks and Buses, Revised July 2012, (‘‘SAE J1252’’), IBR approved for §§ 1037.525(b) and 1037.530(a). 
(3) SAE J1263, Road Load 
Measurement and Dynamometer Simulation Using Coastdown Techniques, revised March 2010, (‘‘SAE J1263’’), IBR approved for §§ 1037.528 introductory text, (a), (b), (c), (e), and (h) and 1037.665(a). 
(4) SAE J1594, Vehicle Aerodynamics 
Terminology, Revised July 2010, (‘‘SAE J1594’’), IBR approved for § 1037.530(d). 
(5) SAE J2071, Aerodynamic Testing 
of Road Vehicles—Open Throat Wind Tunnel Adjustment, Revised June 1994, (‘‘SAE J2071’’), IBR approved for § 1037.530(b). 
(6) SAE J2263, Road Load 
Measurement Using Onboard Anemometry and Coastdown Techniques, Revised December 2008, (‘‘SAE J2263’’), IBR approved for §§ 1037.528 introductory text, (a), (b), (d), and (f) and 1037.665(a). 
(7) SAE J2343, Recommended Practice 
for LNG Medium and Heavy-Duty Powered Vehicles, Revised July 2008, (‘‘SAE J2343’’), IBR approved for § 1037.103(e). 
(8) SAE J2452, Stepwise Coastdown 
Methodology for Measuring Tire Rolling Resistance, Revised June 1999, (‘‘SAE J2452’’), IBR approved for § 1037.528(h). 
(9) SAE J2966, Guidelines for 
Aerodynamic Assessment of Medium 
and Heavy Commercial Ground Vehicles Using Computational Fluid Dynamics, Issued September 2013, (‘‘SAE J2966’’), IBR approved for § 1037.532(a). 
§ 1037.815 Confidential information. 
The provisions of 40 CFR 1068.10 
apply for information you consider confidential. § 1037.820 Requesting a hearing. 
(a) You may request a hearing under 
certain circumstances, as described elsewhere in this part. To do this, you must file a written request, including a description of your objection and any supporting data, within 30 days after we make a decision. 
(b) For a hearing you request under 
the provisions of this part, we will approve your request if we find that your request raises a substantial factual issue. 
(c) If we agree to hold a hearing, we 
will use the procedures specified in 40 CFR part 1068, subpart G. 
§ 1037.825 Reporting and recordkeeping 
requirements. 
(a) This part includes various 
requirements to submit and record data 
or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. You may not rely on anyone else to meet recordkeeping requirements on your behalf unless we specifically authorize it. We may review these records at any time. You must promptly send us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format. 
(b) The regulations in § 1037.255 and 
40 CFR 1068.25 and 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties. 
(c) Send all reports and requests for 
approval to the Designated Compliance Officer (see § 1037.801). 
(d) Any written information we 
require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. Keep these records for eight years unless the regulations specify a different period. We may require you to send us these records whether or not you are a certificate holder. 
(e) Under the Paperwork Reduction 
Act (44 U.S.C. 3501 et seq), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations. The following items illustrate the kind of reporting and recordkeeping we require for vehicles regulated under this part: 
(1) We specify the following 
requirements related to vehicle certification in this part 1037: 
(i) In § 1036.150 we include various 
reporting and recordkeeping requirements related to interim provisions. 
(ii) In subpart C of this part we 
identify a wide range of information required to certify vehicles. 
(iii) In subpart G of this part we 
identify several reporting and recordkeeping items for making demonstrations and getting approval related to various special compliance provisions. 
(iv) In § 1037.725, 1037.730, and 
1037.735 we specify certain records related to averaging, banking, and trading. 
(2) We specify the following 
requirements related to testing in 40 CFR part 1066: 
(i) In 40 CFR 1066.2 we give an 
overview of principles for reporting information. 
(ii) In 40 CFR 1066.25 we establish 
basic guidelines for storing test information. 
(iii) In 40 CFR 1066.695 we identify 
the specific information and data items to record when measuring emissions. 
(3) We specify the following 
requirements related to the general compliance provisions in 40 CFR part 1068: 
(i) In 40 CFR 1068.5 we establish a 
process for evaluating good engineering judgment related to testing and certification. 
(ii) In 40 CFR 1068.25 we describe 
general provisions related to sending and keeping information. 
(iii) In 40 CFR 1068.27 we require 
manufacturers to make engines and vehicles available for our testing or inspection if we make such a request. 
(iv) In 40 CFR 1068.105 we require 
vehicle manufacturers to keep certain records related to duplicate labels from engine manufacturers. 
(v) In 40 CFR 1068.120 we specify 
recordkeeping related to rebuilding engines. 
(vi) In 40 CFR part 1068, subpart C, 
we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various exemptions. 
(vii) In 40 CFR part 1068, subpart D, 
we identify several reporting and recordkeeping items for making demonstrations and getting approval related to importing engines and vehicles. 
(viii) In 40 CFR 1068.450 and 
1068.455 we specify certain records 
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related to testing production-line 
engines and vehicles in a selective enforcement audit. 
(ix) In 40 CFR 1068.501 we specify 
certain records related to investigating and reporting emission-related defects. 
(x) In 40 CFR 1068.525 and 1068.530 
we specify certain records related to recalling nonconforming engines and vehicles. 
(xi) In 40 CFR part 1068, subpart G, 
we specify certain records for requesting a hearing. 
Appendix I to Part 1037 — Heavy-Duty 
Transient Test Cycle 
Time 
(sec) Speed 
(mi/hr) 
1 ............................................ 0.00 
2 ............................................ 0.00 
3 ............................................ 0.00 
4 ............................................ 0.00 
5 ............................................ 0.00 
6 ............................................ 0.00 
7 ............................................ 0.41 
8 ............................................ 1.18 
9 ............................................ 2.26 
10 .......................................... 3.19 
11 .......................................... 3.97 
12 .......................................... 4.66 
13 .......................................... 5.32 
14 .......................................... 5.94 
15 .......................................... 6.48 
16 .......................................... 6.91 
17 .......................................... 7.28 
18 .......................................... 7.64 
19 .......................................... 8.02 
20 .......................................... 8.36 
21 .......................................... 8.60 
22 .......................................... 8.74 
23 .......................................... 8.82 
24 .......................................... 8.82 
25 .......................................... 8.76 
26 .......................................... 8.66 
27 .......................................... 8.58 
28 .......................................... 8.52 
29 .......................................... 8.46 
30 .......................................... 8.38 
31 .......................................... 8.31 
32 .......................................... 8.21 
33 .......................................... 8.11 
34 .......................................... 8.00 
35 .......................................... 7.94 
36 .......................................... 7.94 
37 .......................................... 7.80 
38 .......................................... 7.43 
39 .......................................... 6.79 
40 .......................................... 5.81 
41 .......................................... 4.65 
42 .......................................... 3.03 
43 .......................................... 1.88 
44 .......................................... 1.15 
45 .......................................... 1.14 
46 .......................................... 1.12 
47 .......................................... 1.11 
48 .......................................... 1.19 
49 .......................................... 1.57 
50 .......................................... 2.31 
51 .......................................... 3.37 
52 .......................................... 4.51 
53 .......................................... 5.56 
54 .......................................... 6.41 
55 .......................................... 7.09 Time (sec) Speed 
(mi/hr) 
56 .......................................... 7.59 
57 .......................................... 7.99 
58 .......................................... 8.32 
59 .......................................... 8.64 
60 .......................................... 8.91 
61 .......................................... 9.13 
62 .......................................... 9.29 
63 .......................................... 9.40 
64 .......................................... 9.39 
65 .......................................... 9.20 
66 .......................................... 8.84 
67 .......................................... 8.35 
68 .......................................... 7.81 
69 .......................................... 7.22 
70 .......................................... 6.65 
71 .......................................... 6.13 
72 .......................................... 5.75 
73 .......................................... 5.61 
74 .......................................... 5.65 
75 .......................................... 5.80 
76 .......................................... 5.95 
77 .......................................... 6.09 
78 .......................................... 6.21 
79 .......................................... 6.31 
80 .......................................... 6.34 
81 .......................................... 6.47 
82 .......................................... 6.65 
83 .......................................... 6.88 
84 .......................................... 7.04 
85 .......................................... 7.05 
86 .......................................... 7.01 
87 .......................................... 6.90 
88 .......................................... 6.88 
89 .......................................... 6.89 
90 .......................................... 6.96 
91 .......................................... 7.04 
92 .......................................... 7.17 
93 .......................................... 7.29 
94 .......................................... 7.39 
95 .......................................... 7.48 
96 .......................................... 7.57 
97 .......................................... 7.61 
98 .......................................... 7.59 
99 .......................................... 7.53 
100 ........................................ 7.46 
101 ........................................ 7.40 
102 ........................................ 7.39 
103 ........................................ 7.38 
104 ........................................ 7.37 
105 ........................................ 7.37 
106 ........................................ 7.39 
107 ........................................ 7.42 
108 ........................................ 7.43 
109 ........................................ 7.40 
110 ........................................ 7.39 
111 ........................................ 7.42 
112 ........................................ 7.50 
113 ........................................ 7.57 
114 ........................................ 7.60 
115 ........................................ 7.60 
116 ........................................ 7.61 
117 ........................................ 7.64 
118 ........................................ 7.68 
119 ........................................ 7.74 
120 ........................................ 7.82 
121 ........................................ 7.90 
122 ........................................ 7.96 
123 ........................................ 7.99 
124 ........................................ 8.02 
125 ........................................ 8.01 
126 ........................................ 7.87 
127 ........................................ 7.59 
128 ........................................ 7.20 Time (sec) Speed 
(mi/hr) 
129 ........................................ 6.52 
130 ........................................ 5.53 
131 ........................................ 4.36 
132 ........................................ 3.30 
133 ........................................ 2.50 
134 ........................................ 1.94 
135 ........................................ 1.56 
136 ........................................ 0.95 
137 ........................................ 0.42 
138 ........................................ 0.00 
139 ........................................ 0.00 
140 ........................................ 0.00 
141 ........................................ 0.00 
142 ........................................ 0.00 
143 ........................................ 0.00 
144 ........................................ 0.00 
145 ........................................ 0.00 
146 ........................................ 0.00 
147 ........................................ 0.00 
148 ........................................ 0.00 
149 ........................................ 0.00 
150 ........................................ 0.00 
151 ........................................ 0.00 
152 ........................................ 0.00 
153 ........................................ 0.00 
154 ........................................ 0.00 
155 ........................................ 0.00 
156 ........................................ 0.00 
157 ........................................ 0.00 
158 ........................................ 0.00 
159 ........................................ 0.00 
160 ........................................ 0.00 
161 ........................................ 0.00 
162 ........................................ 0.00 
163 ........................................ 0.00 
164 ........................................ 0.00 
165 ........................................ 0.00 
166 ........................................ 0.00 
167 ........................................ 0.00 
168 ........................................ 0.00 
169 ........................................ 0.00 
170 ........................................ 0.00 
171 ........................................ 0.00 
172 ........................................ 1.11 
173 ........................................ 2.65 
174 ........................................ 4.45 
175 ........................................ 5.68 
176 ........................................ 6.75 
177 ........................................ 7.59 
178 ........................................ 7.75 
179 ........................................ 7.63 
180 ........................................ 7.67 
181 ........................................ 8.70 
182 ........................................ 10.20 
183 ........................................ 11.92 
184 ........................................ 12.84 
185 ........................................ 13.27 
186 ........................................ 13.38 
187 ........................................ 13.61 
188 ........................................ 14.15 
189 ........................................ 14.84 
190 ........................................ 16.49 
191 ........................................ 18.33 
192 ........................................ 20.36 
193 ........................................ 21.47 
194 ........................................ 22.35 
195 ........................................ 22.96 
196 ........................................ 23.46 
197 ........................................ 23.92 
198 ........................................ 24.42 
199 ........................................ 24.99 
200 ........................................ 25.91 
201 ........................................ 26.26 
VerDate Sep<11>2014 02:43 Oct 25, 2016 Jkt 241001 PO 00000 Frm 00248 Fmt 4701 Sfmt 4700 E:\FR\FM\25OCR3.SGM 25OCR3srobinson on DSK5SPTVN1PROD with RULES374129 Federal Register / Vol. 81, No. 206 / Tuesday, October 25, 2016 / Rules and Regulations 
Time 
(sec) Speed 
(mi/hr) 
202 ........................................ 26.38 
203 ........................................ 26.26 
204 ........................................ 26.49 
205 ........................................ 26.76 
206 ........................................ 27.07 
207 ........................................ 26.64 
208 ........................................ 25.99 
209 ........................................ 24.77 
210 ........................................ 24.04 
211 ........................................ 23.39 
212 ........................................ 22.73 
213 ........................................ 22.16 
214 ........................................ 21.66 
215 ........................................ 21.39 
216 ........................................ 21.43 
217 ........................................ 20.67 
218 ........................................ 17.98 
219 ........................................ 13.15 
220 ........................................ 7.71 
221 ........................................ 3.30 
222 ........................................ 0.88 
223 ........................................ 0.00 
224 ........................................ 0.00 
225 ........................................ 0.00 
226 ........................................ 0.00 
227 ........................................ 0.00 
228 ........................................ 0.00 
229 ........................................ 0.00 
230 ........................................ 0.00 
231 ........................................ 0.00 
232 ........................................ 0.00 
233 ........................................ 0.00 
234 ........................................ 0.00 
235 ........................................ 0.00 
236 ........................................ 0.00 
237 ........................................ 0.00 
238 ........................................ 0.00 
239 ........................................ 0.00 
240 ........................................ 0.00 
241 ........................................ 0.00 
242 ........................................ 0.00 
243 ........................................ 0.00 
244 ........................................ 0.00 
245 ........................................ 0.00 
246 ........................................ 0.00 
247 ........................................ 0.00 
248 ........................................ 0.00 
249 ........................................ 0.00 
250 ........................................ 0.00 
251 ........................................ 0.00 
252 ........................................ 0.00 
253 ........................................ 0.00 
254 ........................................ 0.00 
255 ........................................ 0.00 
256 ........................................ 0.00 
257 ........................................ 0.00 
258 ........................................ 0.00 
259 ........................................ 0.50 
260 ........................................ 1.57 
261 ........................................ 3.07 
262 ........................................ 4.57 
263 ........................................ 5.65 
264 ........................................ 6.95 
265 ........................................ 8.05 
266 ........................................ 9.13 
267 ........................................ 10.05 
268 ........................................ 11.62 
269 ........................................ 12.92 
270 ........................................ 13.84 
271 ........................................ 14.38 
272 ........................................ 15.64 
273 ........................................ 17.14 
274 ........................................ 18.21 Time (sec) Speed 
(mi/hr) 
275 ........................................ 18.90 
276 ........................................ 19.44 
277 ........................................ 20.09 
278 ........................................ 21.89 
279 ........................................ 24.15 
280 ........................................ 26.26 
281 ........................................ 26.95 
282 ........................................ 27.03 
283 ........................................ 27.30 
284 ........................................ 28.10 
285 ........................................ 29.44 
286 ........................................ 30.78 
287 ........................................ 32.09 
288 ........................................ 33.24 
289 ........................................ 34.46 
290 ........................................ 35.42 
291 ........................................ 35.88 
292 ........................................ 36.03 
293 ........................................ 35.84 
294 ........................................ 35.65 
295 ........................................ 35.31 
296 ........................................ 35.19 
297 ........................................ 35.12 
298 ........................................ 35.12 
299 ........................................ 35.04 
300 ........................................ 35.08 
301 ........................................ 35.04 
302 ........................................ 35.34 
303 ........................................ 35.50 
304 ........................................ 35.77 
305 ........................................ 35.81 
306 ........................................ 35.92 
307 ........................................ 36.23 
308 ........................................ 36.42 
309 ........................................ 36.65 
310 ........................................ 36.26 
311 ........................................ 36.07 
312 ........................................ 35.84 
313 ........................................ 35.96 
314 ........................................ 36.00 
315 ........................................ 35.57 
316 ........................................ 35.00 
317 ........................................ 34.08 
318 ........................................ 33.39 
319 ........................................ 32.20 
320 ........................................ 30.32 
321 ........................................ 28.48 
322 ........................................ 26.95 
323 ........................................ 26.18 
324 ........................................ 25.38 
325 ........................................ 24.77 
326 ........................................ 23.46 
327 ........................................ 22.39 
328 ........................................ 20.97 
329 ........................................ 20.09 
330 ........................................ 18.90 
331 ........................................ 18.17 
332 ........................................ 16.48 
333 ........................................ 15.07 
334 ........................................ 12.23 
335 ........................................ 10.08 
336 ........................................ 7.71 
337 ........................................ 7.32 
338 ........................................ 8.63 
339 ........................................ 10.77 
340 ........................................ 12.65 
341 ........................................ 13.88 
342 ........................................ 15.03 
343 ........................................ 15.64 
344 ........................................ 16.99 
345 ........................................ 17.98 
346 ........................................ 19.13 
347 ........................................ 18.67 Time (sec) Speed 
(mi/hr) 
348 ........................................ 18.25 
349 ........................................ 18.17 
350 ........................................ 18.40 
351 ........................................ 19.63 
352 ........................................ 20.32 
353 ........................................ 21.43 
354 ........................................ 21.47 
355 ........................................ 21.97 
356 ........................................ 22.27 
357 ........................................ 22.69 
358 ........................................ 23.15 
359 ........................................ 23.69 
360 ........................................ 23.96 
361 ........................................ 24.27 
362 ........................................ 24.34 
363 ........................................ 24.50 
364 ........................................ 24.42 
365 ........................................ 24.38 
366 ........................................ 24.31 
367 ........................................ 24.23 
368 ........................................ 24.69 
369 ........................................ 25.11 
370 ........................................ 25.53 
371 ........................................ 25.38 
372 ........................................ 24.58 
373 ........................................ 23.77 
374 ........................................ 23.54 
375 ........................................ 23.50 
376 ........................................ 24.15 
377 ........................................ 24.30 
378 ........................................ 24.15 
379 ........................................ 23.19 
380 ........................................ 22.50 
381 ........................................ 21.93 
382 ........................................ 21.85 
383 ........................................ 21.55 
384 ........................................ 21.89 
385 ........................................ 21.97 
386 ........................................ 21.97 
387 ........................................ 22.01 
388 ........................................ 21.85 
389 ........................................ 21.62 
390 ........................................ 21.62 
391 ........................................ 22.01 
392 ........................................ 22.81 
393 ........................................ 23.54 
394 ........................................ 24.38 
395 ........................................ 24.80 
396 ........................................ 24.61 
397 ........................................ 23.12 
398 ........................................ 21.62 
399 ........................................ 19.90 
400 ........................................ 18.86 
401 ........................................ 17.79 
402 ........................................ 17.25 
403 ........................................ 16.91 
404 ........................................ 16.75 
405 ........................................ 16.75 
406 ........................................ 16.87 
407 ........................................ 16.37 
408 ........................................ 16.37 
409 ........................................ 16.49 
410 ........................................ 17.21 
411 ........................................ 17.41 
412 ........................................ 17.37 
413 ........................................ 16.87 
414 ........................................ 16.72 
415 ........................................ 16.22 
416 ........................................ 15.76 
417 ........................................ 14.72 
418 ........................................ 13.69 
419 ........................................ 12.00 
420 ........................................ 10.43 
VerDate Sep<11>2014 02:43 Oct 25, 2016 Jkt 241001 PO 00000 Frm 00249 Fmt 4701 Sfmt 4700 E:\FR\FM\25OCR3.SGM 25OCR3srobinson on DSK5SPTVN1PROD with RULES374130 Federal Register / Vol. 81, No. 206 / Tuesday, October 25, 2016 / Rules and Regulations 
Time 
(sec) Speed 
(mi/hr) 
421 ........................................ 8.71 
422 ........................................ 7.44 
423 ........................................ 5.71 
424 ........................................ 4.22 
425 ........................................ 2.30 
426 ........................................ 1.00 
427 ........................................ 0.00 
428 ........................................ 0.61 
429 ........................................ 1.19 
430 ........................................ 1.61 
431 ........................................ 1.53 
432 ........................................ 2.34 
433 ........................................ 4.29 
434 ........................................ 7.25 
435 ........................................ 10.20 
436 ........................................ 12.46 
437 ........................................ 14.53 
438 ........................................ 16.22 
439 ........................................ 17.87 
440 ........................................ 19.74 
441 ........................................ 21.01 
442 ........................................ 22.23 
443 ........................................ 22.62 
444 ........................................ 23.61 
445 ........................................ 24.88 
446 ........................................ 26.15 
447 ........................................ 26.99 
448 ........................................ 27.56 
449 ........................................ 28.18 
450 ........................................ 28.94 
451 ........................................ 29.83 
452 ........................................ 30.78 
453 ........................................ 31.82 
454 ........................................ 32.78 
455 ........................................ 33.24 
456 ........................................ 33.47 
457 ........................................ 33.31 
458 ........................................ 33.08 
459 ........................................ 32.78 
460 ........................................ 32.39 
461 ........................................ 32.13 
462 ........................................ 31.82 
463 ........................................ 31.55 
464 ........................................ 31.25 
465 ........................................ 30.94 
466 ........................................ 30.71 
467 ........................................ 30.56 
468 ........................................ 30.79 
469 ........................................ 31.13 
470 ........................................ 31.55 
471 ........................................ 31.51 
472 ........................................ 31.47 
473 ........................................ 31.44 
474 ........................................ 31.51 
475 ........................................ 31.59 
476 ........................................ 31.67 
477 ........................................ 32.01 
478 ........................................ 32.63 
479 ........................................ 33.39 
480 ........................................ 34.31 
481 ........................................ 34.81 
482 ........................................ 34.20 
483 ........................................ 32.39 
484 ........................................ 30.29 
485 ........................................ 28.56 
486 ........................................ 26.45 
487 ........................................ 24.79 
488 ........................................ 23.12 
489 ........................................ 20.73 
490 ........................................ 18.33 
491 ........................................ 15.72 
492 ........................................ 13.11 
493 ........................................ 10.47 Time (sec) Speed 
(mi/hr) 
494 ........................................ 7.82 
495 ........................................ 5.70 
496 ........................................ 3.57 
497 ........................................ 0.92 
498 ........................................ 0.00 
499 ........................................ 0.00 
500 ........................................ 0.00 
501 ........................................ 0.00 
502 ........................................ 0.00 
503 ........................................ 0.00 
504 ........................................ 0.00 
505 ........................................ 0.00 
506 ........................................ 0.00 
507 ........................................ 0.00 
508 ........................................ 0.00 
509 ........................................ 0.00 
510 ........................................ 0.00 
511 ........................................ 0.00 
512 ........................................ 0.00 
513 ........................................ 0.00 
514 ........................................ 0.00 
515 ........................................ 0.00 
516 ........................................ 0.00 
517 ........................................ 0.00 
518 ........................................ 0.00 
519 ........................................ 0.00 
520 ........................................ 0.00 
521 ........................................ 0.00 
522 ........................................ 0.50 
523 ........................................ 1.50 
524 ........................................ 3.00 
525 ........................................ 4.50 
526 ........................................ 5.80 
527 ........................................ 6.52 
528 ........................................ 6.75 
529 ........................................ 6.44 
530 ........................................ 6.17 
531 ........................................ 6.33 
532 ........................................ 6.71 
533 ........................................ 7.40 
534 ........................................ 7.67 
535 ........................................ 7.33 
536 ........................................ 6.71 
537 ........................................ 6.41 
538 ........................................ 6.60 
539 ........................................ 6.56 
540 ........................................ 5.94 
541 ........................................ 5.45 
542 ........................................ 5.87 
543 ........................................ 6.71 
544 ........................................ 7.56 
545 ........................................ 7.59 
546 ........................................ 7.63 
547 ........................................ 7.67 
548 ........................................ 7.67 
549 ........................................ 7.48 
550 ........................................ 7.29 
551 ........................................ 7.29 
552 ........................................ 7.40 
553 ........................................ 7.48 
554 ........................................ 7.52 
555 ........................................ 7.52 
556 ........................................ 7.48 
557 ........................................ 7.44 
558 ........................................ 7.28 
559 ........................................ 7.21 
560 ........................................ 7.09 
561 ........................................ 7.06 
562 ........................................ 7.29 
563 ........................................ 7.75 
564 ........................................ 8.55 
565 ........................................ 9.09 
566 ........................................ 10.04 Time (sec) Speed 
(mi/hr) 
567 ........................................ 11.12 
568 ........................................ 12.46 
569 ........................................ 13.00 
570 ........................................ 14.26 
571 ........................................ 15.37 
572 ........................................ 17.02 
573 ........................................ 18.17 
574 ........................................ 19.21 
575 ........................................ 20.17 
576 ........................................ 20.66 
577 ........................................ 21.12 
578 ........................................ 21.43 
579 ........................................ 22.66 
580 ........................................ 23.92 
581 ........................................ 25.42 
582 ........................................ 25.53 
583 ........................................ 26.68 
584 ........................................ 28.14 
585 ........................................ 30.06 
586 ........................................ 30.94 
587 ........................................ 31.63 
588 ........................................ 32.36 
589 ........................................ 33.24 
590 ........................................ 33.66 
591 ........................................ 34.12 
592 ........................................ 35.92 
593 ........................................ 37.72 
594 ........................................ 39.26 
595 ........................................ 39.45 
596 ........................................ 39.83 
597 ........................................ 40.18 
598 ........................................ 40.48 
599 ........................................ 40.75 
600 ........................................ 41.02 
601 ........................................ 41.36 
602 ........................................ 41.79 
603 ........................................ 42.40 
604 ........................................ 42.82 
605 ........................................ 43.05 
606 ........................................ 43.09 
607 ........................................ 43.24 
608 ........................................ 43.59 
609 ........................................ 44.01 
610 ........................................ 44.35 
611 ........................................ 44.55 
612 ........................................ 44.82 
613 ........................................ 45.05 
614 ........................................ 45.31 
615 ........................................ 45.58 
616 ........................................ 46.00 
617 ........................................ 46.31 
618 ........................................ 46.54 
619 ........................................ 46.61 
620 ........................................ 46.92 
621 ........................................ 47.19 
622 ........................................ 47.46 
623 ........................................ 47.54 
624 ........................................ 47.54 
625 ........................................ 47.54 
626 ........................................ 47.50 
627 ........................................ 47.50 
628 ........................................ 47.50 
629 ........................................ 47.31 
630 ........................................ 47.04 
631 ........................................ 46.77 
632 ........................................ 45.54 
633 ........................................ 43.24 
634 ........................................ 41.52 
635 ........................................ 39.79 
636 ........................................ 38.07 
637 ........................................ 36.34 
638 ........................................ 34.04 
639 ........................................ 32.45 
VerDate Sep<11>2014 02:43 Oct 25, 2016 Jkt 241001 PO 00000 Frm 00250 Fmt 4701 Sfmt 4700 E:\FR\FM\25OCR3.SGM 25OCR3srobinson on DSK5SPTVN1PROD with RULES374131 Federal Register / Vol. 81, No. 206 / Tuesday, October 25, 2016 / Rules and Regulations 
Time 
(sec) Speed 
(mi/hr) 
640 ........................................ 30.86 
641 ........................................ 28.83 
642 ........................................ 26.45 
643 ........................................ 24.27 
644 ........................................ 22.04 
645 ........................................ 19.82 
646 ........................................ 17.04 
647 ........................................ 14.26 
648 ........................................ 11.52 
649 ........................................ 8.78 
650 ........................................ 7.17 Time (sec) Speed 
(mi/hr) 
651 ........................................ 5.56 
652 ........................................ 3.72 
653 ........................................ 3.38 
654 ........................................ 3.11 
655 ........................................ 2.58 
656 ........................................ 1.66 
657 ........................................ 0.67 
658 ........................................ 0.00 
659 ........................................ 0.00 
660 ........................................ 0.00 
661 ........................................ 0.00 Time (sec) Speed 
(mi/hr) 
662 ........................................ 0.00 
663 ........................................ 0.00 
664 ........................................ 0.00 
665 ........................................ 0.00 
666 ........................................ 0.00 
667 ........................................ 0.00 
668 ........................................ 0.00 
Appendix II to Part 1037—Power Take- 
Off Test Cycle 
Cycle simulation Mode Start time of 
mode Normalized 
pressure, 
circuit 1 (%) Normalized 
pressure, 
circuit 2 (%) 
Utility ................................................................................................................ 0 0 0.0 0.0 
Utility ................................................................................................................ 1 33 80. 5 0.0 
Utility ................................................................................................................ 2 40 0.0  0.0 
Utility ................................................................................................................ 3 145 83 .5 0.0 
Utility ................................................................................................................ 4 289 0. 0 0.0 
Refuse .............................................................................................................. 5 361 0.0 1 3.0 
Refuse .............................................................................................................. 6 363 0.0 3 8.0 
Refuse .............................................................................................................. 7 373 0.0 5 3.0 
Refuse .............................................................................................................. 8 384 0.0 7 3.0 
Refuse .............................................................................................................. 9 388 0.0 0 .0 
Refuse .............................................................................................................. 10 401 0.0 13.0 
Refuse .............................................................................................................. 11 403 0.0 38.0 
Refuse .............................................................................................................. 12 413 0.0 53.0 
Refuse .............................................................................................................. 13 424 0.0 73.0 
Refuse .............................................................................................................. 14 442 11.2  0.0 
Refuse .............................................................................................................. 15 468 29.3  0.0 
Refuse .............................................................................................................. 16 473 0.0 0.0 
Refuse .............................................................................................................. 17 486 11.2  0.0 
Refuse .............................................................................................................. 18 512 29.3  0.0 
Refuse .............................................................................................................. 19 517 0.0 0.0 
Refuse .............................................................................................................. 20 530 12.8  11.1 
Refuse .............................................................................................................. 21 532 12.8  38.2 
Refuse .............................................................................................................. 22 541 12.8  53.4 
Refuse .............................................................................................................. 23 550 12.8  73.5 
Refuse .............................................................................................................. 24 553 0.0 0.0 
Refuse .............................................................................................................. 25 566 12.8  11.1 
Refuse .............................................................................................................. 26 568 12.8  38.2 
Refuse .............................................................................................................. 27 577 12.8  53.4 
Refuse .............................................................................................................. 28 586 12.8  73.5 
Refuse .............................................................................................................. 29 589 0.0 0.0 
Refuse .............................................................................................................. 30 600 0.0 0.0 
Appendix III to Part 1037—Emission Control Identifiers 
This appendix identifies abbreviations for 
emission control information labels, as 
required under § 1037.135. 
Vehicle Speed Limiters —VSL—Vehicle speed limiter 
—VSLS—‘‘Soft-top’’ vehicle speed limiter —VSLE—Expiring vehicle speed limiter —VSLD—Vehicle speed limiter with both 
‘‘soft-top’’ and expiration 
Idle Reduction Technology 
—IRT5—Engine shutoff after 5 minutes or 
less of idling 
—IRTE—Expiring engine shutoff Tires —LRRA—Low rolling resistance tires (all, 
including trailers) 
—LRRD—Low rolling resistance tires (drive) 
—LRRS—Low rolling resistance tires (steer) Aerodynamic Components 
—ATS—Aerodynamic side skirt and/or fuel 
tank fairing 
—ARF—Aerodynamic roof fairing 
—ARFR—Adjustable height aerodynamic 
roof fairing 
—TGR—Gap reducing tractor fairing (tractor 
to trailer gap) 
—TGRT—Gap reducing trailer fairing (tractor 
to trailer gap) 
—TATS—Trailer aerodynamic side skirt —TARF—Trailer aerodynamic rear fairing —TAUD—Trailer aerodynamic underbody 
device 
Other Components 
—ADVH—Vehicle includes advanced hybrid 
technology components 
—ADVO—Vehicle includes other advanced- 
technology components (i.e., non-hybrid 
system) 
—INV—Vehicle includes innovative (off- 
cycle) technology components —ATI—Automatic tire inflation system 
—TPMS—Tire pressure monitoring system —WRTW—Weight-reducing trailer wheels —WRTC—Weight-reducing trailer upper 
coupler plate 
—WRTS—Weight-reducing trailer axle sub- 
frames 
—WBSW—Wide-base single trailer tires with 
steel wheel 
—WBAW—Wide-base single trailer tires with 
aluminum wheel 
—WBLW—Wide-base single trailer tires with 
light-weight aluminum alloy wheel 
—DWSW—Dual-wide trailer tires with steel 
wheel 
—DWAW—Dual-wide trailer tires with 
aluminum wheel 
—DWLW—Dual-wide trailer tires with light- 
weight aluminum alloy wheel 
VerDate Sep<11>2014 02:43 Oct 25, 2016 Jkt 241001 PO 00000 Frm 00251 Fmt 4701 Sfmt 4700 E:\FR\FM\25OCR3.SGM 25OCR3srobinson on DSK5SPTVN1PROD with RULES374132 Federal Register / Vol. 81, No. 206 / Tuesday, October 25, 2016 / Rules and Regulations 
Appendix IV to Part 1037—Heavy-Duty 
Grade Profile for Phase 2 Steady-State Test Cycles 
The following table identifies a grade 
profile for operating vehicles over the 
highway cruise cycles specified in subpart F of this part. Determine intermediate values by linear interpolation. 
Distance 
(m) Grade 
(%) 
0 ............................................ 0 
808 ........................................ 0 
820 ........................................ ¥0.1 
832 ........................................ 0 
842 ........................................ 0 
892 ........................................ 0.36 
942 ........................................ 0 
952 ........................................ 0 
1006 ...................................... ¥0.28 
1102 ...................................... ¥1.04 
1198 ...................................... ¥0.28 
1252 ...................................... 0 
1264 ...................................... 0 
1390 ...................................... 0.39 
1458 ...................................... 0.66 
1534 ...................................... 1.15 
1696 ...................................... 2.44 
1858 ...................................... 1.15 
1934 ...................................... 0.66 
2002 ...................................... 0.39 
2128 ...................................... 0 
2146 ...................................... 0 
2330 ...................................... ¥0.46 
2398 ...................................... ¥0.69 
2478 ...................................... ¥1.08 
2546 ...................................... ¥1.53 
2698 ...................................... ¥2.75 
2850 ...................................... ¥1.53 
2918 ...................................... ¥1.08 
2998 ...................................... ¥0.69 
3066 ...................................... ¥0.46 
3250 ...................................... 0 
3264 ...................................... 0 
3340 ...................................... 0.35 
3416 ...................................... 0.9 
3502 ...................................... 1.59 
3588 ...................................... 0.9 
3664 ...................................... 0.35 
3740 ...................................... 0 
3756 ...................................... 0 
3822 ...................................... ¥0.1 
4094 ...................................... ¥0.69 
4176 ...................................... ¥0.97 
4262 ...................................... ¥1.36 
4330 ...................................... ¥1.78 
4514 ...................................... ¥3.23 
4698 ...................................... ¥1.78 
4766 ...................................... ¥1.36 
4852 ...................................... ¥0.97 
4934 ...................................... ¥0.69 
5206 ...................................... ¥0.1 
5272 ...................................... 0 
5322 ...................................... 0 
5406 ...................................... 0.1 
5498 ...................................... 0.17 
5720 ...................................... 0.38 
5912 ...................................... 0.58 
6052 ...................................... 0.77 
6226 ...................................... 1.09 
6312 ...................................... 1.29 
6436 ...................................... 1.66 
6562 ...................................... 2.14 
6638 ...................................... 2.57 Distance 
(m) Grade 
(%) 
6710 ...................................... 3 
6762 ...................................... 3.27 
6800 ...................................... 3.69 
6890 ...................................... 5.01 
6980 ...................................... 3.69 
7018 ...................................... 3.27 
7070 ...................................... 3 
7142 ...................................... 2.57 
7218 ...................................... 2.14 
7344 ...................................... 1.66 
7468 ...................................... 1.29 
7554 ...................................... 1.09 
7728 ...................................... 0.77 
7868 ...................................... 0.58 
8060 ...................................... 0.38 
8282 ...................................... 0.17 
8374 ...................................... 0.1 
8458 ...................................... 0 
8502 ...................................... 0 
8608 ...................................... ¥0.38 
8668 ...................................... ¥0.69 
8852 ...................................... ¥2.13 
9036 ...................................... ¥0.69 
9096 ...................................... ¥0.38 
9202 ...................................... 0 
9214 ...................................... 0 
9262 ...................................... 0.26 
9316 ...................................... 0.7 
9370 ...................................... 0.26 
9418 ...................................... 0 
9428 ...................................... 0 
9496 ...................................... ¥0.34 
9622 ...................................... ¥1.33 
9748 ...................................... ¥0.34 
9816 ...................................... 0 
9826 ...................................... 0 
9914 ...................................... 0.37 
9968 ...................................... 0.7 
10112 .................................... 1.85 
10256 .................................... 0.7 
10310 .................................... 0.37 
10398 .................................... 0 
10410 .................................... 0 
10498 .................................... ¥0.37 
10552 .................................... ¥0.7 
10696 .................................... ¥1.85 
10840 .................................... ¥0.7 
10894 .................................... ¥0.37 
10982 .................................... 0 
10992 .................................... 0 
11060 .................................... 0.34 
11186 .................................... 1.33 
11312 .................................... 0.34 
11380 .................................... 0 
11390 .................................... 0 
11438 .................................... ¥0.26 
11492 .................................... ¥0.7 
11546 .................................... ¥0.26 
11594 .................................... 0 
11606 .................................... 0 
11712 .................................... 0.38 
11772 .................................... 0.69 
11956 .................................... 2.13 
12140 .................................... 0.69 
12200 .................................... 0.38 
12306 .................................... 0 
12350 .................................... 0 
12434 .................................... ¥0.1 
12526 .................................... ¥0.17 
12748 .................................... ¥0.38 
12940 .................................... ¥0.58 
13080 .................................... ¥0.77 
13254 .................................... ¥1.09 Distance 
(m) Grade 
(%) 
13340 .................................... ¥1.29 
13464 .................................... ¥1.66 
13590 .................................... ¥2.14 
13666 .................................... ¥2.57 
13738 .................................... ¥3 
13790 .................................... ¥3.27 
13828 .................................... ¥3.69 
13918 .................................... ¥5.01 
14008 .................................... ¥3.69 
14046 .................................... ¥3.27 
14098 .................................... ¥3 
14170 .................................... ¥2.57 
14246 .................................... ¥2.14 
14372 .................................... ¥1.66 
14496 .................................... ¥1.29 
14582 .................................... ¥1.09 
14756 .................................... ¥0.77 
14896 .................................... ¥0.58 
15088 .................................... ¥0.38 
15310 .................................... ¥0.17 
15402 .................................... ¥0.1 
15486 .................................... 0 
15536 .................................... 0 
15602 .................................... 0.1 
15874 .................................... 0.69 
15956 .................................... 0.97 
16042 .................................... 1.36 
16110 .................................... 1.78 
16294 .................................... 3.23 
16478 .................................... 1.78 
16546 .................................... 1.36 
16632 .................................... 0.97 
16714 .................................... 0.69 
16986 .................................... 0.1 
17052 .................................... 0 
17068 .................................... 0 
17144 .................................... ¥0.35 
17220 .................................... ¥0.9 
17306 .................................... ¥1.59 
17392 .................................... ¥0.9 
17468 .................................... ¥0.35 
17544 .................................... 0 
17558 .................................... 0 
17742 .................................... 0.46 
17810 .................................... 0.69 
17890 .................................... 1.08 
17958 .................................... 1.53 
18110 .................................... 2.75 
18262 .................................... 1.53 
18330 .................................... 1.08 
18410 .................................... 0.69 
18478 .................................... 0.46 
18662 .................................... 0 
18680 .................................... 0 
18806 .................................... ¥0.39 
18874 .................................... ¥0.66 
18950 .................................... ¥1.15 
19112 .................................... ¥2.44 
19274 .................................... ¥1.15 
19350 .................................... ¥0.66 
19418 .................................... ¥0.39 
19544 .................................... 0 
19556 .................................... 0 
19610 .................................... 0.28 
19706 .................................... 1.04 
19802 .................................... 0.28 
19856 .................................... 0 
19866 .................................... 0 
19916 .................................... ¥0.36 
19966 .................................... 0 
19976 .................................... 0 
19988 .................................... 0.1 
20000 .................................... 0 
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Distance 
(m) Grade 
(%) 
20808 .................................... 0 
Appendix V to Part 1037—Power Take- 
Off Utility Factors 
Time 
(min) Utility 
factor 
fraction 
0 ............................................ 0 
10 .......................................... 0.1 
20 .......................................... 0.18 
30 .......................................... 0.24 
40 .......................................... 0.31 
50 .......................................... 0.36 
60 .......................................... 0.4 
70 .......................................... 0.44 
80 .......................................... 0.47 
90 .......................................... 0.51 
100 ........................................ 0.54 
110 ........................................ 0.57 
120 ........................................ 0.6 
130 ........................................ 0.64 
140 ........................................ 0.66 
150 ........................................ 0.69 
160 ........................................ 0.71 
170 ........................................ 0.74 
180 ........................................ 0.76 
190 ........................................ 0.77 
200 ........................................ 0.79 
210 ........................................ 0.8 
220 ........................................ 0.82 
230 ........................................ 0.83 
240 ........................................ 0.85 
250 ........................................ 0.86 
260 ........................................ 0.87 
270 ........................................ 0.88 
280 ........................................ 0.88 
290 ........................................ 0.89 
300 ........................................ 0.9 
310 ........................................ 0.9 
320 ........................................ 0.91 
330 ........................................ 0.92 
340 ........................................ 0.93 
350 ........................................ 0.93 
360 ........................................ 0.94 
370 ........................................ 0.95 
380 ........................................ 0.95 
390 ........................................ 0.96 
420 ........................................ 0.96 
430 ........................................ 0.97 
460 ........................................ 0.97 
470 ........................................ 0.98 
520 ........................................ 0.98 
530 ........................................ 0.99 
580 ........................................ 0.99 
590 ........................................ 1 
PART 1039—CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-IGNITION ENGINES 
■139. The authority citation for part 
1039 continues to read as follows: 
Authority: 42 U.S.C. 7401–7671q. 
Subpart A—Overview and Applicability 
■140. Section 1039.2 is revised to read 
as follows: § 1039.2 Who is responsible for 
compliance? 
The regulations in this part 1039 
contain provisions that affect both 
manufacturers and others. However, the requirements of this part are generally addressed to the manufacturer. The term ‘‘you’’ generally means the manufacturer, as defined in § 1039.801, especially for issues related to certification. Note that for engines that become new after being placed into service (such as engines converted from highway or stationary use), the requirements that normally apply for manufacturers of freshly manufactured engines apply to the importer or any other entity we allow to obtain a certificate of conformity. 
■141. Section 1039.5 is amended by 
revising the introductory text, adding paragraph (a)(2)(iii), and revising paragraph (e) to read as follows: 
§ 1039.5 Which engines are excluded from 
this part’s requirements? 
This part does not apply to certain 
nonroad engines, as follows: 
(a) * * * 
(2) * * * (iii) Locomotive engines produced 
under the provisions of 40 CFR 
1033.625. 
* * * * * 
(e) Engines used in recreational 
vehicles. Engines certified to meet the 
requirements of 40 CFR part 1051 are 
not subject to the provisions of this part 1039. 
■142. Section 1039.30 is revised to read 
as follows: 
§ 1039.30 Submission of information. 
Unless we specify otherwise, send all 
reports and requests for approval to the Designated Compliance Officer (see § 1039.801). See § 1039.825 for additional reporting and recordkeeping provisions. 
Subpart B—Emission Standards and 
Related Requirements 
■143. Section 1039.101 is amended by 
revising paragraph (f) to read as follows: 
§ 1039.101 What exhaust emission 
standards must my engines meet after the 2014 model year? 
* * * * * 
(f) Fuel types. The exhaust emission 
standards in this section apply for 
engines using the fuel type on which the engines in the engine family are designed to operate, except for engines certified under § 1039.615. For engines certified under § 1039.615, the standards of this section apply to emissions measured using the specified test fuel. You must meet the numerical emission standards for NMHC in this section based on the following types of hydrocarbon emissions for engines powered by the following fuels: 
(1) Alcohol-fueled engines: THCE 
emissions. 
(2) Gaseous-fueled engines: 
Nonmethane-nonethane hydrocarbon emissions. 
(3) Other engines: NMHC emissions. 
* * * * * 
■144. Section 1039.102 is amended by 
revising paragraph (e)(3) to read as follows: 
§ 1039.102 What exhaust emission 
standards and phase-in allowances apply for my engines in model year 2014 and earlier? 
* * * * * 
(e) * * * 
(3) You may use NO X+NMHC 
emission credits to certify an engine family to the alternate NO
X+NMHC 
standards in this paragraph (e)(3) instead of the otherwise applicable alternate NO
Xand NMHC standards. 
Calculate the alternate NO X+NMHC 
standard by adding 0.1 g/kW-hr to the numerical value of the applicable alternate NO
Xstandard of paragraph 
(e)(1) or (2) of this section. Engines certified to the NO
X+NMHC standards 
of this paragraph (e)(3) may not generate emission credits. The FEL caps for engine families certified under this paragraph (e)(3) are the previously applicable NO
X+NMHC standards of 40 
CFR 89.112 (generally the Tier 3 standards). 
* * * * * 
■145. Section 1039.104 is amended by 
revising paragraph (g)(5) and adding 
paragraph (i) to read as follows: 
§ 1039.104 Are there interim provisions 
that apply only for a limited time? 
* * * * * 
(g) * * * 
(5) You may certify engines under this 
paragraph (g) in any model year provided for in Table 1 of this section without regard to whether or not the engine family’s FEL is at or below the otherwise applicable FEL cap. For example, a 200 kW engine certified to the NO
X+ NMHC standard of 
§ 1039.102(e)(3) with an FEL equal to the FEL cap of 4.0 g/kW-hr may nevertheless be certified under this paragraph (g). 
* * * * * 
(i) Lead time for diagnostic controls. 
Model year 2017 and earlier engines are 
not subject to the requirements for diagnostic controls as specified in § 1039.110. 
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■146. Section 1039.107 is amended by 
revising paragraph (b)(2) to read as 
follows: 
§ 1039.107 What evaporative emission 
standards and requirements apply? 
* * * * * 
(b) * * * 
(2) Present test data to show that 
equipment using your engines meets the 
evaporative emission standards we specify in this section if you do not use design-based certification under 40 CFR 1048.245. 
■147. Section 1039.110 is added to 
subpart B to read as follows: 
§ 1039.110 Recording reductant use and 
other diagnostic functions. 
(a) Engines equipped with SCR 
systems using a reductant other than the 
engine’s fuel must have a diagnostic system that monitors reductant quality and tank levels and alert operators to the need to refill the reductant tank before it is empty, or to replace the reductant if it does not meet your concentration specifications. Unless we approve other alerts, use a warning lamp or an audible alarm. You do not need to separately monitor reductant quality if your system uses input from an exhaust NO
Xsensor (or other sensor) 
to alert operators when reductant quality is inadequate. However, tank level must be monitored in all cases. 
(b) You may equip your engine with 
other diagnostic features. If you do, they must be designed to allow us to read and interpret the codes. Note that § 1039.205 requires you to provide us any information needed to read, record, and interpret all the information broadcast by an engine’s onboard computers and electronic control units. 
■148. Section 1039.120 is amended by 
revising paragraph (b) introductory text to read as follows: 
§ 1039.120 What emission-related warranty 
requirements apply to me? 
* * * * * 
(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 hours of operation and years, whichever comes first. You may offer an emission- related warranty more generous than we require. The emission-related warranty for the engine may not be shorter than any basic mechanical warranty you provide without charge for the engine. Similarly, the emission-related warranty for any component may not be shorter than any warranty you provide without charge for that component. This means that your warranty may not treat emission-related and nonemission- related defects differently for any component. If an engine has no hour meter, we base the warranty periods in this paragraph (b) only on the engine’s age (in years). The warranty period begins when the engine is placed into service. The minimum warranty periods are shown in the following table: 
* * * * * 
■149. Section 1039.125 is amended by 
revising paragraphs (a)(2)(i), (a)(3)(i), 
(a)(4), (c), (e), and (f) introductory text to read as follows: 
§ 1039.125 What maintenance instructions 
must I give to buyers? 
* * * * * 
(a) * * * 
(2) * * * (i) For EGR-related filters and coolers, 
DEF filters, crankcase ventilation valves 
and filters, and fuel injector tips (cleaning only), the minimum interval is 1,500 hours. 
* * * * * 
(3) * * * 
(i) For EGR-related filters and coolers, 
DEF filters, crankcase ventilation valves 
and filters, and fuel injector tips (cleaning only), the minimum interval is 1,500 hours. 
* * * * * 
(4) For particulate traps, trap 
oxidizers, and components related to 
either of these, scheduled maintenance may include cleaning or repair at the intervals specified in paragraph (a)(2)(ii) or (a)(3)(ii) of this section, as applicable. Scheduled maintenance may include a shorter interval for cleaning or repair and may also include adjustment or replacement, but only if we approve it. We will approve your request if you provide the maintenance free of charge and clearly state this in your maintenance instructions, and you provide us additional information as needed to convince us that the maintenance will occur. 
* * * * * 
(c) Special maintenance. You may 
specify more frequent maintenance to 
address problems related to special situations, such as atypical engine operation. You must clearly state that this additional maintenance is associated with the special situation you are addressing. You may also address maintenance of low-use engines (such as recreational or stand-by engines) by specifying the maintenance interval in terms of calendar months or years in addition to your specifications in terms of engine operating hours. All special maintenance instructions must be consistent with good engineering judgment. We may disapprove your maintenance instructions if we determine that you have specified special maintenance steps to address maintenance that is unlikely to occur in use, or engine operation that is not atypical. For example, this paragraph (c) does not allow you to design engines that require special maintenance for a certain type of expected operation. If we determine that certain maintenance items do not qualify as special maintenance under this paragraph (c), you may identify this as recommended additional maintenance under paragraph (b) of this section. 
* * * * * 
(e) Maintenance that is not emission- 
related. For maintenance unrelated to 
emission controls, you may schedule 
any amount of inspection or maintenance. You may also take these inspection or maintenance steps during service accumulation on your emission- data engines, as long as they are reasonable and technologically necessary. This might include adding engine oil, changing air, fuel, or oil filters, servicing engine-cooling systems or fuel-water separator cartridges or elements, and adjusting idle speed, governor, engine bolt torque, valve lash, or injector lash. You may not perform this nonemission-related maintenance on emission-data engines more often than the least frequent intervals that you recommend to the ultimate purchaser. 
(f) Source of parts and repairs. State 
clearly in your written maintenance instructions that a repair shop or person of the owner’s choosing may maintain, replace, or repair emission-control devices and systems. Your instructions may not require components or service identified by brand, trade, or corporate name. Also, do not directly or indirectly condition your warranty on a requirement that the engine be serviced by your franchised dealers or any other service establishments with which you have a commercial relationship. You may disregard the requirements in this paragraph (f) if you do one of two things: 
* * * * * 
■150. Section 1039.130 is amended by 
adding paragraph (b)(4) and revising 
paragraph (b)(5) to read as follows: 
§ 1039.130 What installation instructions 
must I give to equipment manufacturers? 
* * * * * 
(b) * * * 
(4) Describe any necessary steps for 
installing the diagnostic system 
described in § 1039.110. 
(5) Describe how your certification is 
limited for any type of application. For example, if your engines are certified only for constant-speed operation, tell 
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equipment manufacturers not to install 
the engines in variable-speed applications. 
* * * * * 
■151. Section 1039.135 is amended by 
revising paragraphs (b), (c)(2), and (d) to 
read as follows: 
§ 1039.135 How must I label and identify 
the engines I produce? 
* * * * * 
(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) * * * 
(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. 
* * * * * 
(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 (such as international standards), as long as this does not cause you to omit any of the information described in paragraphs (c)(5) through (10) of this section. 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. 
* * * * * 
Subpart C—Certifying Engine Families 
■152. Section 1039.201 is amended by 
revising paragraphs (a) and (g) to read as 
follows: 
§ 1039.201 What are the general 
requirements for obtaining a certificate of conformity? 
(a) You must send us a separate 
application for a certificate of 
conformity for each engine family. A certificate of conformity is valid for new production from the indicated effective date until the end of the model year for which it is issued, which may not extend beyond December 31 of that year. No new certificate will be issued after December 31 of the model year. You may amend your application for certification after the end of the model year in certain circumstances as described in §§ 1039.220 and 1039.225. You must renew your certification annually for any engines you continue to produce. 
* * * * * 
(g) We may require you to deliver 
your test engines to a facility we 
designate for our testing (see § 1039.235(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. 
* * * * * 
■153. Section 1039.205 is amended by 
revising paragraph (r)(1) and adding 
paragraph (bb) to read as follows: 
§ 1039.205 What must I include in my 
application? 
* * * * * 
(r) * * * 
(1) Report all valid test results 
involving measurement of pollutants for 
which emission standards apply. Also 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. We may ask you to send other information to confirm that your tests were valid under the requirements of this part and 40 CFR part 1065. 
* * * * * 
(bb) For imported engines or 
equipment, identify the following: 
(1) Describe your normal practice for 
importing engines. For example, this 
may include identifying the names and addresses of any agents you have authorized to import your engines. 
(2) For engines below 560 kW, 
identify 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. 
■154. Section 1039.220 is amended by 
revising the section heading as to read as follows: 
§ 1039.220 How do I amend my 
maintenance instructions? 
* * * * * 
■155. Section 1039.225 is amended by 
adding paragraphs (b)(4) and (g) to read 
as follows: 
§ 1039.225 How do I amend my application 
for certification? 
* * * * * 
(b) * * * (4) Include any other information 
needed to make your application correct 
and complete. 
* * * * * 
(g) You may produce engines as 
described in your amended application 
for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration during the model year under paragraph (d) of this section. Similarly, you may modify in-use engines as described in your amended application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration at any time under paragraph (d) of this section. Modifying a new or in-use engine to be in a certified configuration does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve changing to a certified configuration with a higher family emission limit. 
■156. Section 1039.230 is amended by 
revising paragraph (b)(1) to read as follows: 
§ 1039.230 How do I select engine 
families? 
* * * * * 
(b) * * * 
(1) The combustion cycle and fuel. 
However, you do not need to separate dual-fuel and flexible-fuel engines into separate engine families. 
* * * * * 
■157. Section 1039.235 is amended by 
revising paragraphs (a), (b), (c) 
introductory text, (c)(4), and (d)(1) to read as follows: 
§ 1039.235 What testing requirements 
apply for certification? 
* * * * * 
(a) Select an emission-data engine 
from each engine family for testing. 
Select the engine configuration with the highest volume of fuel injected per cylinder per combustion cycle at the point of maximum torque—unless good engineering judgment indicates that a different engine configuration is more likely to exceed (or have emissions 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. 
(b) Test your emission-data engines 
using the procedures and equipment 
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specified in subpart F of this part. In the 
case of dual-fuel engines, measure emissions when operating with each type of fuel for which you intend to certify the engine. In the case of flexible- fuel engines, measure emissions when operating with the fuel mixture that best represents in-use operation or is most likely to have the highest NO
X 
emissions (or NO X+NMHC emissions for 
engines subject to NO X+NMHC 
standards), though you may ask us instead to perform tests with both fuels separately if you can show that intermediate mixtures are not likely to occur in use. 
(c) We may perform confirmatory 
testing by measuring emissions from any of your emission-data engines or other engines from the engine family, as follows: 
* * * * * 
(4) Before we test one of your engines, 
we may calibrate it within normal 
production tolerances for anything we do not consider an adjustable parameter. For example, this would apply for an engine parameter that is subject to production variability because it is adjustable during production, but is not considered an adjustable parameter (as defined in § 1039.801) because it is permanently sealed. For parameters that relate to a level of performance that is itself subject to a specified range (such as maximum power output), we will generally perform any calibration under this paragraph (c)(4) in a way that keeps performance within the specified range. 
(d) * * * (1) The engine family from the 
previous model year differs from the current engine family only with respect to model year, items identified in § 1039.225(a), or other characteristics unrelated to emissions. We may waive this criterion for differences we determine not to be relevant. 
* * * * * 
■158. Section 1039.240 is amended by 
revising paragraphs (c) and (d) and 
removing paragraph (e). 
The revisions read as follows: 
§ 1039.240 How do I demonstrate that my 
engine family complies with exhaust emission standards? 
* * * * * 
(c) To compare emission levels from 
the emission-data engine with the 
applicable emission standards, apply deterioration factors to the measured emission levels for each pollutant. Section 1039.245 specifies how to test your engine to develop deterioration factors that represent the deterioration expected in emissions over your engines’ full useful life. Your deterioration factors must take into 
account any available data from in-use testing with similar engines. Small- volume engine manufacturers may use assigned deterioration factors that we establish. Apply deterioration factors as follows: 
(1) Additive deterioration factor for 
exhaust emissions. Except as specified in paragraph (c)(2) of this section, use an additive deterioration factor for exhaust emissions. An additive deterioration factor is the difference between exhaust emissions at the end of the useful life and exhaust emissions at the low-hour test point. In these cases, adjust the official emission results for each tested engine at the selected test point by adding the factor to the measured emissions. If the factor is less than zero, use zero. Additive deterioration factors must be specified to one more decimal place than the applicable standard. 
(2) Multiplicative deterioration factor 
for exhaust emissions. Use a multiplicative deterioration factor if good engineering judgment calls for the deterioration factor for a pollutant to be the ratio of exhaust emissions at the end of the useful life to exhaust emissions at the low-hour test point. For example, if you use aftertreatment technology that controls emissions of a pollutant proportionally to engine-out emissions, it is often appropriate to use a multiplicative deterioration factor. Adjust the official emission results for each tested engine at the selected test point by multiplying the measured emissions by the deterioration factor. If the factor is less than one, use one. A multiplicative deterioration factor may not be appropriate in cases where testing variability is significantly greater than engine-to-engine variability. Multiplicative deterioration factors must be specified to one more significant figure than the applicable standard. 
(3) 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 emissions over the useful life will occur between these two points. 
For example, emissions may increase with service accumulation until a certain maintenance step is performed, then return to the low-hour emission levels and begin increasing again. Base deterioration factors for engines with such emission patterns on the difference between (or ratio of) the point at which the highest emissions occur and the low-hour test point. Note that this applies for maintenance-related deterioration only where we allow such critical emission-related maintenance. 
(4) Deterioration factor for smoke. 
Deterioration factors for smoke are always additive, as described in paragraph (c)(1) of this section. 
(5) Deterioration factor for crankcase 
emissions. If your engine vents 
crankcase emissions to the exhaust or to the atmosphere, you must account for crankcase emission deterioration, using good engineering judgment. You may use separate deterioration factors for crankcase emissions of each pollutant (either multiplicative or additive) or include the effects in combined deterioration factors that include exhaust and crankcase emissions together for each pollutant. 
(6) 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. 
(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. In the case of NO
X+NMHC standards, 
apply the deterioration factor to each pollutant and then add the results before rounding. 
■159. Section 1039.250 is amended by 
revising paragraphs (b)(3)(iv) and (c) to read as follows: 
§ 1039.250 What records must I keep and 
what reports must I send to EPA? 
* * * * * 
(b) * * * 
(3) * * * (iv) All your emission tests, including 
the date and purpose of each test and 
documentation of test parameters as specified in part 40 CFR part 1065. 
* * * * * 
(c) Keep required data from emission 
tests and all other information specified 
in this section for eight years after we issue your certificate. If you use the same emission data or other information for a later model year, the eight-year 
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period restarts with each year that you 
continue to rely on the information. 
* * * * * 
■160. Section 1039.255 is amended by 
revising paragraphs (c)(2) and (4), (d), 
and (e) to read as follows: 
§ 1039.255 What decisions may EPA make 
regarding my certificate of conformity? 
* * * * * 
(c) * * * 
(2) Submit false or incomplete 
information (paragraph (e) of this section applies if this is fraudulent). This includes doing anything after submission of your application to render any of the submitted information false or incomplete. 
* * * * * 
(4) Deny us from completing 
authorized activities (see 40 CFR 
1068.20). This includes a failure to provide reasonable assistance. 
* * * * * 
(d) We may void the certificate of 
conformity for an engine family if you 
fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2). 
(e) We may void your certificate if we 
find that you intentionally submitted false or incomplete information. This includes rendering submitted information false or incomplete after submission. 
* * * * * 
Subpart F—Test Procedures 
■161. Section 1039.501 is amended by 
revising paragraphs (a), (e), (f), and (g) 
and adding paragraph (h) to read as follows: 
§ 1039.501 How do I run a valid emission 
test? 
(a) Use the equipment and procedures 
for compression-ignition engines in 40 
CFR part 1065 to determine whether engines meet the duty-cycle emission standards in subpart B of this part. Measure the emissions of all the exhaust constituents subject to emission standards as specified in 40 CFR part 1065. Measure CO
2, N2O, and CH 4as 
described in § 1039.235. Use the applicable duty cycles specified in §§ 1039.505 and 1039.510. 
* * * * * 
(e) The following provisions apply for 
engines using aftertreatment technology 
with infrequent regeneration events that may occur during testing: 
(1) Adjust measured emissions to 
account for aftertreatment technology with infrequent regeneration as described in § 1039.525. (2) If your engine family includes 
engines with one or more emergency 
AECDs approved under § 1039.115(g)(4) or (5), do not consider additional regenerations resulting from those AECDs when developing adjustments to measured values under this paragraph (e). 
(3) Invalidate a smoke test if active 
regeneration starts to occur during the test. 
(f) You may disable any AECDs that 
have been approved solely for emergency equipment applications under § 1039.115(g)(4). Note that the emission standards do not apply when any of these AECDs are active. 
(g) You may use special or alternate 
procedures to the extent we allow them under 40 CFR 1065.10. 
(h) 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. 
■162. Section 1039.505 is amended by 
revising paragraph (b)(2) to read as follows: 
§ 1039.505 How do I test engines using 
steady-state duty cycles, including ramped- modal testing? 
* * * * * 
(b) * * * 
(2) Use the 6-mode duty cycle or the 
corresponding ramped-modal cycle 
described in paragraph (b) of Appendix II of this part for variable-speed engines below 19 kW. You may instead use the 8-mode duty cycle or the corresponding 
ramped-modal cycle described in paragraph (c) of Appendix II of this part if some engines from your engine family will be used in applications that do not involve governing to maintain engine operation around rated speed. 
* * * * * 
■163. Section 1039.515 is amended by 
revising paragraph (a) to read as follows: 
§ 1039.515 What are the test procedures 
related to not-to-exceed standards? 
(a) General provisions. The provisions 
in 40 CFR 86.1370 apply for 
determining whether an engine meets the not-to-exceed emission standards in § 1039.101(e), except as noted in this section. Interpret references to vehicles and vehicle operation to mean equipment and equipment operation. 
* * * * * 
■164. Section 1039.525 is revised to 
read as follows: § 1039.525 How do I adjust emission levels 
to account for infrequently regenerating aftertreatment devices? 
For engines using aftertreatment 
technology with infrequent regeneration 
events that may occur during testing, take one of the following approaches to account for the emission impact of regeneration: 
(a) You may use the calculation 
methodology described in 40 CFR 1065.680 to adjust measured emission results. Do this by developing an upward adjustment factor and a downward adjustment factor for each pollutant based on measured emission data and observed regeneration frequency as follows: 
(1) Adjustment factors should 
generally apply to an entire engine family, but you may develop separate adjustment factors for different configurations within an engine family. Use the adjustment factors from this section for all testing for the engine family. 
(2) You may use carryover or carry- 
across data to establish adjustment factors for an engine family as described in § 1039.235, consistent with good engineering judgment. 
(3) For engines that are required to 
certify to both transient and steady-state duty cycles, calculate a separate adjustment factor for steady-state and transient operation. 
(b) You may ask us to approve an 
alternate methodology to account for regeneration events. We will generally limit approval to cases where your engines use aftertreatment technology with extremely infrequent regeneration and you are unable to apply the provisions of this section. 
(c) You may choose to make no 
adjustments to measured emission results if you determine that regeneration does not significantly affect emission levels for an engine family (or configuration) or if it is not practical to identify when regeneration occurs. If you choose not to make adjustments under paragraph (a) or (b) of this section, your engines must meet emission standards for all testing, without regard to regeneration. 
Subpart G—Special Compliance 
Provisions 
■165. Section 1039.601 is revised to 
read as follows: 
§ 1039.601 What compliance provisions 
apply? 
(a) Engine and equipment 
manufacturers, as well as owners, 
operators, and rebuilders of engines subject to the requirements of this part, 
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and all other persons, must observe the 
provisions of this part, the requirements and prohibitions in 40 CFR part 1068, and the provisions of the Act. 
(b) Subpart C of this part describes 
how to test and certify dual-fuel and flexible-fuel engines. Some multi-fuel engines may not fit either of those defined terms. For such engines, we will determine whether it is most appropriate to treat them as single-fuel engines, dual-fuel engines, or flexible- fuel engines based on the range of possible and expected fuel mixtures. For example, an engine might burn natural gas but initiate combustion with a pilot injection of diesel fuel. If the engine is designed to operate with a single fueling algorithm (i.e., fueling rates are fixed at 
a given engine speed and load condition), we would generally treat it as a single-fuel engine, In this context, the combination of diesel fuel and natural gas would be its own fuel type. If the engine is designed to also operate on diesel fuel alone, we would generally treat it as a dual-fuel engine. If the engine is designed to operate on varying mixtures of the two fuels, we would generally treat it as a flexible-fuel engine. To the extent that requirements vary for the different fuels or fuel mixtures, we may apply the more stringent requirements. 
■166. Section 1039.605 is amended by 
revising paragraphs (b), (d)(5), and (d)(8) to read as follows: 
§ 1039.605 What provisions apply to 
engines certified under the motor-vehicle program? 
* * * * * 
(b) Equipment-manufacturer 
provisions. If you are not an engine 
manufacturer, you may install motor- 
vehi cle engines certified for the appropriate model year under 40 CFR part 86 in nonroad equipment as long as you meet all the requirements and conditions specified in paragraph (d) of this section. You must also add the fuel- inlet label we specify in § 1039.135(e). If you modify the motor-vehicle engine in any of the ways described in paragraph (d)(2) of this section, we will consider you a manufacturer of a new nonroad engine. Such engine modifications prevent you from using the provisions of this section. 
* * * * * 
(d) * * * 
(5) You must add a permanent 
supplemental label to the engine in a 
position where it will remain clearly visible after installation in the equipment. In the supplemental label, do the following: (i) Include the heading: ‘‘NONROAD 
ENGINE EMISSION CONTROL INFORMATION’’. 
(ii) 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. 
(iii) State: ‘‘THIS ENGINE WAS 
ADAPTED FOR NONROAD USE WITHOUT AFFECTING ITS EMISSION CONTROLS. THE EMISSION– CONTROL SYSTEM DEPENDS ON THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR–VEHICLE APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF FEDERAL LAW.’’ 
(iv) State the date you finished 
modifying the engine (month and year), if applicable. 
* * * * * 
(8) Send the Designated Compliance 
Officer written notification describing 
your plans before using the provisions of this section. In addition, by February 28 of each calendar year (or less often if we tell you), send the Designated Compliance Oficer a signed letter with all the following information: 
(i) Identify your full corporate name, 
address, and telephone number. 
(ii) List the engine or equipment 
models for which you used this exemption in the previous year and describe your basis for meeting the sales restrictions of paragraph (d)(3) of this section. 
(iii) State: ‘‘We prepared each listed 
[engine or equipment] model for nonroad application without making any changes that could increase its certified emission levels, as described in 40 CFR 1039.605.’’ 
* * * * * 
■167. Section 1039.610 is amended by 
revising paragraphs (d)(5)(ii) and (d)(7) 
to read as follows: 
§ 1039.610 What provisions apply to 
vehicles certified under the motor-vehicle program? 
* * * * * 
(d) * * * 
(5) * * * (ii) 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. 
* * * * * 
(7) Send the Designated Compliance 
Officer written notification describing 
your plans before using the provisions of this section. In addition, by February 28 of each calendar year (or less often if we tell you), send the Designated Compliance Officer a signed letter with all the following information: 
(i) Identify your full corporate name, 
address, and telephone number. 
(ii) List the equipment models for 
which you used this exemption in the previous year and describe your basis for meeting the sales restrictions of paragraph (d)(3) of this section. 
(iii) State: ‘‘We prepared each listed 
engine or equipment model for nonroad application without making any changes that could increase its certified emission levels, as described in 40 CFR 1039.610.’’ 
* * * * * 
§§ 1039.640 and 1039.660 [Removed] 
■168. Sections 1039.640 and 1039.660 
are removed. 
■169. A new § 1039.699 is added to 
subpart G to read as follows: 
§ 1039.699 Emission standards and 
certification requirements for auxiliary power units for highway tractors. 
(a) This section describes emission 
standards and certification requirements 
for auxiliary power units (APU) installed on highway tractors subject to standards under 40 CFR 1037.106 starting in model year 2024. 
(b) You may apply for a certificate of 
conformity under this section if you manufacture APUs, or if you install emission control hardware to meet the standard in this section. 
(c) Exhaust emissions may not exceed 
a PM standard of 0.02 g/kW-hr when tested using the steady-state test procedures described in subpart F of this part for the duty cycles specified in § 1039.505(b)(1). Your APUs must meet the exhaust emission standards of this section over the engine’s useful life as specified in § 1039.101(g). These emission standards also apply for testing with production and in-use APUs. 
(d) The APU is deemed to have a 
valid certificate of conformity under this section if the engine manufacturer certifies the engine under 40 CFR part 1039 with a family emission limit of 0.02 g/kW-hr or less. 
(e) The APU may draw power from 
the installed engine to regenerate a particulate filter, but you must not make any other changes to the certified engine that could reasonably be expected to increase its emissions of any pollutant. 
(f) Sections 1039.115, 1039.120, 
1039.125, and 1039.130 apply for APUs as written. You must exercise due diligence in ensuring that your system will not adversely affect safety or otherwise violate the prohibition of § 1039.115(f). 
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(g) All your APUs are considered to be 
part of a single emission family; 
however, you may subdivide your APUs into multiple emission families if you show the expected emission characteristics are different during the useful life. 
(h) Testing requirements apply for 
certification as follows: 
(1) Select an emission-data APU 
representing a worst-case condition for PM emissions. Measure emissions from the test engine with the APU installed according to your specifications. 
(2) We may require you to provide an 
engineering analysis showing that the performance of your emission controls will not deteriorate during the useful life with proper maintenance. If we determine that your emission controls are likely to deteriorate during the useful life, we may require you to develop and apply deterioration factors consistent with good engineering judgment. 
(3) Collect emission data and round to 
the nearest 0.01 g/kW-hr for comparing to the standard. Calculate full-life emissions as described in § 1039.240(d) if you need to apply a deterioration factor. 
(4) You may ask to use emission data 
from a previous production period instead of doing new tests as described in § 1039.235(d). 
(5) Additional testing provisions 
apply as described in § 1039.235(c), (e), and (f). 
(i) Your APU certificate is valid for 
any engine certified under this part 1039, as long as the engine has a maximum engine power no more than 10 percent greater than the maximum engine power of the engine used for certification testing under this section. 
(j) The following provisions apply for 
determining whether your APU complies with the requirements of this section: 
(1) For purposes of certification, your 
emission family is considered in compliance with the emission standards of this section if all emission-data APUs representing that family have test results showing compliance with the standards. 
(2) Your engine family is deemed not 
to comply if any emission-data APU representing that family for certification has test results showing a full-life emission level above the PM standard. 
(k) At the time of manufacture, affix 
a permanent and legible label identifying each APU. This applies even if the engine manufacturer certifies a compliant engine as described in paragraph (d) of this section. The label must meet the specifications described in 40 CFR 1068.45(a). The label must— (1) Include the heading ‘‘EMISSION 
CONTROL INFORMATION’’. 
(2) Include your full corporate name 
and trademark. 
(3) State: ‘‘THIS APU ENGINE 
COMPLIES WITH 40 CFR 1039.699.’’ 
(l) [Reserved] 
(m) See §§ 1039.201, 1039.210, 
1039.220, 1039.225, 1039.250, and 
1039.255 for general requirements related to obtaining a certificate of conformity. A certificate issued under this section may apply for a production period lasting up to five years. Include the following information in your application for certification, unless we ask you to include less information: 
(1) Describe the emission family’s 
specifications and other basic parameters of the APU’s design and emission controls. List each distinguishable configuration in the emission family. For each APU configuration, list the maximum engine power for which the APU is designed to operate. 
(2) Explain how the emission control 
system operates. Identify the part number of each component you describe. 
(3) Describe the engines you selected 
for testing and the reasons for selecting them. 
(4) Describe the test equipment and 
procedures that you used. Also describe any special or alternate test procedures you used. 
(5) Describe how you operated the 
emission-data APU before testing, including any operation to break in the APU or otherwise stabilize emission levels. Describe any scheduled maintenance you did. 
(6) List the specifications of the test 
fuel to show that it falls within the required ranges we specify in 40 CFR part 1065. 
(7) Include the maintenance and 
warranty instructions you will provide (see §§ 1039.120 and 1039.125). 
(8) Describe your emission control 
information label. 
(9) Identify the emission family’s 
deterioration factors and describe how you developed them, or summarize your analysis describing why you don’t expect performance of emission controls to deteriorate. Present any emission test data you used for this. 
(10) State that you operated your 
emission-data APU as described in the application (including the test procedures, test parameters, and test fuels) to show you meet the requirements of this part. 
(11) Present emission data for PM. 
(12) Report all test results, including 
those from invalid tests, whether or not 
they were conducted according to the test procedures of subpart F of this part. 
We may ask you to send other information to confirm that your tests were valid under the requirements of this part and 40 CFR part 1065. 
(13) Describe any adjustable operating 
parameters as described in § 1039.205(s). 
(14) Unconditionally certify that all 
the APUs in the emission family comply with the requirements of this part, other referenced parts of the CFR, and the Clean Air Act. 
(15) Provide additional information if 
we say we need it to evaluate your application. 
(16) 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. 
(n) If a highway tractor manufacturer 
violates 40 CFR 1037.106(g) by installing an APU from you that is not 
properly certified and labeled, you are presumed to have caused the violation (see 40 CFR 1068.101(c)). 
Subpart H—Averaging, Banking, and 
Trading for Certification 
■170. Section 1039.701 is amended by 
adding paragraph (h) to read as follows: 
§ 1039.701 General provisions. 
* * * * * 
(h) You may use either of the 
following approaches to retire or forego emission credits: 
(1) You may retire emission credits 
generated from any number of your engines. This may be considered donating emission credits to the environment. Identify any such credits in the reports described in § 1039.730. Engines must comply with the applicable FELs even if you donate or sell the corresponding emission credits under this paragraph (h). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards. 
(2) You may certify a family using an 
FEL below the emission standard as described in this part and choose not to generate emission credits for that family. If you do this, you do not need to calculate emission credits for those families and you do not need to submit or keep the associated records described in this subpart for that family. 
■171. Section 1039.705 is amended by 
revising paragraphs (b), (c) introductory text, and (c)(1) to read as follows: 
§ 1039.705 How do I generate and 
calculate emission credits? 
* * * * * 
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(b) For each participating family, 
calculate positive or negative emission 
credits relative to the otherwise applicable emission standard. Calculate positive emission credits for a family that has an FEL below the standard. Calculate negative emission credits for a family that has an FEL above the standard. Sum your positive and negative credits for the model year before rounding. Round the sum of emission credits to the nearest kilogram (kg), using consistent units throughout the following equation: 
Emission credits (kg) = (Std¥FEL) C 
(Volume) C (AvgPR) C (UL) C 
(10
¥3) 
Where: 
Std = the emission standard, in grams per 
kilowatt-hour, that applies under subpart 
B of this part for engines not participating in the ABT program of this subpart (the ‘‘otherwise applicable standard’’). 
FEL = the family emission limit for the 
engine family, in grams per kilowatt- hour. 
Volume = the number of engines eligible to 
participate in the averaging, banking, and trading program within the given engine family during the model year, as described in paragraph (c) of this section. 
AvgPR = the average value of maximum 
engine power values for the engine configurations within an engine family, calculated on a sales-weighted basis, in kilowatts. 
UL = the useful life for the given engine 
family, in hours. 
(c) As described in § 1039.730, 
compliance with the requirements of 
this subpart is determined at the end of the model year based on actual U.S.- directed production volumes. Do not include any of the following engines to calculate emission credits: 
(1) Engines with a permanent 
exemption under subpart G of this part or under 40 CFR part 1068. 
* * * * * 
■172. Section 1039.710 is amended by 
revising paragraph (c) to read as follows: 
§ 1039.710 How do I average emission 
credits? 
* * * * * 
(c) If you certify an engine family to 
an FEL that exceeds the otherwise 
applicable standard, you must obtain enough emission credits to offset the engine family’s deficit by the due date for the final report required in § 1039.730. The emission credits used to address the deficit may come from your other engine families that generate emission credits in the same model year, from emission credits you have banked from previous model years, or from emission credits generated in the same or previous model years that you obtained through trading. 
■173. Section 1039.725 is amended by 
revising paragraph (b)(2) to read as follows: 
§ 1039.725 What must I include in my 
application for certification? 
* * * * * 
(b) * * * 
(2) Detailed calculations of projected 
emission credits (positive or negative) 
based on projected production volumes. We may require you to include similar calculations from your other engine families to demonstrate that you will be able to avoid negative credit balances for the model year. If you project negative emission credits for a family, state the source of positive emission credits you expect to use to offset the negative emission credits. 
■174. Section 1039.730 is amended by 
revising paragraphs (b)(1), (b)(4), (c)(2), and (d) to read as follows: 
§ 1039.730 What ABT reports must I send 
to EPA? 
* * * * * 
(b) * * * 
(1) Engine-family designation and 
averaging set. 
* * * * * 
(4) The projected and actual U.S.- 
directed production volumes for the 
model year. If you changed an FEL during the model year, identify the actual U.S.-directed production volume associated with each FEL. 
* * * * * 
(c) * * * 
(2) State whether you will retain any 
emission credits for banking. If you 
choose to retire emission credits that would otherwise be eligible for banking, identify the engine families that generated the emission credits, including the number of emission credits from each family. 
* * * * * 
(d) If you trade emission credits, you 
must send us a report within 90 days 
after the transaction, as follows: 
(1) As the seller, you must include the 
following information in your report: 
(i) The corporate names of the buyer 
and any brokers. 
(ii) A copy of any contracts related to 
the trade. 
(iii) The averaging set corresponding 
to the engine families that generated emission credits for the trade, including the number of emission credits from each averaging set. 
(2) As the buyer, you must include the 
following information in your report: 
(i) The corporate names of the seller 
and any brokers. (ii) A copy of any contracts related to 
the trade. 
(iii) How you intend to use the 
emission credits, including the number of emission credits you intend to apply for each averaging set. 
* * * * * 
■175. Section 1039.735 is amended by 
revising paragraphs (a) and (b) to read 
as follows: 
§ 1039.735 What records must I keep? 
(a) You must organize and maintain 
your records as described in this section. 
(b) Keep the records required by this 
section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any engines if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits. 
* * * * * 
■176. Section 1039.740 is amended by 
revising paragraph (a) to read as follows: 
§ 1039.740 What restrictions apply for 
using emission credits? 
* * * * * 
(a) Averaging sets. Emission credits 
may be exchanged only within an 
averaging set. For emission credits generated by Tier 4 engines, there are two averaging sets—one for engines at or below 560 kW and another for engines above 560 kW. 
* * * * * 
Subpart I—Definitions and Other 
Reference Information 
■177. Section 1039.801 is amended as 
follows: 
■a. By revising the definitions of 
‘‘Aircraft’’ and ‘‘Designated Compliance Officer’’. 
■b. By removing the definition for 
‘‘Designated Enforcement Officer’’. 
■c. By adding definitions for ‘‘Dual- 
fuel’’ and ‘‘Flexible-fuel’’ in alphabetical order. 
■d. By revising paragraph (1)(i) of the 
definition of ‘‘Model year’’ and the definitions of ‘‘Owners manual’’ and ‘‘Placed into service’’. 
■e. By removing the definition for 
‘‘Point of first retail sale’’. 
■f. By revising the definition for 
‘‘Sulfur-sensitive technology’’. 
The revisions and additions read as 
follows: 
§ 1039.801 What definitions apply to this 
part? 
* * * * * 
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Aircraft means any vehicle capable of 
sustained air travel more than 100 feet 
above the ground. 
* * * * * 
Designated Compliance Officer means 
the Director, Diesel Engine Compliance 
Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; complianceinfo@epa.gov; epa.gov/otaq/verify. 
* * * * * 
Dual-fuel means relating to an engine 
designed for operation on two different fuels but not on a continuous mixture of those fuels (see § 1039.601(b)). For purposes of this part, such an engine remains a dual-fuel engine even if it is designed for operation on three or more different fuels. 
* * * * * 
Flexible-fuel means relating to an 
engine designed for operation on any 
mixture of two or more different fuels (see § 1039.601(b)). 
* * * * * 
Model year means one of the 
following things: 
(1) * * * 
(i) Calendar year of production. 
* * * * * 
Owners manual means a document or 
collection of documents prepared by the 
engine manufacturer for the owner or operator to describe appropriate engine maintenance, applicable warranties, and any other information related to operating or keeping the engine. The owners manual is typically provided to the ultimate purchaser at the time of sale. The owners manual may be in paper or electronic format. 
* * * * * 
Placed into service means put into 
initial use for its intended purpose. 
Engines and equipment do not qualify as being ‘‘placed into service’’ based on incidental use by a manufacturer or dealer. 
* * * * * 
Sulfur-sensitive technology means an 
emission control technology that 
experiences a significant drop in emission control performance or emission-system durability when an engine is operated on low-sulfur diesel fuel (i.e., fuel with a sulfur 
concentration of 300 to 500 ppm) as compared to when it is operated on ultra-low sulfur diesel fuel (i.e., fuel 
with a sulfur concentration less than 15 ppm). Exhaust gas recirculation is not a sulfur-sensitive technology. 
* * * * * 
■178. Section 1039.815 is revised to 
read as follows: § 1039.815 What provisions apply to 
confidential information? 
The provisions of 40 CFR 1068.10 
apply for information you consider 
confidential. 
■179. Section 1039.825 is revised to 
read as follows: 
§ 1039.825 What reporting and 
recordkeeping requirements apply under this part? 
(a) This part includes various 
requirements to submit and record data 
or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. You are expected to keep your own copy of required records rather than relying on someone else to keep records on your behalf. We may review these records at any time. You must promptly send us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format. 
(b) The regulations in § 1039.255, 40 
CFR 1068.25, and 40 CFR 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties. 
(c) Send all reports and requests for 
approval to the Designated Compliance Officer (see § 1039.801). 
(d) Any written information we 
require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. We may require you to send us these records whether or not you are a certificate holder. 
(e) Under the Paperwork Reduction 
Act (44 U.S.C. 3501 et seq), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations. The following items illustrate the kind of reporting and recordkeeping we require for engines and equipment regulated under this part: 
(1) We specify the following 
requirements related to engine certification in this part 1039: 
(i) In § 1039.20 we require engine 
manufacturers to label stationary engines that do not meet the standards in this part. 
(ii) In § 1039.135 we require engine 
manufacturers to keep certain records related to duplicate labels sent to 
equipment manufacturers. 
(iii) [Reserved] 
(iv) In subpart C of this part we 
identify a wide range of information 
required to certify engines. 
(v) [Reserved] 
(vi) In subpart G of this part we 
identify several reporting and 
recordkeeping items for making demonstrations and getting approval related to various special compliance provisions. For example, equipment manufacturers must submit reports and keep records related to the flexibility provisions in § 1039.625. 
(vii) In § 1039.725, 1039.730, and 
1039.735 we specify certain records related to averaging, banking, and trading. 
(2) We specify the following 
requirements related to testing in 40 CFR part 1065: 
(i) In 40 CFR 1065.2 we give an 
overview of principles for reporting information. 
(ii) In 40 CFR 1065.10 and 1065.12 we 
specify information needs for establishing various changes to published test procedures. 
(iii) In 40 CFR 1065.25 we establish 
basic guidelines for storing test information. 
(iv) In 40 CFR 1065.695 we identify 
the specific information and data items to record when measuring emissions. 
(3) We specify the following 
requirements related to the general compliance provisions in 40 CFR part 1068: 
(i) In 40 CFR 1068.5 we establish a 
process for evaluating good engineering 
judgment related to testing and certification. 
(ii) In 40 CFR 1068.25 we describe 
general provisions related to sending and keeping information. 
(iii) In 40 CFR 1068.27 we require 
manufacturers to make engines available for our testing or inspection if we make such a request. 
(iv) In 40 CFR 1068.105 we require 
equipment manufacturers to keep certain records related to duplicate labels from engine manufacturers. 
(v) In 40 CFR 1068.120 we specify 
recordkeeping related to rebuilding engines. 
(vi) In 40 CFR part 1068, subpart C, 
we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various exemptions. 
(vii) In 40 CFR part 1068, subpart D, 
we identify several reporting and recordkeeping items for making demonstrations and getting approval related to importing engines. 
(viii) In 40 CFR 1068.450 and 
1068.455 we specify certain records 
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related to testing production-line 
engines in a selective enforcement audit. 
(ix) In 40 CFR 1068.501 we specify 
certain records related to investigating and reporting emission-related defects. 
(x) In 40 CFR 1068.525 and 1068.530 
we specify certain records related to recalling nonconforming engines. 
(xi) In 40 CFR part 1068, subpart G, 
we specify certain records for requesting a hearing. PART 1042—CONTROL OF EMISSIONS 
FROM NEW AND IN-USE MARINE COMPRESSION-IGNITION ENGINES AND VESSELS 
■180. The authority citation for part 
1042 continues to read as follows: 
Authority: 42 U.S.C. 7401–7671q. Subpart A—Overview and Applicability 
■181. Section 1042.1 is amended by 
revising paragraphs (a) and (c) 
introductory text to read as follows: 
§ 1042.1 Applicability. 
* * * * * 
(a) The emission standards of this part 
1042 for freshly manufactured engines apply for new marine engines starting with the model years noted in the following table: 
TABLE 1 TO§ 1042.1—P ART1042 A PPLICABILITY BY MODEL YEAR 
Engine category Maximum engine powera Displacement (L/cyl) or application Model year 
Category 1 ..................... kW < 75 ................................................................ disp.< 0.9 ............... ...............................................b2009 
75 ≤ kW ≤ 3700 .................................................... disp.< 0.9 ............................................................. . 2012 
0.9 ≤ disp. < 1.2 ................................................... 2013 
1.2 ≤ disp. < 2.5 ................................................... 2014 
2.5 ≤ disp. < 3.5 ................................................... 2013 
3.5 ≤ disp. < 7.0 ................................................... 2012 
kW > 3700 ............................................................ All ....................................................... ................... 2014 
Category 2 ..................... kW ≤ 3700 ............................................................ 7.0 ≤ disp. < 15.0 ................................................. 2013 
kW > 3700 ............................................................ 7.0 ≤ disp. < 15.0 ................................................. 2014 
All .......................................................................... 15 ≤ disp. < 30 ..................................................... 2014 
Category 3 ..................... All .......................................................................... disp. ≥ 30 .............................................................. 2011 
aSee § 1042.140, which describes how to determine maximum engine power. 
bSee Table 1 of § 1042.101 for the first model year in which this part 1042 applies for engines with maximum engine power below 75 kW and 
displacement at or above 0.9 L/cyl. 
* * * * * 
(c) Freshly manufactured engines 
with maximum engine power at or above 37 kW and originally manufactured and certified before the model years identified in Table 1 to this section are subject to emission standards and requirements of 40 CFR part 94. The provisions of this part 1042 do not apply for such engines certified under 40 CFR part 94, except as follows beginning June 29, 2010: 
* * * * * 
■182. Section 1042.2 is revised to read 
as follows: 
§ 1042.2 Who is responsible for 
compliance? 
The regulations in this part 1042 
contain provisions that affect both 
engine manufacturers and others. However, the requirements of this part, other than those of subpart I of this part, are generally addressed to the engine manufacturer for freshly manufactured marine engines or other certificate holders. The term ‘‘you’’ generally means the engine manufacturer, as defined in § 1042.901, especially for 
issues related to certification (including production-line testing, reporting, etc.). Note that for engines that become new after being placed into service (such as engines converted from highway or stationary use, or engines installed on vessels that are reflagged to become U.S. vessels), the requirements that normally apply for manufacturers of freshly manufactured engines apply to the importer or any other entity we allow to obtain a certificate of conformity. 
■183. Section 1042.30 is revised to read 
as follows: 
§ 1042.30 Submission of information. 
Unless we specify otherwise, send all 
reports and requests for approval to the Designated Compliance Officer (see § 1042.901). See § 1042.925 for additional reporting and recordkeeping provisions. 
Subpart B—Emission Standards and 
Related Requirements 
■184. Section 1042.101 is amended by 
revising the section heading and paragraphs (a), (b), (c), and (d)(1)(ii) to 
read as follows: 
§ 1042.101 Exhaust emission standards 
for Category 1 and Category 2 engines. 
(a) Duty-cycle standards. Exhaust 
emissions from your engines may not 
exceed emission standards, as follows: 
(1) Measure emissions using the test 
procedures described in subpart F of this part. 
(2) The following CO emission 
standards in this paragraph (a)(2) apply starting with the applicable model year identified in § 1042.1: 
(i) 8.0 g/kW-hr for engines below 8 
kW. 
(ii) 6.6 g/kW-hr for engines at or above 
8 kW and below 19 kW. 
(iii) 5.5 g/kW-hr for engines at or 
above 19 kW and below 37 kW. 
(iv) 5.0 g/kW-hr for engines at or 
above 37 kW. 
(3) Except as described in paragraphs 
(a)(4) and (5) of this section, the Tier 3 standards for PM and NO
X+HC 
emissions are described in the following tables: 
TABLE 1 TO§ 1042.101—T IER3 STANDARDS FOR CATEGORY 1 ENGINES BELOW 3700 KWa 
Power density and application Displacement 
(L/cyl) Maximum 
engine power Model year PM 
(g/kW-hr) NO X+HC 
(g/kW-hr)b 
All ........................................................................ disp. < 0.9 ...................... kW < 19 ......... 200 9+ 0.40 7.5 
19 ≤ kW < 75 2009–2013 0.30 7.5 
2014+ c0.30 c4.7 
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TABLE 1 TO§ 1042.101—T IER3 STANDARDS FOR CATEGORY 1 ENGINES BELOW 3700 KWa—Continued 
Power density and application Displacement 
(L/cyl) Maximum 
engine power Model year PM 
(g/kW-hr) NO X+HC 
(g/kW-hr)b 
Commercial engines with kW/L ≤ 35 .................. disp. < 0.9 ...................... kW ≥ 75 ......... 2012+ 0.14 5.4 
0.9 ≤ disp. < 1.2 ............. all ................... 2013+ 0.12 5.4 
1.2 ≤ disp. < 2.5 ............. kW < 600 ....... 2014–2017 0.11 5.6 
2018+ 0.10 5.6 
kW ≥ 600 ....... 2014+ 0.11 5.6 
2.5 ≤ disp. < 3.5 ............. kW < 600 ....... 2013–2017 0.11 5.6 
2018+ 0.10 5.6 
kW ≥ 600 ....... 2013+ 0.11 5.6 
3.5 ≤ disp. < 7.0 ............. kW < 600 ....... 2012–2017 0.11 5.8 
2018+ 0.10 5.8 
kW ≥ 600 ....... 2012+ 0.11 5.8 
Commercial engines with kW/L > 35, and all 
recreational engines ≥ 75 kW.disp. < 0.9 ...................... kW ≥ 75 ......... 2012+ 0.15 5.8 
0.9 ≤ disp. < 1.2 ............. all ................... 2013+ 0.14 5.8 
1.2 ≤ disp. < 2.5 2014+ 0.12 5.8 
2.5 ≤ disp. < 3.5 2013+ 0.12 5.8 
3.5 ≤ disp. < 7.0 2012+ 0.11 5.8 
aNo Tier 3 standards apply for commercial Category 1 engines at or above 3700 kW. See § 1042.1(c) and paragraph (a)(7) of this section for 
the standards that apply for these engines. 
bThe applicable NO X+HC standards specified for Tier 2 engines in Appendix I of this part continue to apply instead of the values noted in the 
table for commercial engines at or above 2000 kW. FELs for these engines may not be higher than the Tier 1 NO Xstandard specified in Appen-
dix I of this part. 
cSee paragraph (a)(4) of this section for alternative PM and NO X+HC standards for engines at or above 19 kW and below 75 kW with dis-
placement below 0.9 L/cyl. 
TABLE 2 TO§ 1042.101— T IER3 STANDARDS FOR CATEGORY 2 ENGINES BELOW 3700 KWa 
Displacement 
(L/cyl) Maximum engine power Model year PM 
(g/kW-hr) NO X+HC 
(g/kW-hr) 
7.0 ≤ disp. < 15.0 ............................................ kW < 2000 ...................................................... 2013+ 0. 14 6.2 
2000 ≤ kW ≤ 3700 ......................................... 2013+ 0.14 b7.8 
15.0 ≤ disp. < 20.0c........................................ kW < 2000 ...................................................... 2014+ 0.34 7.0 
20.0 ≤ disp. < 25.0c........................................ kW < 2000 ...................................................... 2014+ 0.27 9.8 
25.0 ≤ disp. < 30.0c........................................ kW < 2000 ...................................................... 2014+ 0.27 11.0 
aThe Tier 3 standards in this table do not apply for Category 2 engines at or above 2000 kW with per-cylinder displacement at or above 15.0 
liters, or for any Category 2 engines at or above 3700 kW. See § 1042.1(c) and paragraphs (a)(6) through (8) of this section for the standards 
that apply for these engines. 
bFor engines subject to the 7.8 g/kW-hr NO X+HC standard, FELs may not be higher than the Tier 1 NO Xstandards specified in Appendix I of 
this part. 
cThere are no Tier 3 standards for Category 2 engines with per-cylinder displacement at or above 15 and 20 liters with maximum e ngine 
power at or above 2000 kW. See paragraphs (a)(6) and (7) of this section for the Tier 4 standards that apply for these engines starting with the 2014 model year. 
(4) For Tier 3 engines at or above 19 
kW and below 75 kW with displacement 
below 0.9 L/cyl, you may alternatively certify some or all of your engine families to a PM emission standard of 0.20 g/kW-hr and a NO
X+HC emission 
standard of 5.8 g/kW-hr for 2014 and 
later model years. 
(5) Starting with the 2014 model year, 
recreational marine engines at or above 3700 kW (with any displacement) must be certified under this part 1042 to the Tier 3 standards specified in this section for 3.5 to 7.0 L/cyl recreational marine engines. (6) Interim Tier 4 p.m. standards 
apply for 2014 and 2015 model year 
engines between 2000 and 3700 kW as specified in this paragraph (a)(6). These engines are considered to be Tier 4 engines. 
(i) For Category 1 engines, the Tier 3 
p.m. standards from Table 1 to this section continue to apply. PM FELs for these engines may not be higher than 
the applicable Tier 2 p.m. standards specified in Appendix I of this part. 
(ii) For Category 2 engines with per- 
cylinder displacement below 15.0 liters, the Tier 3 p.m. standards from Table 2 to this section continue to apply. PM FELs for these engines may not be 
higher than 0.27 g/kW-hr. 
(iii) For Category 2 engines with per- 
cylinder displacement at or above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or above 2000 kW and below 3300 kW, and 0.27 g/kW-hr for engines at or above 3300 kW and below 3700 kW. PM FELs for these engines may not be higher than 0.50 g/kW-hr. 
(7) Except as described in paragraph 
(a)(8) of this section, the Tier 4 standards for PM, NO
X, and HC 
emissions are described in the following table: 
TABLE 3 TO§ 1042.101—T IER4 STANDARDS FOR CATEGORY 2 ANDCOMMERCIAL CATEGORY 1 ENGINES AT OR ABOVE  
600 KW 
Maximum engine power Displacement 
(L/cyl) Model year PM 
(g/kW-hr) NO X 
(g/kW-hr) HC 
(g/kW-hr) 
600 ≤ kW < 1400 ............................... all ..................................................... 2017+ 0.04 1.8 0.19 
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TABLE 3 TO§ 1042.101—T IER4 STANDARDS FOR CATEGORY 2 ANDCOMMERCIAL CATEGORY 1 ENGINES AT OR ABOVE  
600 KW—Continued 
Maximum engine power Displacement 
(L/cyl) Model year PM 
(g/kW-hr) NO X 
(g/kW-hr) HC 
(g/kW-hr) 
1400 ≤ kW < 2000 ............................. all ..................................................... 2016+ 0.04 1.8 0.19 
2000 ≤ kW ≤ 3700a........................... all ..................................................... 2014+ 0.04 1.8 0.19 
kW > 3700 ......................................... disp. < 15.0 ...................................... 2014–2015 0.12 1.8 0.19 
15.0 ≤ disp. < 30.0 ........................... 2014–2015 0.25 1.8 0.19 
all ..................................................... 2016+ 0.06 1.8 0.19 
aSee paragraph (a)(6) of this section for interim PM standards that apply for model years 2014 and 2015 for engines between 2000 and 3700 
kW. The Tier 4 NO XFEL cap for engines at or above 2000 kW and below 3700 kW is 7.0 g/kW-hr. Starting in the 2016 model year, the Tier 4 
PM FEL cap for engines at or above 2000 kW and below 3700 kW is 0.34 g/kW-hr. 
(8) The following optional provisions 
apply for complying with the Tier 3 and 
Tier 4 standards specified in paragraphs (a)(3) through (7) of this section: 
(i) You may use NO
Xcredits 
accumulated through the ABT program to certify Tier 4 engines to a NO
X+HC 
emission standard of 1.9 g/kW-hr instead of the NO
Xand HC standards 
that would otherwise apply by certifying your family to a NO
X+HC 
FEL. Calculate the NO Xcredits needed 
as specified in subpart H of this part using the NO
X+HC emission standard 
and FEL in the calculation instead of the otherwise applicable NO
Xstandard and FEL. You may not generate credits 
relative to the alternate standard or certify to the standard without using credits. 
(ii) For engines below 1000 kW, you 
may delay complying with the Tier 4 standards in the 2017 model year for up to nine months, but you must comply no later than October 1, 2017. 
(iii) For engines at or above 3700 kW, 
you may delay complying with the Tier 4 standards in the 2016 model year for up to twelve months, but you must comply no later than December 31, 2016. (iv) For Category 2 engines at or above 
1400 kW, you may alternatively comply 
with the Tier 3 and Tier 4 standards specified in Table 4 of this section instead of the NO
X, HC, NO X+HC, and 
PM standards specified in paragraphs (a)(3) through (7) of this section. The CO standards specified in paragraph (a)(2) of this section apply without regard to whether you choose this option. If you choose this option, you must do so for all engines at or above 1400 kW in the same displacement category (that is, 7– 15, 15–20, 20–25, or 25–30 liters per cylinder) in model years 2012 through 2015. 
TABLE 4 TO§ 1042.101—O PTIONAL TIER3 ANDTIER4 STANDARDS FOR CATEGORY 2 ENGINES AT OR ABOVE 1400 KW 
Tier Maximum engine power Model year PM 
(g/kW-hr) NO X 
(g/kW-hr) HC 
(g/kW-hr) 
Tier 3 ............................. kW ≥ 1400 ........................................................... 2012–2014 0.14 7.8 NO X+HC ........................
Tier 4 ............................. 1400 ≤ kW ≤ 3700 ............................................... 2015 0.04 1.8 0.19 
kW > 3700 ........................................................... 2015 0.06 1.8 0.19 
(b) Averaging, banking, and trading. 
You may generate or use emission 
credits under the averaging, banking, and trading (ABT) program as described in subpart H of this part for demonstrating compliance with NO
X, 
NO X+HC, and PM emission standards 
for Category 1 and Category 2 engines. You may also use NO
Xor NO X+HC 
emission credits to comply with the 
alternate NO X+HC standard in 
paragraph (a)(8)(i) of this section. Generating or using emission credits requires that you specify a family emission limit (FEL) for each pollutant you include in the ABT program for each engine family. These FELs serve as the emission standards for the engine family with respect to all required testing instead of the standards specified in paragraph (a) of this section. The FELs determine the not-to- exceed standards for your engine family, as specified in paragraph (c) of this section. Unless otherwise specified, the following FEL caps apply: (1) FELs for Tier 3 engines may not be 
higher than the applicable Tier 2 
standards specified in Appendix I of this part. 
(2) FELs for Tier 4 engines may not be 
higher than the applicable Tier 3 standards specified in paragraph (a)(3) of this section. 
(3) The following FEL caps apply for 
engines at or above 3700 kW that are not subject to Tier 3 standards under paragraph (a)(3) of this section: 
(i) FELs may not be higher than the 
applicable Tier 1 NO
Xstandards 
specified in Appendix I of this part before the Tier 4 standards start to apply. 
(ii) FELs may not be higher than the 
applicable Tier 2 NO
X+THC standards 
specified in Appendix I of this part after the Tier 4 standards start to apply. 
(c) Not-to-exceed standards. Except as 
noted in § 1042.145(e), exhaust emissions from all engines subject to the requirements of this part may not exceed the not-to-exceed (NTE) standards as follows: (1) Use the following equation to 
determine the NTE standards: 
(i) NTE standard for each pollutant = 
STD × M. 
Where: 
STD = The standard specified for that 
pollutant in this section if you certify 
without using ABT for that pollutant; or the FEL for that pollutant if you certify using ABT. 
M = The NTE multiplier for that pollutant. 
(ii) Round each NTE standard to the 
same number of decimal places as the 
emission standard. 
(2) Determine the applicable NTE 
zone and subzones as described in § 1042.515. Determine NTE multipliers for specific zones and subzones and pollutants as follows: 
(i) For marine engines certified using 
the duty cycle specified in § 1042.505(b)(1), except for variable- speed propulsion marine engines used with controllable-pitch propellers or with electrically coupled propellers, apply the following NTE multipliers: 
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(A) Subzone 1: 1.2 for Tier 3 NO X+HC 
standards. 
(B) Subzone 1: 1.5 for Tier 4 standards 
and Tier 3 p.m. and CO standards. 
(C) Subzone 2: 1.5 for Tier 4 NO Xand 
HC standards and for Tier 3 NO X+HC 
standards. 
(D) Subzone 2: 1.9 for PM and CO 
standards. 
(ii) For recreational marine engines 
certified using the duty cycle specified 
in § 1042.505(b)(2), except for variable- speed marine engines used with controllable-pitch propellers or with electrically coupled propellers, apply the following NTE multipliers: 
(A) Subzone 1: 1.2 for Tier 3 NO
X+HC 
standards. 
(B) Subzone 1: 1.5 for Tier 3 p.m. and 
CO standards. 
(C) Subzones 2 and 3: 1.5 for Tier 3 
NO X+HC standards. 
(D) Subzones 2 and 3: 1.9 for PM and 
CO standards. 
(iii) For variable-speed marine 
engines used with controllable-pitch propellers or with electrically coupled propellers that are certified using the duty cycle specified in § 1042.505(b)(1), (2), or (3), apply the following NTE multipliers: 
(A) Subzone 1: 1.2 for Tier 3 NO
X+HC 
standards. 
(B) Subzone 1: 1.5 for Tier 4 standards 
and Tier 3 p.m. and CO standards. 
(C) Subzone 2: 1.5 for Tier 4 NO Xand 
HC standards and for Tier 3 NO X+HC 
standards. (D) Subzone 2: 1.9 for PM and CO 
standards. However, there is no NTE standard in Subzone 2b for PM emissions if the engine family’s applicable standard for PM is at or above 0.07 g/kW-hr. 
(iv) For constant-speed engines 
certified using a duty cycle specified in § 1042.505(b)(3) or (4), apply the following NTE multipliers: 
(A) Subzone 1: 1.2 for Tier 3 NO
X+HC 
standards. 
(B) Subzone 1: 1.5 for Tier 4 standards 
and Tier 3 p.m. and CO standards. 
(C) Subzone 2: 1.5 for Tier 4 NO Xand 
HC standards and for Tier 3 NO X+HC 
standards. 
(D) Subzone 2: 1.9 for PM and CO 
standards. However, there is no NTE standard for PM emissions if the engine family’s applicable standard for PM is at or above 0.07 g/kW-hr. 
(v) For variable-speed auxiliary 
marine engines certified using the duty cycle specified in § 1042.505(b)(5)(ii) or (iii): 
(A) Subzone 1: 1.2 for Tier 3 NO
X+HC 
standards. 
(B) Subzone 1: 1.5 for Tier 4 standards 
and Tier 3 p.m. and CO standards. 
(C) Subzone 2: 1.2 for Tier 3 NO X+HC 
standards. 
(D) Subzone 2: 1.5 for Tier 4 standards 
and Tier 3 p.m. and CO standards. However, there is no NTE standard for PM emissions if the engine family’s applicable standard for PM is at or above 0.07 g/kW-hr. (3) The NTE standards apply to your 
engines whenever they operate within the NTE zone for an NTE sampling period of at least thirty seconds, during which only a single operator demand set point may be selected. Engine operation during a change in operator demand is excluded from any NTE sampling period. There is no maximum NTE sampling period. 
(4) Collect emission data for 
determining compliance with the NTE standards using the procedures described in subpart F of this part. 
(5) You may ask us to accept as 
compliant an engine that does not fully meet specific requirements under the applicable NTE standards where such deficiencies are necessary for safety. 
(d) * * * 
(1) * * * (ii) Gaseous-fueled engines must 
comply with HC standards based on 
nonmethane-nonethane hydrocarbon emissions. 
* * * * * 
■185. Section 1042.104 is amended by 
revising paragraph (a)(2) to read as 
follows: 
§ 1042.104 Exhaust emission standards 
for Category 3 engines. 
(a) * * * 
(2) NO Xstandards apply based on the 
engine’s model year and maximum in- 
use engine speed as shown in the following table: 
TABLE 1 TO§ 1042.104—NO XEMISSION STANDARDS FOR CATEGORY 3 ENGINES (G/KW-HR) 
Emission standards Model year Maximum in-use engine speed 
Less than 130 
RPM 130–2000 
RPMa Over 2000 
RPM 
Tier 1 ..................................... 2004–2010b.......................................................................... 17.0 45.0 · n(¥0.20 )... 9.8 
Tier 2 ..................................... 2011–2015 ........................................................................... . 14.4 44.0 · n(¥0.23 )... 7.7 
Tier 3c................................... 2016 and later ...................................................................... 3.4 9.0 ·n(¥0.20 )..... 2.0 
aApplicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in § 1042.140). Round the standards to one 
decimal place. 
bTier 1 NO Xstandards apply as specified in 40 CFR part 94 for engines originally manufactured in model years 2004 through 2010. They are 
shown here only for reference. 
cFor engines designed with on-off controls as specified in § 1042.115(g), the Tier 2 standards continue to apply any time the engine has dis-
abled its Tier 3 NO Xemission controls. 
* * * * * 
■186. Section 1042.110 is amended by 
revising paragraphs (a)(1) and (d) and removing and reserving paragraph (b). 
The revisions read as follows: 
§ 1042.110 Recording reductant use and 
other diagnostic functions. 
(a) * * * 
(1) The diagnostic system must 
monitor reductant quality and tank 
levels and alert operators to the need to refill the reductant tank before it is empty, or to replace the reductant if it does not meet your concentration 
specifications. Unless we approve other alerts, use a malfunction-indicator light (MIL) and an audible alarm. You do not 
need to separately monitor reductant quality if your system uses input from an exhaust NO
Xsensor (or other sensor) 
to alert operators when reductant quality is inadequate. However, tank level must be monitored in all cases. 
* * * * * 
(d) For Category 3 engines equipped 
with on-off NO
Xcontrols (as allowed by § 1042.115(g)), you must also equip your 
engine to continuously monitor NO X 
concentrations in the exhaust. See § 1042.650 to determine if this requirement applies for a given Category 1 or Category 2 engine. For measurement technologies involving discrete sampling events, measurements are considered continuous if they repeat at least once every 60 seconds; we may approve a longer sampling period if it is necessary or appropriate for sufficiently accurate measurements. Describe your 
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system for onboard NO Xmeasurements 
in your application for certification. Use 
good engineering judgment to alert operators if measured NO
X 
concentrations indicate malfunctioning emission controls. Record any such operation in nonvolatile computer memory. You are not required to monitor NO
Xconcentrations during 
operation for which the emission controls may be disabled under § 1042.115(g). For the purpose of this paragraph (d), ‘‘malfunctioning emission controls’’ means any condition in which the measured NO
X 
concentration exceeds the highest value expected when the engine is in compliance with the installed engine standard of § 1042.104(g). Use good engineering judgment to determine these expected values during production-line testing of the engine using linear interpolation between test points and accounting for the degree to which the cycle-weighted emissions of the engine are below the standard. You may also use additional intermediate test points measured during the production-line test. Note that the provisions of paragraph (a) of this section also apply for SCR systems covered by this paragraph (d). For engines subject to both the provisions of paragraph (a) of this section and this paragraph (d), use good engineering judgment to integrate diagnostic features to comply with both paragraphs. For example, engines may use on-off NO
X 
controls to disable certain emission control functions only if the diagnostic system indicates that the monitoring described in this paragraph (d) is active. 
■187. Section 1042.120 is amended by 
revising paragraph (b) introductory text to read as follows: 
§ 1042.120 Emission-related warranty 
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 hours of operation and years, whichever comes first. You may offer an emission- related warranty more generous than we 
require. The emission-related warranty for the engine may not be shorter than any basic mechanical warranty you provide without charge for the engine. Similarly, the emission-related warranty for any component may not be shorter than any warranty you provide without charge for that component. This means that your warranty may not treat emission-related and nonemission- related defects differently for any component. If an engine has no hour meter, we base the warranty periods in this paragraph (b) only on the engine’s age (in years). The warranty period begins when the engine is placed into service. The following minimum warranty periods apply: 
* * * * * 
■188. Section 1042.125 is amended by 
revising paragraphs (a)(2)(i), (a)(3)(i), (c), 
(e), and (f) introductory text to read as follows: 
§ 1042.125 Maintenance instructions. 
* * * * * 
(a) * * * 
(2) * * * (i) For EGR-related filters and coolers, 
DEF filters, crankcase ventilation valves 
and filters, and fuel injector tips (cleaning only), the minimum interval is 1,500 hours. 
* * * * * 
(3) * * * 
(i) For EGR-related filters and coolers, 
DEF filters, crankcase ventilation valves 
and filters, and fuel injector tips (cleaning only), the minimum interval is 1,500 hours. 
* * * * * 
(c) Special maintenance. You may 
specify more frequent maintenance to 
address problems related to special situations, such as atypical engine operation. You must clearly state that this additional maintenance is associated with the special situation you are addressing. You may also address maintenance of low-use engines (such as recreational or stand-by engines) by specifying the maintenance interval in terms of calendar months or years in addition to your specifications in terms of engine operating hours. All special maintenance instructions must be consistent with good engineering judgment. We may disapprove your maintenance instructions if we determine that you have specified special maintenance steps to address maintenance that is unlikely to occur in use, or engine operation that is not atypical. For example, this paragraph (c) does not allow you to design engines that require special maintenance for a certain type of expected operation. If we determine that certain maintenance items do not qualify as special maintenance under this paragraph (c), you may identify this as recommended additional maintenance under paragraph (b) of this section. 
* * * * * 
(e) Maintenance that is not emission- 
related. For maintenance unrelated to 
emission controls, you may schedule 
any amount of inspection or maintenance. You may also take these inspection or maintenance steps during service accumulation on your emission- data engines, as long as they are 
reasonable and technologically necessary. This might include adding engine oil, changing air, fuel, or oil filters, servicing engine-cooling systems, and adjusting idle speed, governor, engine bolt torque, valve lash, or injector lash. You may not perform this nonemission-related maintenance on emission-data engines more often than the least frequent intervals that you recommend to the ultimate purchaser. 
(f) Source of parts and repairs. State 
clearly in your written maintenance 
instructions that a repair shop or person of the owner’s choosing may maintain, replace, or repair emission control devices and systems. Your instructions may not require components or service identified by brand, trade, or corporate name. Also, do not directly or indirectly condition your warranty on a requirement that the engine be serviced by your franchised dealers or any other service establishments with which you have a commercial relationship. You may disregard the requirements in this paragraph (f) if you do one of two things: 
* * * * * 
■189. Section 1042.130 is amended by 
revising paragraph (b) to read as follows: 
§ 1042.130 Installation instructions for 
vessel manufacturers. 
* * * * * 
(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 vessel violates federal law (40 CFR 1068.105(b)), subject to fines or other penalties as described in the Clean Air Act.’’ 
(3) Describe the instructions needed 
to properly install the exhaust system and any other components. Include instructions consistent with the requirements of § 1042.205(u). 
(4) Describe any necessary steps for 
installing the diagnostic system described in § 1042.110. 
(5) Describe how your certification is 
limited for any type of application. . For example, if your engines are certified only for constant-speed operation, tell vessel manufacturers not to install the engines in variable-speed applications or modify the governor. 
(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. 
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(7) State: ‘‘If you install the engine in 
a way that makes the engine’s emission 
control information label hard to read during normal engine maintenance, you must place a duplicate label on the vessel, as described in 40 CFR 1068.105.’’ 
(8) Describe any vessel labeling 
requirements specified in § 1042.135. 
* * * * * 
■190. Section 1042.135 is amended by 
revising paragraphs (b), (c), (d)(1), and 
(e) introductory text to read as follows: 
§ 1042.135 Labeling. 
* * * * * 
(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 (and subfamily, where applicable). 
(4) Identify all the emission standards 
that apply to the engine (or FELs, if applicable). If you do not declare an FEL under subpart H of this part, you may alternatively state the engine’s category, displacement (in liters or L/cyl), maximum engine power (in kW), and power density (in kW/L) as needed to determine the emission standards for the engine family. You may specify displacement, maximum engine power, or power density as a range consistent with the ranges listed in § 1042.101. See § 1042.140 for descriptions of how to specify per-cylinder displacement, maximum engine power, and power density. 
(5) 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. 
(6) Identify the application(s) for 
which the engine family is certified (such as constant-speed auxiliary, variable-speed propulsion engines used with fixed-pitch propellers, etc.). If the engine is certified as a recreational engine, state: ‘‘INSTALLING THIS RECREATIONAL ENGINE IN A COMMERCIAL VESSEL OR USING THE VESSEL FOR COMMERCIAL PURPOSES MAY VIOLATE FEDERAL LAW SUBJECT TO CIVIL PENALTY (40 CFR 1042.601).’’ 
(7) For engines using sulfur-sensitive 
technologies, state: ‘‘ULTRA LOW SULFUR DIESEL FUEL ONLY’’. 
(8) State the useful life for your engine 
family if the applicable useful life is based on the provisions of § 1042.101(e)(2) or (3), or § 1042.104(d)(2). 
(9) Identify the emission control 
system. Use terms and abbreviations as described in 40 CFR 1068.45. You may omit this information from the label if there is not enough room for it and you put it in the owners manual instead. 
(10) State: ‘‘THIS MARINE ENGINE 
COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR].’’ 
(11) For a Category 1 or Category 2 
engine that can be modified to operate on residual fuel, but has not been certified to meet the standards on such a fuel, include the statement: ‘‘THIS ENGINE IS CERTIFIED FOR OPERATION ONLY WITH DIESEL FUEL. MODIFYING THE ENGINE TO OPERATE ON RESIDUAL OR INTERMEDIATE FUEL MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTIES.’’ 
(12) For an engine equipped with on- 
off emission controls as allowed by § 1042.115, include the statement: ‘‘THIS ENGINE IS CERTIFIED WITH ON–OFF EMISSION CONTROLS. OPERATION OF THE ENGINE CONTRARY TO 40 CFR 1042.115(g) IS A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTIES.’’ 
(13) For engines intended for 
installation on domestic or public vessels, include the following statement: ‘‘THIS ENGINE DOES NOT COMPLY WITH INTERNATIONAL MARINE REGULATIONS FOR COMMERCIAL VESSELS UNLESS IT IS ALSO COVERED BY AN EIAPP CERTIFICATE.’’ 
(d) * * * (1) You may identify other emission 
standards that the engine meets or does not meet (such as international standards), as long as this does not cause you to omit any of the information described in paragraphs (c)(5) through (9) of this section. You may add the information about the other emission standards to the statement we specify, or you may include it in a separate statement. 
* * * * * 
(e) For engines using sulfur-sensitive 
technologies, create a separate label 
with the statement: ‘‘ULTRA LOW SULFUR DIESEL FUEL ONLY’’. Permanently attach this label to the vessel near the fuel inlet or, if you do 
not manufacture the vessel, take one of the following steps to ensure that the vessel will be properly labeled: 
* * * * * 
■191. Section 1042.140 is amended by 
revising paragraph (e) to read as follows: 
§ 1042.140 Maximum engine power, 
displacement, power density, and maximum in-use engine speed. 
* * * * * 
(e) Throughout this part, references to 
a specific power value for an engine are 
based on maximum engine power. For example, the group of engines with maximum engine power below 600 kW may be referred to as engines below 600 kW. 
* * * * * 
Subpart C—Certifying Engine Families 
■192. Section 1042.201 is amended by 
revising paragraphs (a) and (g) to read as 
follows: 
§ 1042.201 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 for new production from the indicated effective date until the end of the model year for which it is issued, which may not extend beyond December 31 of that year. No certificate will be issued after December 31 of the model year. You may amend your application for certification after the end of the model year in certain circumstances as described in §§ 1042.220 and 1042.225. You must renew your certification annually for any engines you continue to produce. 
* * * * * 
(g) We may require you to deliver 
your test engines to a facility we 
designate for our testing (see § 1042.235(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. 
* * * * * 
■193. Section 1042.205 is amended by 
revising paragraphs (g), (o), (r)(1), and 
(bb)(1) to read as follows: 
§ 1042.205 Application requirements. 
* * * * * 
(g) List the specifications of the test 
fuel (or mixture of test fuels) to show that they fall within the required ranges we specify in 40 CFR part 1065. 
* * * * * 
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(o) Present emission data for HC, 
NO X, PM, and CO on an emission-data 
engine to show your engines meet 
emission standards as specified in §§ 1042.101 or 1042.104. Note that you must submit PM data for all engines, whether or not a PM standard applies. Show emission figures before and after applying adjustment factors for regeneration and deterioration factors for each pollutant and for each engine. If we specify more than one grade of any fuel type (for example, high-sulfur and low-sulfur diesel fuel), you need to submit test data only for one grade, unless the regulations of this part specify otherwise for your engine. Include emission results for each mode for Category 3 engines or for other engines if you do discrete-mode testing under § 1042.505. For engines using on- off controls as described in § 1042.115(g), include emission data demonstrating compliance with the Tier 2 standards when the engines Tier 3 NO
Xemission controls are disabled. 
Note that §§ 1042.235 and 1042.245 allows you to submit an application in certain cases without new emission data. 
* * * * * 
(r) * * * 
(1) Report all valid test results 
involving measurement of pollutants for 
which emission standards apply. Also 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. We may ask you to send other information to confirm that your tests were valid under the requirements of this part and 40 CFR part 1065. 
* * * * * 
(bb) * * * 
(1) Describe your normal practice for 
importing engines. For example, this 
may include identifying the names and addresses of any agents you have authorized to import your engines. 
* * * * * 
■194. Section 1042.225 is amended by 
adding paragraphs (b)(4) and (g) to read 
as follows: 
§ 1042.225 Amending applications for 
certification. 
* * * * * 
(b) * * * 
(4) Include any other information 
needed to make your application correct 
and complete. 
* * * * * 
(g) You may produce engines as 
described in your amended application for certification and consider those 
engines to be in a certified configuration if we approve a new or modified engine configuration during the model year under paragraph (d) of this section. Similarly, you may modify in-use engines as described in your amended application for certification and consider those engines to be in a certified configuration if we approve a new or modified engine configuration at any time under paragraph (d) of this section. Modifying a new or in-use engine to be in a certified configuration does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve changing to a certified configuration with a higher family emission limit. 
■195. Section 1042.235 is amended by 
revising paragraphs (b), (c) introductory text, (c)(4), and (d)(1) to read as follows: 
§ 1042.235 Emission testing related to 
certification. 
* * * * * 
(b) Test your emission-data engines 
using the procedures and equipment 
specified in subpart F of this part. In the case of dual-fuel engines, measure emissions when operating with each type of fuel for which you intend to certify the engine. In the case of flexible- fuel engines, measure emissions when operating with the fuel mixture that best represents in-use operation or is most likely to have the highest NO
X 
emissions (or NO X+HC emissions for 
engines subject to NO X+HC standards), 
though you may ask us to instead to perform tests with both fuels separately if you can show that intermediate mixtures are not likely to occur in use. 
* * * * * 
(c) We may perform confirmatory 
testing by measuring emissions from 
any of your emission-data engines or other engines from the engine family, as follows: 
* * * * * 
(4) Before we test one of your engines, 
we may calibrate it within normal 
production tolerances for anything we do not consider an adjustable parameter. For example, this would apply for an engine parameter that is subject to production variability because it is adjustable during production, but is not considered an adjustable parameter (as defined in § 1042.901) 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. 
(d) * * * (1) The engine family from the 
previous model year differs from the 
current engine family only with respect to model year, items identified in § 1042.225(a), or other characteristics unrelated to emissions. We may waive this criterion for differences we determine not to be relevant. 
* * * * * 
■196. Section 1042.240 is amended by 
revising paragraph (c)(3), adding 
paragraphs (c)(4) and (5), and revising paragraph (d) to read as follows: 
§ 1042.240 Demonstrating compliance with 
exhaust emission standards. 
* * * * * 
(c) * * * 
(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 emissions over the useful life will occur between these two points. For example, emissions may increase with service accumulation until a certain maintenance step is performed, then return to the low-hour emission levels and begin increasing again. Base deterioration factors for engines with such emission patterns on the difference between (or ratio of) the point at which the highest emissions occur and the low-hour test point. Note that this applies for maintenance-related deterioration only where we allow such critical emission-related maintenance. 
(4) Deterioration factor for crankcase 
emissions. If your engine vents 
crankcase emissions to the exhaust or to 
the atmosphere, you must account for crankcase emission deterioration, using good engineering judgment. You may use separate deterioration factors for crankcase emissions of each pollutant (either multiplicative or additive) or include the effects in combined deterioration factors that include exhaust and crankcase emissions together for each pollutant. 
(5) Dual-fuel and flexible-fuel engines. 
In the case of dual-fuel and flexible-fuel engines, apply deterioration factors separately for each fuel type. 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) Determine the official emission 
result for each pollutant to at least one 
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more decimal place than the applicable 
standard. Apply the deterioration factor to the official emission result, as described in paragraph (c) of this section, then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission-data engine. In the case of NO
X+HC standards, apply 
the deterioration factor to each pollutant and then add the results before rounding. 
* * * * * 
■197. Section 1042.250 is amended by 
revising paragraphs (b)(3)(iv) and (c) to 
read as follows: 
§ 1042.250 Recordkeeping and reporting. 
* * * * * 
(b) * * * 
(3) * * * (iv) All your emission tests, including 
the date and purpose of each test and 
documentation of test parameters as specified in part 40 CFR part 1065. 
* * * * * 
(c) Keep required data from emission 
tests and all other information specified 
in this section for eight years after we issue your certificate. If you use the same emission data or other information for a later model year, the eight-year period restarts with each year that you continue to rely on the information. 
* * * * * 
■198. Section 1042.255 is amended by 
revising paragraphs (c)(2), (d), and (e) to 
read as follows: 
§ 1042.255 EPA decisions. 
* * * * * 
(c) * * * 
(2) Submit false or incomplete 
information (paragraph (e) of this 
section applies if this is fraudulent). This includes doing anything after submission of your application to render any of the submitted information false or incomplete. 
* * * * * 
(d) We may void the certificate of 
conformity for an engine family if you 
fail to keep records, send reports, or give us information as required under this part or the Clean Air Act. Note that these are also violations of 40 CFR 1068.101(a)(2). 
(e) We may void your certificate if we 
find that you intentionally submitted false or incomplete information. This includes rendering submitted information false or incomplete after submission. 
* * * * * Subpart D—Testing Production-Line 
Engines 
■199. Section 1042.301 is amended by 
revising paragraph (a) introductory text to read as follows: 
§ 1042.301 General provisions. 
(a) If you produce freshly 
manufactured marine engines that are subject to the requirements of this part, you must test them as described in this subpart, except as follows: 
* * * * * 
■200. Section 1042.302 is amended by 
revising paragraph (a) to read as follows: 
§ 1042.302 Applicability of this subpart for 
Category 3 engines. 
* * * * * 
(a) You must test each Category 3 
engine at the sea trial of the vessel in 
which it is installed or within the first 300 hours of operation, whichever occurs first. This may involve testing a fully assembled production engine before it is installed in the vessel. Since you must test each engine, the provisions of §§ 1042.310 and 1042.315(b) do not apply for Category 3 engines. If we determine that an engine failure under this subpart is caused by defective components or design deficiencies, we may revoke or suspend your certificate for the engine family as described in § 1042.340. If we determine that an engine failure under this subpart is caused only by incorrect assembly, we may suspend your certificate for the engine family as described in § 1042.325. If the engine fails, you may continue operating only to complete the sea trial and return to port. It is a violation of 40 CFR 1068.101(b)(1) to operate the vessel further until you remedy the cause of failure. Each two- hour period of such operation constitutes a separate offense. A violation lasting less than two hours constitutes a single offense. 
* * * * * 
Subpart F—Test Procedures 
■201. Section 1042.501 is amended by 
revising paragraphs (a), (d), (e), and (f) 
and adding paragraph (h) to read as follows: 
§ 1042.501 How do I run a valid emission 
test? 
* * * * * 
(a) Use the equipment and procedures 
for compression-ignition engines in 40 
CFR part 1065 to determine whether engines meet the duty-cycle emission standards in §§ 1042.101 or 1042.104. Measure the emissions of all regulated pollutants as specified in 40 CFR part 1065. Use the applicable duty cycles specified in § 1042.505. The following exceptions from the 40 CFR part 1065 procedures apply: 
(1) If you perform discrete-mode 
testing and use only one batch fuel measurement to determine your mean raw exhaust flow rate, you must target a constant sample flow rate over the mode. Verify proportional sampling as described in 40 CFR 1065.545 using the mean raw exhaust molar flow rate paired with each recorded sample flow rate. 
(2) If you perform discrete-mode 
testing, you may verify proportional sampling over the whole duty cycle instead of verifying proportional sampling for each discrete mode. 
* * * * * 
(d) Adjust measured emissions to 
account for aftertreatment technology 
with infrequent regeneration as described in § 1042.525. 
(e) Duty-cycle testing is limited to 
atmospheric pressures between 91.000 and 103.325 kPa. 
(f) You may use special or alternate 
procedures to the extent we allow them under 40 CFR 1065.10. 
* * * * * 
(h) 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. 
■202. Section 1042.505 is amended by 
revising paragraph (b)(5)(iii) to read as follows: 
§ 1042.505 Testing engines using discrete- 
mode or ramped-modal duty cycles. 
* * * * * 
(b) * * * 
(5) * * * (iii) Use the 8-mode duty cycle or the 
corresponding ramped-modal cycle 
described in 40 CFR part 1039, Appendix II, paragraph (c) for variable- speed auxiliary engines with maximum engine power at or above 19 kW that are not propeller-law engines. 
* * * * * 
■203. Section 1042.515 is amended by 
revising paragraphs (f)(2), (f)(4), and (g) 
to read as follows: 
§ 1042.515 Test procedures related to not- 
to-exceed standards. 
* * * * * 
(f) * * * 
(2) You may ask us to approve a 
Limited Testing Region (LTR). An LTR 
is a region of engine operation, within the applicable NTE zone, where you have demonstrated that your engine family operates for no more than 5.0 
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percent of its normal in-use operation, 
on a time-weighted basis. You must specify an LTR using boundaries based on engine speed and power (or torque), where the LTR boundaries must coincide with some portion of the boundary defining the overall NTE zone. Any emission data collected within an LTR for a time duration that exceeds 5.0 percent of the duration of its respective NTE sampling period will be excluded when determining compliance with the applicable NTE standards. Any emission data collected within an LTR for a time duration of 5.0 percent or less of the duration of the respective NTE sampling period will be included when determining compliance with the NTE standards. 
* * * * * 
(4) You may exclude emission data 
based on catalytic aftertreatment 
temperatures as follows: 
(i) For an engine equipped with a 
catalytic NO
Xaftertreatment system, 
exclude NO Xemission data that is 
collected when the exhaust temperature 
at any time during the NTE event is less than 250 °C. 
(ii) For an engine equipped with an 
oxidizing catalytic aftertreatment system, exclude HC and CO emission data that is collected when the exhaust temperature at any time during the NTE event is less than 250 °C. Similarly, exclude PM emission data during operation involving exhaust temperature below 250 °C for an engine equipped with an oxidizing flow- through catalyst. 
(iii) Measure exhaust temperature 
within 30 cm downstream of the last applicable catalytic aftertreatment device. Where there are parallel paths, use good engineering judgment to measure the temperature within 30 cm downstream of the last applicable catalytic aftertreatment device in the path with the greatest exhaust flow. 
(g) Emission sampling is not valid for 
NTE testing if it includes any active regeneration, unless the emission averaging period includes the complete regeneration event(s) and the full period of engine operation until the start of the next regeneration event. This provision applies only for engines that send an electronic signal indicating the start of the regeneration event. 
■204. Section 1042.525 is revised to 
read as follows: 
§ 1042.525 How do I adjust emission levels 
to account for infrequently regenerating aftertreatment devices? 
For engines using aftertreatment 
technology with infrequent regeneration 
events that may occur during testing, take one of the following approaches to account for the emission impact of regeneration, or use an alternate methodology that we approve for Category 3 engines: 
(a) You may use the calculation 
methodology described in 40 CFR 1065.680 to adjust measured emission results. Do this by developing an upward adjustment factor and a downward adjustment factor for each pollutant based on measured emission data and observed regeneration frequency as follows: 
(1) Adjustment factors should 
generally apply to an entire engine family, but you may develop separate adjustment factors for different configurations within an engine family. Use the adjustment factors from this section in all testing for the engine family. 
(2) You may use carryover or carry- 
across data to establish adjustment factors for an engine family as described in § 1042.235, consistent with good engineering judgment. 
(3) Determine the frequency of 
regeneration, F, as described in 40 CFR 
1065.680 from in-use operating data or from running repetitive tests in a laboratory. If the engine is designed for regeneration at fixed time intervals, you may apply good engineering judgment to determine F based on those design 
parameters. 
(4) Identify the value of F in each 
application for certification for which it applies. 
(b) You may ask us to approve an 
alternate methodology to account for regeneration events. We will generally limit approval to cases where your engines use aftertreatment technology with extremely infrequent regeneration and you are unable to apply the provisions of this section. 
(c) You may choose to make no 
adjustments to measured emission results if you determine that regeneration does not significantly affect emission levels for an engine family (or configuration) or if it is not practical to identify when regeneration occurs. If you choose not to make adjustments under paragraph (a) or (b) of this section, your engines must meet emission standards for all testing, without regard to regeneration. 
Subpart G—Special Compliance 
Provisions 
■205. Section 1042.601 is amended by 
revising paragraph (d) and adding paragraph (j) to read as follows: 
§ 1042.601 General compliance provisions 
for marine engines and vessels. 
* * * * * (d) The provisions of § 1042.635 for 
the national security exemption apply 
in addition to the provisions of 40 CFR 1068.225. 
* * * * * 
(j) Subpart C of this part describes 
how to test and certify dual-fuel and 
flexible-fuel engines. Some multi-fuel engines may not fit either of those defined terms. For such engines, we will determine whether it is most appropriate to treat them as single-fuel engines, dual-fuel engines, or flexible- fuel engines based on the range of possible and expected fuel mixtures. For example, an engine might burn natural gas but initiate combustion with a pilot injection of diesel fuel. If the engine is designed to operate with a single fueling algorithm (i.e., fueling rates are fixed at 
a given engine speed and load condition), we would generally treat it as a single-fuel engine. In this context, the combination of diesel fuel and natural gas would be its own fuel type. If the engine is designed to also operate on diesel fuel alone, we would generally treat it as a dual-fuel engine. If the engine is designed to operate on varying mixtures of the two fuels, we would generally treat it as a flexible-fuel engine. To the extent that requirements vary for the different fuels or fuel mixtures, we may apply the more stringent requirements. 
■206. Section 1042.605 is amended by 
revising paragraph (e)(3) to read as follows: 
§ 1042.605 Dressing engines already 
certified to other standards for nonroad or heavy-duty highway engines for marine use. 
* * * * * 
(e) * * * 
(3) Send the Designated Compliance 
Officer written notification describing 
your plans before using the provisions of this section. In addition, by February 28 of each calendar year (or less often if we tell you), send the Designated Compliance Officer a signed letter with all the following information: 
(i) Identify your full corporate name, 
address, and telephone number. 
(ii) List the engine models for which 
you used this exemption in the previous year and describe your basis for meeting the sales restrictions of paragraph (d)(4) of this section. 
(iii) State: ‘‘We prepared each listed 
engine model for marine application without making any changes that could increase its certified emission levels, as described in 40 CFR 1042.605.’’ 
* * * * * 
■207. Section 1042.610 is amended by 
revising paragraph (e)(2) to read as 
follows: 
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§ 1042.610 Certifying auxiliary marine 
engines to land-based standards. 
* * * * * 
(e) * * * 
(2) Send the Designated Compliance 
Officer written notification describing 
your plans before using the provisions of this section. In addition, by February 28 of each calendar year (or less often if we tell you), send the Designated Compliance Officer a signed letter with all the following information: 
(i) Identify your full corporate name, 
address, and telephone number. 
(ii) List the engine models for which 
you used this exemption in the previous year and describe your basis for meeting the sales restrictions of paragraph (d)(3) of this section. 
(iii) State: ‘‘We prepared each listed 
engine model for marine application without making any changes that could increase its certified emission levels, as described in 40 CFR 1042.610.’’ 
* * * * * 
■208. Section 1042.630 is amended by 
revising paragraph (f) to read as follows: 
§ 1042.630 Personal-use exemption. 
* * * * * 
(f) The vessel must be a vessel that is 
not classed or subject to Coast Guard 
inspections or surveys. Note that dockside examinations performed by the Coast Guard are not considered inspections (see 46 U.S.C. 3301 and 46 U.S.C. 4502). 
■209. Section 1042.635 is revised to 
read as follows: 
§ 1042.635 National security exemption. 
Engines qualify for a national security 
exemption as described in 40 CFR 1068.225. This applies to both freshly manufactured and remanufactured engines. 
§ 1042.640 [Removed] 
■210. Section 1042.640 is removed. 
■211. Section 1042.650 is amended by 
revising paragraphs (a) and (d) to read as follows: 
§ 1042.650 Exemptions for migratory 
vessels and auxiliary engines on Category 3 vessels. 
* * * * * 
(a) Temporary exemption. A vessel 
owner may ask us for a temporary 
exemption from the tampering prohibition in 40 CFR 1068.101(b)(1) for a vessel if it will operate for an extended period outside the United States where ULSD is not available. In your request, describe where the vessel will operate, how long it will operate there, why ULSD will be unavailable, and how you will modify the engine, including its emission controls. If we approve your request, you may modify the engine, but 
only as needed to disable or remove the emission controls needed for meeting the Tier 4 standards. You must return the engine to its original certified configuration before the vessel returns to the United States to avoid violating the tampering prohibition in 40 CFR 1068.101(b)(1). We may set additional conditions to prevent circumvention of the provisions of this part. 
* * * * * 
(d) Auxiliary engines on Category 3 
vessels. Auxiliary engines that will be 
installed on vessels with Category 3 
propulsion engines qualify for an exemption from the standards of this part provided all the following conditions are met: 
(1) To be eligible for this exemption, 
the engine must meet all the following criteria. 
(i) The engine must have an EIAPP 
certificate demonstrating compliance with the applicable NO
Xstandards of 
Annex VI and meet all other applicable requirements of 40 CFR part 1043. Engines installed on vessels constructed on or after January 1, 2016 must conform fully to the Annex VI Tier III NO
Xstandards as described in 40 CFR 
part 1043 and meet all other applicable requirements in 40 CFR part 1043. Engines that would otherwise be subject to the Tier 4 standards of this part must also conform fully to the Annex VI Tier III NO
Xstandards as described in 
40 CFR part 1043. 
(ii) The engine may not be used for 
propulsion (except for emergency 
engines). 
(iii) Engines certified to the Annex VI 
Tier III standards may be equipped with on-off NO
Xcontrols, as long as they 
conform to the requirements of §§ 1042.110(d) and 1042.115(g); however, the engines must comply fully with the Annex VI Tier II standards when the emission controls are disabled, and meet any other requirements that apply under Annex VI. 
(2) You must notify the Designated 
Compliance Officer of your intent to use this exemption before you introduce engines into U.S. commerce, not later than the time that you apply for an EIAPP certificate for the engine under 40 CFR part 1043. 
(3) The remanufactured engine 
requirements of subpart I of this part do not apply. 
(4) If you introduce an engine into 
U.S. commerce under this paragraph (d), you must meet the labeling requirements in § 1042.135, but add the following statement instead of the compliance statement in § 1042.135(c)(10): THIS ENGINE DOES NOT COMPLY 
WITH CURRENT U.S. EPA EMISSION 
STANDARDS UNDER 40 CFR 1042.650 AND IS FOR USE SOLELY IN VESSELS WITH CATEGORY 3 PROPULSION ENGINES. INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY. 
(5) The reporting requirements of 
§ 1042.660 apply for engines exempted under this paragraph (d). 
■212. Section 1042.655 is amended by 
revising the section heading and paragraph (b) to read as follows: 
§ 1042.655 Special certification provisions 
for Category 3 engines with aftertreatment. 
* * * * * 
(b) Required testing. The emission- 
data engine must be tested as specified 
in subpart F of this part to verify that the engine-out emissions comply with the Tier 2 standards. The catalyst material or other aftertreatment device must be tested under conditions that accurately represent actual engine conditions for the test points. This catalyst or aftertreatment testing may be performed on a bench scale. 
* * * * * 
■213. Section 1042.660 is amended by 
revising paragraphs (b) and (c)(1) to read 
as follows: 
§ 1042.660 Requirements for vessel 
manufacturers, owners, and operators. 
* * * * * 
(b) For vessels equipped with SCR 
systems requiring the use of urea or 
other reductants, owners and operators must report to the Designated Enforcement Officer within 30 days any operation of such vessels without the appropriate reductant. This includes vessels with auxiliary engines certified to Annex VI standards under § 1042.650(d). Failure to comply with the requirements of this paragraph is a violation of 40 CFR 1068.101(a)(2). Note that such operation is a violation of 40 CFR 1068.101(b)(1). 
(c) * * * 
(1) The requirements of this paragraph 
(c)(1) apply only for Category 3 engines. 
All maintenance, repair, adjustment, and alteration of Category 3 engines subject to the provisions of this part performed by any owner, operator or other maintenance provider must be performed using good engineering judgment, in such a manner that the engine continues (after the maintenance, repair, adjustment or alteration) to meet the emission standards it was certified as meeting prior to the need for service. This includes but is not limited to complying with the maintenance 
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instructions described in § 1042.125. 
Adjustments are limited to the range specified by the engine manufacturer in the approved application for certification. Note that where a repair (or other maintenance) cannot be completed while at sea, it is not a violation to continue operating the engine to reach your destination. 
* * * * * 
■214. Section 1042.670 is amended by 
revising paragraph (d) to read as 
follows: 
§ 1042.670 Special provisions for gas 
turbine engines. 
* * * * * 
(d) Equivalent displacement. Apply 
displacement-based provisions of this 
part by calculating an equivalent displacement from maximum engine power. The equivalent per-cylinder displacement (in liters) equals maximum engine power in kW multiplied by 0.00311, except that all gas turbines with maximum engine power above 9,300 kW are considered to have an equivalent per-cylinder displacement of 29.0 liters. Also, determine the appropriate Tier 3 standards for Category 1 engines based on the engine having an equivalent power density below 35 kW per liter. 
* * * * * 
Subpart H—Averaging, Banking, and 
Trading for Certification 
■215. Section 1042.701 is amended by 
adding paragraphs (j) and (k) to read as follows: 
§ 1042.701 General provisions. 
* * * * * 
(j) NO x+HC and PM credits generated 
under 40 CFR part 94 may be used under this part in the same manner as NO
x+HC and PM credits generated 
under this part. 
(k) You may use either of the 
following approaches to retire or forego emission credits: 
(1) You may retire emission credits 
generated from any number of your engines. This may be considered donating emission credits to the environment. Identify any such credits in the reports described in § 1042.730. Engines must comply with the applicable FELs even if you donate or sell the corresponding emission credits under this paragraph (k). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards. 
(2) You may certify a family using an 
FEL below the emission standard as described in this part and choose not to generate emission credits for that family. If you do this, you do not need to calculate emission credits for those families and you do not need to submit or keep the associated records described in this subpart for that family. 
■216. Section 1042.705 is amended by 
revising paragraph (c) to read as follows: 
§ 1042.705 Generating and calculating 
emission credits. 
* * * * * 
(c) As described in § 1042.730, 
compliance with the requirements of 
this subpart is determined at the end of the model year based on actual U.S.- directed production volumes. Do not include any of the following engines to calculate emission credits: 
(1) Engines with a permanent 
exemption under subpart G of this part or under 40 CFR part 1068. 
(2) Exported engines. 
(3) Engines not subject to the 
requirements of this part, such as those 
excluded under § 1042.5. 
(4) [Reserved] 
(5) Any other engines, where we 
indicate elsewhere in this part 1042 that 
they are not to be included in the calculations of this subpart. 
■217. Section 1042.710 is amended by 
revising paragraph (c) to read as follows: 
§ 1042.710 Averaging emission credits. 
* * * * * 
(c) If you certify an engine family to 
an FEL that exceeds the otherwise applicable emission standard, you must obtain enough emission credits to offset the engine family’s deficit by the due date for the final report required in § 1042.730. The emission credits used to address the deficit may come from your other engine families that generate emission credits in the same model year, from emission credits you have banked from previous model years, or from emission credits generated in the same or previous model years that you obtained through trading. 
■218. Section 1042.725 is amended by 
revising paragraph (b)(2) to read as follows: 
§ 1042.725 Information required for the 
application for certification. 
* * * * * 
(b) * * * 
(2) Detailed calculations of projected 
emission credits (positive or negative) 
based on projected production volumes. We may require you to include similar calculations from your other engine families to demonstrate that you will be able to avoid negative credit balances for the model year. If you project negative emission credits for a family, state the source of positive emission credits you expect to use to offset the negative emission credits. 
■219. Section 1042.730 is amended by 
revising paragraphs (b), (c)(2), and (d) to read as follows: 
§ 1042.730 ABT reports. 
* * * * * 
(b) Your end-of-year and final reports 
must include the following information for each engine family participating in the ABT program: 
(1) Engine-family designation and 
averaging set. 
(2) The emission standards that would 
otherwise apply to the engine family. 
(3) The FEL for each pollutant. If you 
change the FEL after the start of production, identify the date that you started using the new FEL and/or give the engine identification number for the first engine covered by the new FEL. In this case, identify each applicable FEL and calculate the positive or negative emission credits as specified in § 1042.225. 
(4) The projected and actual U.S.- 
directed production volumes for the model year, as described in § 1042.705(c). If you changed an FEL during the model year, identify the actual U.S.-directed production volume associated with each FEL. 
(5) Maximum engine power for each 
engine configuration, and the average engine power weighted by U.S.-directed production volumes for the engine family. 
(6) Useful life. (7) Calculated positive or negative 
emission credits for the whole engine family. Identify any emission credits that you traded, as described in paragraph (d)(1) of this section. 
(c) * * * (2) State whether you will retain any 
emission credits for banking. If you choose to retire emission credits that would otherwise be eligible for banking, identify the engine families that generated the emission credits, including the number of emission credits from each family. 
* * * * * 
(d) If you trade emission credits, you 
must send us a report within 90 days 
after the transaction, as follows: 
(1) As the seller, you must include the 
following information in your report: 
(i) The corporate names of the buyer 
and any brokers. 
(ii) A copy of any contracts related to 
the trade. 
(iii) The averaging set corresponding 
to the engine families that generated emission credits for the trade, including the number of emission credits from each averaging set. 
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(2) As the buyer, you must include the 
following information in your report: 
(i) The corporate names of the seller 
and any brokers. 
(ii) A copy of any contracts related to 
the trade. 
(iii) How you intend to use the 
emission credits, including the number 
of emission credits you intend to apply for each averaging set. 
* * * * * 
■220. Section 1042.735 is amended by 
revising paragraphs (a) and (b) to read 
as follows: 
§ 1042.735 Recordkeeping. 
(a) You must organize and maintain 
your records as described in this section. 
(b) Keep the records required by this 
section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any engines if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits. 
* * * * * 
Subpart I—Special Provisions for 
Remanufactured Marine Engines 
■221. Section 1042.810 is amended by 
revising paragraph (c) to read as follows: 
§ 1042.810 Requirements for owner/ 
operators and installers during remanufacture. 
* * * * * 
(c) Your engine is not subject to the 
standards of this subpart if we 
determine that no certified remanufacturing system is available for your engine as described in § 1042.815. For engines that are remanufactured during multiple events within a five- year period, you are not required to use a certified system until all of your engine’s cylinders have been replaced after the system became available. For example, if you remanufacture your 16- cylinder engine by replacing four cylinders each January and a system becomes available for your engine June 1, 2010, your engine must be in a certified configuration when you replace four cylinders in January of 2014. At that point, all 16 cylinders would have been replaced after June 1, 2010. 
* * * * * 
■222. Section 1042.830 is revised to 
read as follows: 
§ 1042.830 Labeling. 
(a) The labeling requirements of this 
paragraph (a) apply for remanufacturing 
that is subject to the standards of this subpart. At the time of remanufacture, affix a permanent and legible label identifying each engine. The label must be— 
(1) Attached in one piece so it is not 
removable without being destroyed or defaced. 
(2) Secured to a part of the engine 
needed for normal operation and not normally requiring replacement. 
(3) Durable and readable for the 
engine’s entire useful life. 
(4) Written in English. 
(b) The label required under 
paragraph (a) of this section must— 
(1) Include the heading ‘‘EMISSION 
CONTROL INFORMATION’’. 
(2) Include your full corporate name 
and trademark. 
(3) Include EPA’s standardized 
designation for the engine family. 
(4) State the engine’s category, 
displacement (in liters or L/cyl), 
maximum engine power (in kW), and power density (in kW/L) as needed to determine the emission standards for the engine family. You may specify displacement, maximum engine power, and power density as ranges consistent with the ranges listed in § 1042.101. See § 1042.140 for descriptions of how to specify per-cylinder displacement, maximum engine power, and power density. 
(5) State: ‘‘THIS MARINE ENGINE 
MEETS THE STANDARDS OF 40 CFR PART 1042, SUBPART I, FOR [CALENDAR YEAR OF REMANUFACTURE].’’ 
(c) For remanufactured engines that 
are subject to this subpart as described in § 1042.801(a), but are not subject to remanufacturing standards as allowed by § 1042.810 or § 1042.815, you may voluntarily add a label as specified in paragraphs (a) and (b) of this section, except that the label must omit the standardized designation for the engine family and include the following alternative compliance statement: ‘‘THIS MARINE ENGINE IS NOT SUBJECT TO REMANUFACTURING STANDARDS UNDER 40 CFR PART 1042, SUBPART I, FOR [CALENDAR YEAR OF REMANUFACTURE].’’ 
(d) You may add information to the 
emission control information label to identify other emission standards that the engine meets or does not meet (such as international standards). You may also add other information to ensure that the engine will be properly maintained and used. 
(e) You may ask us to approve 
modified labeling requirements in this section if you show that it is necessary or appropriate. We will approve your request if your alternate label is consistent with the intent of the labeling requirements of this section. ■223. Section 1042.836 is amended by 
revising paragraph (c)(1) to read as follows: 
§ 1042.836 Marine certification of 
locomotive remanufacturing systems. 
* * * * * 
(c) * * * 
(1) Tier 0 locomotive systems may not 
be used for any Category 1 engines or 
Tier 1 or later Category 2 engines. 
* * * * * 
■224. Section 1042.840 is amended by 
revising paragraphs (c) and (o) to read 
as follows: 
§ 1042.840 Application requirements for 
remanufactured engines. 
* * * * * 
(c) Summarize the cost effectiveness 
analysis used to demonstrate your 
system will meet the availability criteria of § 1042.815. Identify the maximum allowable costs for vessel modifications to meet these criteria. 
* * * * * 
(o) Report all valid test results. Also 
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. If you measure CO
2, report those 
emission levels. We may require you to report these additional test results. We may ask you to send other information to confirm that your tests were valid under the requirements of this part and 40 CFR part 1065. 
* * * * * 
■225. Section 1042.850 is amended by 
revising the introductory text to read as 
follows: 
§ 1042.850 Exemptions and hardship 
relief. 
This section describes exemption and 
hardship provisions that are available 
for owner/operators of engines subject to the provisions of this subpart. 
* * * * * 
Subpart J—Definitions and Other 
Reference Information 
■226. Section 1042.901 is amended as 
follows: 
■a. By revising the definition of 
‘‘Designated Compliance Officer’’. 
■b. By adding definitions for 
‘‘Designated Enforcement Officer’’, ‘‘Dual-fuel’’, and ‘‘Flexible-fuel’’ in alphabetical order. 
■c. By revising the definitions for 
‘‘Low-sulfur diesel fuel’’, ‘‘Model year’’, and ‘‘Placed into service’’. 
■d. By removing the definition for 
‘‘Point of first retail sale’’. 
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■e. By revising the definition of 
‘‘Sulfur-sensitive technology’’. 
The revisions and additions read as 
follows: 
§ 1042.901 Definitions. 
* * * * * 
Designated Compliance Officer means 
the Director, Diesel Engine Compliance 
Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; complianceinfo@epa.gov; epa.gov/otaq/verify. 
Designated Enforcement Officer 
means the Director, Air Enforcement Division (2242A), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460. 
* * * * * 
Dual-fuel means relating to an engine 
designed for operation on two different 
fuels but not on a continuous mixture of those fuels (see § 1042.601(j)). For purposes of this part, such an engine remains a dual-fuel engine even if it is designed for operation on three or more different fuels. Note that this definition differs from MARPOL Annex VI. 
* * * * * 
Flexible-fuel means relating to an 
engine designed for operation on any 
mixture of two or more different fuels (see § 1042.601(j)). 
* * * * * 
Low-sulfur diesel fuel means one of 
the following: 
(1) For in-use fuels, low-sulfur diesel 
fuel means a diesel fuel marketed as 
low-sulfur diesel fuel having a 
maximum sulfur concentration of 500 parts per million. 
(2) For testing, low-sulfur diesel fuel 
has the meaning given in 40 CFR part 1065. 
* * * * * 
Model year means any of the 
following: 
(1) For freshly manufactured marine 
engines (see definition of ‘‘new marine 
engine,’’ paragraph (1)), model year means one of the following: 
(i) Calendar year of production. 
(ii) Your annual new model 
production period if it is different than 
the calendar year. This must include January 1 of the calendar year for which the model year is named. It may not begin before January 2 of the previous calendar year and it must end by December 31 of the named calendar year. For seasonal production periods not including January 1, model year means the calendar year in which the production occurs, unless you choose to certify the applicable engine family with the following model year. For example, if your production period is June 1, 2010 through November 30, 2010, your model year would be 2010 unless you choose to certify the engine family for model year 2011. 
(2) For an engine that is converted to 
a marine engine after being certified and placed into service as a motor vehicle engine, a nonroad engine that is not a marine engine, or a stationary engine, model year means the calendar year in which the engine was originally produced. For an engine that is converted to a marine engine after being placed into service as a motor vehicle engine, a nonroad engine that is not a marine engine, or a stationary engine without having been certified, model year means the calendar year in which the engine becomes a new marine engine. (See definition of ‘‘new marine engine,’’ paragraph (2)). 
(3) For an uncertified marine engine 
excluded under § 1042.5 that is later subject to this part 1042 as a result of being installed in a different vessel, model year means the calendar year in which the engine was installed in the non-excluded vessel. For a marine engine excluded under § 1042.5 that is later subject to this part 1042 as a result of reflagging the vessel, model year means the calendar year in which the engine was originally manufactured. For a marine engine that become new under paragraph (7) of the definition of ‘‘new marine engine,’’ model year means the calendar year in which the engine was originally manufactured. (See definition of ‘‘new marine engine,’’ paragraphs (3) and (7).) 
(4) For engines that do not meet the 
definition of ‘‘freshly manufactured’’ but are installed in new vessels, model year means the calendar year in which the engine is installed in the new vessel (see definition of ‘‘new marine engine,’’ paragraph (4)). 
(5) For remanufactured engines, 
model year means the calendar year in which the remanufacture takes place. 
(6) For imported engines: 
(i) For imported engines described in 
paragraph (6)(i) of the definition of 
‘‘new marine engine,’’ model year has 
the meaning given in paragraphs (1) through (4) of this definition. 
(ii) For imported engines described in 
paragraph (6)(ii) of the definition of ‘‘new marine engine,’’ model year means the calendar year in which the engine is remanufactured. 
(iii) For imported engines described 
in paragraph (6)(iii) of the definition of ‘‘new marine engine,’’ model year means the calendar year in which the engine is first assembled in its imported configuration, unless specified otherwise in this part or in 40 CFR part 1068. (iv) For imported engines described in 
paragraph (6)(iv) of the definition of ‘‘new marine engine,’’ model year means the calendar year in which the engine is imported. 
(7) [Reserved] 
(8) For freshly manufactured vessels, 
model year means the calendar year in 
which the keel is laid or the vessel is at a similar stage of construction. For vessels that become new under paragraph (2) or (3) of the definition of ‘‘new vessel’’ (as a result of modifications), model year means the calendar year in which the modifications physically begin. 
* * * * * 
Placed into service means put into 
initial use for its intended purpose. 
Engines and vessels do not qualify as being ‘‘placed into service’’ based on incidental use by a manufacturer or dealer. 
* * * * * 
Sulfur-sensitive technology means an 
emission control technology that 
experiences a significant drop in emission control performance or emission-system durability when an engine is operated on low-sulfur diesel fuel (i.e., fuel with a sulfur 
concentration of 300 to 500 ppm) as compared to when it is operated on ultra-low sulfur diesel fuel (i.e., fuel 
with a sulfur concentration less than 15 ppm). Exhaust gas recirculation is not a sulfur-sensitive technology. 
* * * * * 
■227. Section 1042.905 is revised to 
read as follows: 
§ 1042.905 Symbols, acronyms, and 
abbreviations. 
The following symbols, acronyms, 
and abbreviations apply to this part: 
ABT Averaging, banking, and trading. 
AECD auxiliary emission control 
device. 
CFR Code of Federal Regulations. CH
4methane. 
CO carbon monoxide. CO
2carbon dioxide. 
cyl cylinder. disp. displacement. ECA Emission Control Area. EEZ Exclusive Economic Zone. EPA Environmental Protection 
Agency. 
FEL Family Emission Limit. g grams. HC hydrocarbon. hr hours. IMO International Maritime 
Organization. 
kPa kilopascals. kW kilowatts. 
L liters. LTR Limited Testing Region. 
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N2O nitrous oxide. 
NARA National Archives and Records 
Administration. 
NMHC nonmethane hydrocarbon. 
NO Xoxides of nitrogen (NO and NO 2). 
NTE not-to-exceed. PM particulate matter. RPM revolutions per minute. SAE Society of Automotive Engineers. SCR selective catalytic reduction. THC total hydrocarbon. THCE total hydrocarbon equivalent. ULSD ultra low-sulfur diesel fuel. U.S.C. United States Code. 
■228. Section 1042.910 is revised to 
read as follows: 
§ 1042.910 Incorporation by reference. 
(a) Certain material is incorporated by 
reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the Environmental Protection Agency must publish a document in the Federal Register and the material must be 
available to the public. All approved material is available for inspection at U.S. EPA, Air and Radiation Docket and Information Center, 1301 Constitution Ave. NW., Room B102, EPA West Building, Washington, DC 20460, (202) 202–1744, and is available from the sources listed below. It is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202–741– 6030, or go to: http://www.archives.gov/ federal_ register/code_ of_federal_
regulations/ibr_ locations.html. 
(b) The International Maritime 
Organization, 4 Albert Embankment, London SE1 7SR, United Kingdom, or www.imo.org, or 44–(0)20–7735–7611. 
(1) MARPOL Annex VI, Regulations 
for the Prevention of Air Pollution from Ships, Third Edition, 2013, and NO
X 
Technical Code 2008. 
(i) Revised MARPOL Annex VI, 
Regulations for the Prevention of Pollution from Ships, Third Edition, 2013 (‘‘2008 Annex VI’’); IBR approved for § 1042.901. 
(ii) NO
XTechnical Code 2008, 
Technical Code on Control of Emission of Nitrogen Oxides from Marine Diesel Engines, 2013 Edition, (‘‘NO
XTechnical 
Code’’); IBR approved for §§ 1042.104(g), 1042.230(d), 1042.302(c) and (e), 1042.501(g), and 1042.901. 
(iii) Annex 12, Resolution 
MEPC.251(66) from the Report of the Marine Environment Protection Committee on its Sixty-Sixth Session, April 25, 2014. This document describes new and revised provisions that are considered to be part of Annex VI and NO
XTechnical Code 2008 as referenced 
in paragraphs (b)(1)(i) and (ii) of this section. IBR approved for §§ 1042.104(g), 1042.230(d), 1042.302(c) and (e), 1042.501(g), and 1042.901. 
(2) [Reserved] 
■229. Section 1042.915 is revised to 
read as follows: 
§ 1042.915 Confidential information. 
The provisions of 40 CFR 1068.10 
apply for information you consider confidential. 
■230. Section 1042.925 is revised to 
read as follows: 
§ 1042.925 Reporting and recordkeeping 
requirements. 
(a) This part includes various 
requirements to submit and record data 
or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. You are expected to keep your own copy of required records rather than relying on someone else to keep records on your behalf. We may review these records at any time. You must promptly send us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format. 
(b) The regulations in § 1042.255, 40 
CFR 1068.25, and 40 CFR 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties. 
(c) Send all reports and requests for 
approval to the Designated Compliance Officer (see § 1042.801). 
(d) Any written information we 
require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. We may require you to send us these records whether or not you are a certificate holder. 
(e) Under the Paperwork Reduction 
Act (44 U.S.C. 3501 et seq), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations. The following items illustrate the kind of reporting and recordkeeping we require for engines and vessels regulated under this part: (1) We specify the following 
requirements related to engine certification in this part 1042: 
(i) In § 1042.135 we require engine 
manufacturers to keep certain records related to duplicate labels sent to vessel manufacturers. 
(ii) In § 1042.145 we include various 
reporting and recordkeeping requirements related to interim provisions. 
(iii) In subpart C of this part we 
identify a wide range of information required to certify engines. 
(iv) In §§ 1042.345 and 1042.350 we 
specify certain records related to production-line testing. 
(v) In subpart G of this part we 
identify several reporting and recordkeeping items for making demonstrations and getting approval related to various special compliance provisions. 
(vi) In §§ 1042.725, 1042.730, and 
1042.735 we specify certain records related to averaging, banking, and trading. 
(vii) In subpart I of this part we 
specify certain records related to meeting requirements for remanufactured engines. 
(2) We specify the following 
requirements related to testing in 40 CFR part 1065: 
(i) In 40 CFR 1065.2 we give an 
overview of principles for reporting information. 
(ii) In 40 CFR 1065.10 and 1065.12 we 
specify information needs for establishing various changes to published test procedures. 
(iii) In 40 CFR 1065.25 we establish 
basic guidelines for storing test information. 
(iv) In 40 CFR 1065.695 we identify 
the specific information and data items to record when measuring emissions. 
(3) We specify the following 
requirements related to the general compliance provisions in 40 CFR part 1068: 
(i) In 40 CFR 1068.5 we establish a 
process for evaluating good engineering judgment related to testing and certification. 
(ii) In 40 CFR 1068.25 we describe 
general provisions related to sending and keeping information. 
(iii) In 40 CFR 1068.27 we require 
manufacturers to make engines available for our testing or inspection if we make such a request. 
(iv) In 40 CFR 1068.105 we require 
vessel manufacturers to keep certain records related to duplicate labels from engine manufacturers. 
(v) In 40 CFR 1068.120 we specify 
recordkeeping related to rebuilding engines. 
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(vi) In 40 CFR part 1068, subpart C, 
we identify several reporting and 
recordkeeping items for making demonstrations and getting approval related to various exemptions. 
(vii) In 40 CFR part 1068, subpart D, 
we identify several reporting and 
recordkeeping items for making demonstrations and getting approval related to importing engines. 
(viii) In 40 CFR 1068.450 and 
1068.455 we specify certain records related to testing production-line engines in a selective enforcement audit. 
(ix) In 40 CFR 1068.501 we specify 
certain records related to investigating and reporting emission-related defects. 
(x) In 40 CFR 1068.525 and 1068.530 
we specify certain records related to recalling nonconforming engines. 
(xi) In 40 CFR part 1068, subpart G, 
we specify certain records for requesting a hearing. ■231. Appendix II to Part 1042 is 
revised to read as follows: 
Appendix II to Part 1042—Steady-State 
Duty Cycles 
(a) The following duty cycles apply as 
specified in § 1042.505(b)(1): 
(1) The following duty cycle applies for 
discrete-mode testing: 
E3 mode No. Engine speed1 Percent of 
maximum 
test power Weighting 
factors 
1 .................................................................................... Maximum test speed ........................ ............................ 100 0.2 
2 .................................................................................... 91% ....................................... ........................................ 75 0.5 
3 .................................................................................... 80% ....................................... ........................................ 50 0.15 
4 .................................................................................... 63% ....................................... ........................................ 25 0.15 
1Maximum test speed is defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed. 
(2) The following duty cycle applies for 
ramped-modal testing: 
RMC 
mode Time in mode 
(seconds) Engine 
speed13 Power 
(percent)23 
1a Steady-state ....................................... 229 Maximum test speed ............................... 100%. 
1b Transition ............................................ 20 Linear transition ....................................... Linear transition in torque. 
2a Steady-state ....................................... 166 63% ......................................................... 25%. 
2b Transition ............................................ 20 Linear transition ....................................... Linear transition in torque. 
3a Steady-state ....................................... 570 91% ......................................................... 75%. 
3b Transition ............................................ 20 Linear transition ....................................... Linear transition in torque. 
4a Steady-state ....................................... 175 80% ......................................................... 50%. 
1Maximum test speed is defined in 40 CFR part 1065. Percent speed is relative to maximum test speed. 
2The percent power is relative to the maximum test power. 
3Advance from one mode to the next within a 20 second transition phase. During the transition phase, command a linear progression from the 
torque setting of the current mode to the torque setting of the next mode, and simultaneously command a similar linear progression for engine 
speed if there is a change in speed setting. 
(b) The following duty cycles apply as 
specified in § 1042.505(b)(2): (1) The following duty cycle applies for 
discrete-mode testing: 
E5 mode No. Engine 
speed1 Percent of 
maximum 
test power Weighting 
factors 
1 .................................................................................... Maximum test speed ........................ ............................ 100 0.08 
2 .................................................................................... 91% ....................................... ........................................ 75 0.13 
3 .................................................................................... 80% ....................................... ........................................ 50 0.17 
4 .................................................................................... 63% ....................................... ........................................ 25 0.32 
5 .................................................................................... Warm idle ................................. .................................... 0 0.3 
1Maximum test speed is defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed. 
(2) The following duty cycle applies for 
ramped-modal testing: 
RMC 
mode Time in mode 
(seconds) Engine 
speed13 Power 
(percent)23 
1a Steady-state ....................................... 167 Warm idle ................................................ 0. 
1b Transition ............................................ 20 Linear transition ....................................... Linear transition in torque. 
2a Steady-state ....................................... 85 Maximum test speed ............................... 100%. 
2b Transition ............................................ 20 Linear transition ....................................... Linear transition in torque. 
3a Steady-state ....................................... 354 63% ......................................................... 25%. 
3b Transition ............................................ 20 Linear transition ....................................... Linear transition in torque. 
4a Steady-state ....................................... 141 91% ......................................................... 75%. 
4b Transition ............................................ 20 Linear transition ....................................... Linear transition in torque. 
5a Steady-state ....................................... 182 80% ......................................................... 50%. 
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RMC 
mode Time in mode 
(seconds) Engine 
speed13 Power 
(percent)23 
5b Transition ............................................ 20 Linear transition ....................................... Linear transition in torque. 
6 Steady-state ......................................... 171 Warm idle ................................................ 0. 
1Maximum test speed is defined in 40 CFR part 1065. Percent speed is relative to maximum test speed. 
2The percent power is relative to the maximum test power. 
3Advance from one mode to the next within a 20 second transition phase. During the transition phase, command a linear progression from the 
torque setting of the current mode to the torque setting of the next mode, and simultaneously command a similar linear progression for engine 
speed if there is a change in speed setting. 
(c) The following duty cycles apply as 
specified in § 1042.505(b)(3): (1) The following duty cycle applies for 
discrete-mode testing: 
E2 mode No. Engine 
speed1 Torque 
(percent)2 Weighting 
factors 
1 .................................................................................... Engine Governed ........................... ............................... 100 0.2 
2 .................................................................................... Engine Governed ........................... ............................... 75 0.5 
3 .................................................................................... Engine Governed ........................... ............................... 50 0.15 
4 .................................................................................... Engine Governed ........................... ............................... 25 0.15 
1Speed terms are defined in 40 CFR part 1065. 
2The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065. 
(2) The following duty cycle applies for 
ramped-modal testing: 
RMC mode Time in mode 
(seconds) Engine speed Torque 
(percent)12 
1a Steady-state ......................................................... 229 Engine Governed .................................... ................. 100%. 
1b Transition ............................................................. 20 Engine Governed ..................................................... Linear transition. 
2a Steady-state ......................................................... 166 Engine Governed .................................... ................. 25%. 
2b Transition ............................................................. 20 Engine Governed ..................................................... Linear transition. 
3a Steady-state ......................................................... 570 Engine Governed .................................... ................. 75%. 
3b Transition ............................................................. 20 Engine Governed ..................................................... Linear transition. 
4a Steady-state ......................................................... 175 Engine Governed .................................... ................. 50%. 
1The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065. 
2Advance from one mode to the next within a 20 second transition phase. During the transition phase, command a linear progression from the 
torque setting of the current mode to the torque setting of the next mode. 
■232. Appendix III to Part 1042 is 
revised to read as follows: 
Appendix III to Part 1042—Not-to- 
Exceed Zones 
(a) The following definitions apply for this 
Appendix III: 
(1) Percent power means the percentage of 
the maximum power achieved at Maximum 
Test Speed (or at Maximum Test Torque for constant-speed engines). 
(2) Percent speed means the percentage of 
Maximum Test Speed. 
(b) Figure 1 of this Appendix illustrates the 
default NTE zone for marine engines certified using the duty cycle specified in 
§ 1042.505(b)(1), except for variable-speed propulsion marine engines used with 
controllable-pitch propellers or with electrically coupled propellers, as follows: 
(1) Subzone 1 is defined by the following 
boundaries: 
(i) Percent power ÷ 100 > 0.7 · (percent 
speed ÷ 100)
2.5. 
(ii) Percent power ÷ 100 ≤ (percent speed 
÷ 90)3.5. 
(iii) Percent power ÷ 100 ≥ 3.0 ·
(1¥percent speed ÷ 100). 
(2) Subzone 2 is defined by the following 
boundaries: (i) Percent power ÷ 100 ≥ 0.7 · (percent 
speed ÷ 100)2.5. 
(ii) Percent power ÷ 100 ≤ (percent speed 
÷ 90)3.5. 
(iii) Percent power ÷ 100 < 3.0 ·
(1¥percent speed ÷ 100). 
(iv) Percent speed ÷ 100 ≥ 0.7. 
(3) Note that the line separating Subzone 
1 and Subzone 2 includes the following 
endpoints: 
(i) Percent speed = 78.9 percent; Percent 
power = 63.2 percent. 
(ii) Percent speed = 84.6 percent; Percent 
power = 46.1 percent. 
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(c) Figure 2 of this Appendix illustrates the 
default NTE zone for recreational marine 
engines certified using the duty cycle specified in § 1042.505(b)(2), except for variable-speed marine engines used with controllable-pitch propellers or with electrically coupled propellers, as follows: 
(1) Subzone 1 is defined by the following 
boundaries: 
(i) Percent power ÷ 100 ≥ 0.7 · (percent 
speed ÷ 100)
2.5. 
(ii) Percent power ÷ 100 ≤ (percent speed 
÷ 90)3.5. (iii) Percent power ÷ 100 ≥ 3.0 ·
(1¥percent speed ÷ 100). 
(iv) Percent power ≤ 95 percent. 
(2) Subzone 2 is defined by the following 
boundaries: 
(i) Percent power ÷ 100 ≥ 0.7 · (percent 
speed ÷ 100)2.5. 
(ii) Percent power ÷ 100 ≤ (percent speed 
÷ 90)3.5. 
(iii) Percent power ÷ 100 < 3.0 ·
(1¥percent speed ÷ 100). 
(iv) Percent speed ≥ 70 percent. (3) Subzone 3 is defined by the following 
boundaries: 
(i) Percent power ÷ 100 ≤ (percent speed ÷ 
90)3.5. 
(ii) Percent power > 95 percent. 
(4) Note that the line separating Subzone 
1 and Subzone 3 includes a point at Percent speed = 88.7 percent and Percent power = 95.0 percent. See paragraph (b)(3) of this appendix regarding the line separating Subzone 1 and Subzone 2. 
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(d) Figure 3 of this Appendix illustrates the 
default NTE zone for variable-speed marine 
engines used with controllable-pitch propellers or with electrically coupled propellers that are certified using the duty cycle specified in § 1042.505(b)(1), (2), or (3), as follows: 
(1) Subzone 1 is defined by the following 
boundaries: 
(i) Percent power ÷ 100 ≥ 0.7 · (percent 
speed ÷ 100)
2.5. 
(ii) Percent power ÷ 100 ≥ 3.0 · (1¥percent 
speed ÷ 100). 
(iii) Percent speed ≥ 78.9 percent. (2) Subzone 2a is defined by the following 
boundaries: 
(i) Percent power ÷ 100 ≥ 0.7 · (percent 
speed ÷ 100)2.5. 
(ii) Percent speed ≥70 percent. 
(iii) Percent speed <78.9 percent, for 
Percent power >63.3 percent. 
(iv) Percent power ÷ 100 <3.0 · (1¥percent 
speed ÷ 100), for Percent speed ≥78.9 
percent. 
(3) Subzone 2b is defined by the following 
boundaries: 
(i) The line formed by connecting the 
following two points on a plot of speed-vs.- 
power: (A) Percent speed = 70 percent; Percent 
power = 28.7 percent. 
(B) Percent power = 40 percent; Speed = 
governed speed. 
(ii) Percent power ÷ 100 < 0.7 · (percent 
speed ÷ 100)2.5. 
(4) Note that the line separating Subzone 
1 and Subzone 2a includes the following 
endpoints: 
(i) Percent speed = 78.9 percent; Percent 
power = 63.3 percent. 
(ii) Percent speed = 84.6 percent; Percent 
power = 46.1 percent. 
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(e) Figure 4 of this Appendix illustrates the 
default NTE zone for constant-speed engines 
certified using a duty cycle specified in § 1042.505(b)(3) or (4), as follows: (1) Subzone 1 is defined by the following 
boundaries: 
(i) Percent power ≥70 percent. (ii) [Reserved] (2) Subzone 2 is defined by the following 
boundaries: 
(i) Percent power <70 percent. (ii) Percent power ≥40 percent. 
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(f) Figure 5 of this Appendix illustrates the 
default NTE zone for variable-speed auxiliary 
marine engines certified using the duty cycle specified in § 1042.505(b)5)(ii) or (iii), as follows: (1) The default NTE zone is defined by the 
boundaries specified in 40 CFR 86.1370(b)(1), (2), and (4). 
(2) A special PM subzone is defined in 40 
CFR 1039.515(b). 
PART 1043—CONTROL OF NO X, SO X, 
AND PM EMISSIONS FROM MARINE 
ENGINES AND VESSELS SUBJECT TO THE MARPOL PROTOCOL 
■233. The authority citation for part 
1043 continues to read as follows: 
Authority: 33 U.S.C. 1901–1912. 
■234. Section 1043.60 is amended by 
revising paragraph (a) introductory text to read as follows: 
§ 1043.60 Operating requirements for 
engines and vessels subject to this part. 
* * * * * 
(a) Except as specified otherwise in 
this part, NO Xemission limits apply to 
all engines with power output of more 
than 130 kW that will be installed on vessels subject to this part as specified in the following table: 
* * * * * 
■235. Section 1043.100 is revised to 
read as follows: 
§ 1043.100 Incorporation by reference. 
(a) Certain material is incorporated by 
reference into this part with the 
approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 
CFR part 51. To enforce any edition other than that specified in this section, the Environmental Protection Agency must publish a document in the Federal Register and the material must be 
available to the public. All approved 
material is available for inspection at U.S. EPA, Air and Radiation Docket and Information Center, 1301 Constitution Ave. NW., Room B102, EPA West Building, Washington, DC 20460, (202) 202–1744, and is available from the sources listed below. It is also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202–741– 6030, or go to: http://www.archives.gov/ federal_ register/code_ of_federal_
regulations/ibr_ locations.html. 
(b) The International Maritime 
Organization, 4 Albert Embankment, London SE1 7SR, United Kingdom, or www.imo.org, or 44-(0)20–7735–7611. 
(1) MARPOL Annex VI, Regulations 
for the Prevention of Air Pollution from Ships, Third Edition, 2013, and NO
X 
Technical Code 2008. (i) Revised MARPOL Annex VI, 
Regulations for the Prevention of 
Pollution from Ships, Third Edition, 2013 (‘‘2008 Annex VI’’); IBR approved for §§ 1043.1 introductory text, 1043.20, 1043.30(f), 1043.60(c), and 1043.70(a). 
(ii) NO
XTechnical Code 2008, 
Technical Code on Control of Emission of Nitrogen Oxides from Marine Diesel Engines, 2013 Edition, (‘‘NO
XTechnical 
Code’’); IBR approved for §§ 1043.20, 1043.41(b) and (h), and 1043.70(a). 
(iii) Annex 12, Resolution 
MEPC.251(66) from the Report of the Marine Environment Protection Committee on its Sixty-Sixth Session, April 25, 2014. This document describes new and revised provisions that are considered to be part of Annex VI and NO
XTechnical Code 2008 as referenced 
in paragraphs (b)(1)(i) and (ii) of this section. IBR approved for §§ 1043.1 introductory text, 1043.20, 1043.30(f), 1043.41(b) and (h), 1043.60(c), and 1043.70(a). 
(2) [Reserved] 
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PART 1065—ENGINE-TESTING 
PROCEDURES 
■236. The authority citation for part 
1065 continues to read as follows: 
Authority: 42 U.S.C. 7401–7671q. 
Subpart A—Applicability and General Provisions 
■237. Section 1065.10 is amended by 
revising paragraph (c)(1)(ii) to read as follows: 
§ 1065.10 Other procedures. 
* * * * * 
(c) * * * 
(1) * * * (ii) Whether the unrepresentative 
aspect of the procedures affects your 
ability to show compliance with the applicable emission standards. 
* * * * * 
■238. Section 1065.15 is amended by 
revising paragraph (a)(2) to read as 
follows: § 1065.15 Overview of procedures for 
laboratory and field testing. 
* * * * * 
(a) * * * 
(2) Hydrocarbon, HC, which may be 
expressed in the following ways: 
(i) Total hydrocarbon, THC. 
(ii) Nonmethane hydrocarbon, NMHC, 
which results from subtracting methane, 
CH 4, from THC. 
(iii) Nonmethane-nonethane 
hydrocarbon, NMNEHC, which results from subtracting methane, CH
4, and 
ethane, C 2H6, from THC. 
(iv) Total hydrocarbon-equivalent, 
THCE, which results from adjusting THC mathematically to be equivalent on a carbon-mass basis. 
(v) Nonmethane hydrocarbon- 
equivalent, NMHCE, which results from adjusting NMHC mathematically to be equivalent on a carbon-mass basis. 
* * * * * Subpart B—Equipment Specifications 
■239. Section 1065.140 is amended by 
revising paragraphs (d)(2) introductory 
text and (d)(3) introductory text to read as follows: 
§ 1065.140 Dilution for gaseous and PM 
constituents. 
* * * * * 
(d) * * * 
(2) Constant dilution-ratio PFD. Do 
one of the following for constant 
dilution-ratio PFD: 
* * * * * 
(3) Varying dilution-ratio PFD. All the 
following provisions apply for varying 
dilution-ratio PFD: 
* * * * * 
■240. Section 1065.170 is amended by 
revising Figure 1 as follows: 
§ 1065.170 Batch sampling for gaseous 
and PM constituents. 
* * * * * 
Subpart C—Measurement Instruments 
■241. Section 1065.202 is amended by 
revising the introductory text to read as 
follows: 
§ 1065.202 Data updating, recording, and 
control. 
Your test system must be able to 
update data, record data and control 
systems related to operator demand, the dynamometer, sampling equipment, and measurement instruments. Set up the measurement and recording equipment to avoid aliasing by ensuring that the sampling frequency is at least double that of the signal you are measuring, consistent with good engineering judgment; this may require increasing the sampling rate or filtering the signal. Use data acquisition and control systems that can record at the specified minimum frequencies, as follows: 
* * * * * ■242. Section 1065.220 is amended by 
revising paragraph (a) introductory text 
to read as follows: 
§ 1065.220 Fuel flow meter. 
(a) Application. You may use fuel 
flow in combination with a chemical balance of fuel, inlet air, and raw exhaust to calculate raw exhaust flow as described in § 1065.655(f), as follows: 
* * * * * 
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■243. Section 1065.225 is amended by 
revising paragraph (a) introductory text 
to read as follows: 
§ 1065.225 Intake-air flow meter. 
(a) Application. You may use an 
intake-air flow meter in combination with a chemical balance of fuel, inlet air, and exhaust to calculate raw exhaust flow as described in § 1065.655(f) and (g), as follows: 
* * * * * 
■244. Add § 1065.247 to read as 
follows: 
§ 1065.247 Diesel exhaust fluid flow rate. 
(a) Application. Determine diesel 
exhaust fluid flow rate over a test 
interval for batch or continuous emission sampling using one of the three methods described in this section. 
(b) ECM. Use the ECM signal directly 
to determine diesel exhaust fluid flow rate. You may combine this with a gravimetric scale if that improves measurement quality. Prior to testing, you may characterize the ECM signal using a laboratory measurement and adjust the ECM signal, consistent with good engineering judgment. 
(c) Flow meter. Measure diesel 
exhaust fluid flow rate with a flow meter. We recommend that the flow meter that meets the specifications in Table 1 of § 1065.205. Note that your overall system for measuring diesel exhaust fluid flow must meet the linearity verification in § 1065.307. Measure using the following procedure: 
(1) Condition the flow of diesel 
exhaust fluid as needed to prevent wakes, eddies, circulating flows, or flow pulsations from affecting the accuracy or repeatability of the meter. You may accomplish this by using a sufficient length of straight tubing (such as a length equal to at least 10 pipe diameters) or by using specially designed tubing bends, straightening fins, or pneumatic pulsation dampeners to establish a steady and predictable velocity profile upstream of the meter. Condition the flow as needed to prevent any gas bubbles in the fluid from affecting the flow meter. 
(2) Account for any fluid that 
bypasses the engine or returns from the engine to the fluid storage tank. 
(d) Gravimetric scale. Use a 
gravimetric scale to determine the mass of diesel exhaust fluid the engine uses over a discrete-mode test interval and divide by the time of the test interval. 
■245. Section 1065.260 is amended by 
revising paragraphs (e) and (f) and adding paragraph (g) to read as follows: 
§ 1065.260 Flame-ionization detector. 
* * * * * (e) NMHC and NMOG. For 
demonstrating compliance with NMHC 
standards, you may either measure THC or determine NMHC mass as described in § 1065.660(b)(1), or you may measure THC and CH
4and determine NMHC as 
described in § 1065.660(b)(2) or (3). For gaseous-fueled engines, you may also use the additive method in § 1065.660(b)(4). See 40 CFR 1066.635 for methods to demonstrate compliance with NMOG standards for vehicle testing. 
(f) NMNEHC. For demonstrating 
compliance with NMNEHC standards, you may either measure NMHC or determine NMNEHC mass as described in § 1065.660(c)(1), you may measure THC, CH
4, and C 2H6and determine 
NMNEHC as described in § 1065.660(c)(2), or you may use the additive method in § 1065.660(c)(3). 
(g) CH
4. For reporting CH 4or for 
demonstrating compliance with CH 4 
standards, you may use a FID analyzer 
with a nonmethane cutter as described in § 1065.265 or you may use a GC–FID as described in § 1065.267. Determine CH
4as described in § 1065.660(d). 
■246. Add § 1065.266 to subpart C to 
read as follows: 
§ 1065.266 Fourier transform infrared 
analyzer. 
(a) Application. For engines that run 
only on natural gas, you may use a 
Fourier transform infrared (FTIR) analyzer to measure nonmethane hydrocarbon (NMHC) and nonmethane- nonethane hydrocarbon (NMNEHC) for continuous sampling. You may use an FTIR analyzer with any gaseous-fueled engine, including dual-fuel engines, to measure CH
4and C 2H6, for either batch 
or continuous sampling (for subtraction from THC). 
(b) Component requirements. We 
recommend that you use an FTIR analyzer that meets the specifications in Table 1 of § 1065.205. Note that your FTIR-based system must meet the linearity verification in § 1065.307. Use appropriate analytical procedures for interpretation of infrared spectra. For example, EPA Test Method 320 (see https://www3.epa.gov/ttn/emc/ promgate/m-320.pdf) and ASTM D6348 (incorporated by reference in § 1065.1010) are considered valid methods for spectral interpretation. You must use heated FTIR analyzers that maintain all surfaces that are exposed to emissions at a temperature of (110 to 202) °C. 
(c) Hydrocarbon species for NMHC 
and NMNEHC additive determination. To determine NMNEHC, measure ethene, ethyne, propane, propene, butane, formaldehyde, acetaldehyde, formic acid, and methanol. To 
determine NMHC, measure ethane in addition to those same hydrocarbon species. Determine NMHC and NMNEHC as described in § 1065.660(b)(4) and § 1065.660(c)(3). 
(d) NMHC and NMNEHC CH
4and 
C2H6determination from subtraction of 
CH 4and C 2H6from THC. Determine CH 4 
as described in § 1065.660(d)(2) and C
2H6as described § 1065.660(e). 
Determine NMHC from subtraction of CH
4from THC as described in 
§ 1065.660(b)(3) and NMNEHC from subtraction of CH
4and C 2H6as 
described § 1065.660(c)(2). Determine CH
4as described in § 1065.660(d)(2) and 
C2H6as described § 1065.660(e). 
(e) Interference verification. Perform 
interference verification for FTIR analyzers using the procedures of § 1065.366. Certain interference gases can interfere with FTIR analyzers by 
causing a response similar to the hydrocarbon species of interest. When running the interference verification for these analyzers, use interference gases as follows: 
(1) The interference gases for CH
4are 
CO 2, H2O, and C 2H6. 
(2) The interference gases for C 2H6are 
CO 2, H2O, and CH 4. 
(3) The interference gases for other 
measured hydrocarbon species are CO 2, 
H2O, CH 4, and C 2H6. 
■247. Section 1065.267 is amended by 
revising paragraph (a) to read as follows: 
§ 1065.267 Gas chromatograph with a 
flame ionization detector. 
(a) Application. You may use a gas 
chromatograph with a flame ionization 
detector (GC–FID) to measure CH 4and 
C2H6concentrations of diluted exhaust 
for batch sampling. While you may also use a nonmethane cutter to measure CH
4, as described in § 1065.265, use a 
reference procedure based on a gas chromatograph for comparison with any proposed alternate measurement procedure under § 1065.10. 
* * * * * 
■248. Section 1065.275 is amended by 
revising paragraph (b)(2) to read as 
follows: 
§ 1065.275 N 2O measurement devices. 
* * * * * 
(b) * * * 
(2) Fourier transform infrared (FTIR) 
analyzer. Use appropriate analytical 
procedures for interpretation of infrared spectra. For example, EPA Test Method 320 (see https://www3.epa.gov/ttn/emc/ promgate/m-320.pdf) and ASTM D6348 (incorporated by reference in § 1065.1010) are considered valid methods for spectral interpretation. 
* * * * * 
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Subpart D—Calibrations and 
Verifications 
■249. Section 1065.303 is revised to 
read as follows: § 1065.303 Summary of required 
calibration and verifications. 
The following table summarizes the 
required and recommended calibrations 
and verifications described in this subpart and indicates when these have 
to be performed: 
TABLE 1 OF§ 1065.303—S UMMARY OF REQUIRED CALIBRATION AND VERIFICATIONS  
Type of calibration or verification Minimum frequency1 
§ 1065.305: Accuracy, repeatability and noise ............ Accuracy: Not required, but recommended for initial installation. 
Repeatability: Not required, but recommended for initial installation. 
Noise: Not required, but recommended for initial installation. 
§ 1065.307: Linearity verification ................................. Speed: Upon initial installation, within 370 days before testing and after major mainte-
nance. 
Torque: Upon initial installation, within 370 days before testing and after major mainte-
nance. 
Electrical power, current, and voltage: Upon initial installation, within 370 days before 
testing and after major maintenance.2 
Fuel flow rate: Upon initial installation, within 370 days before testing, and after major 
maintenance. 
DEF flow: Upon initial installation, within 370 days before testing, and after major mainte-
nance. 
Intake-air, dilution air, diluted exhaust, and batch sampler flow rates: Upon initial installa-
tion, within 370 days before testing and after major maintenance, unless flow is verified by propane check or by carbon or oxygen balance. 
Raw exhaust flow rate: Upon initial installation, within 185 days before testing and after 
major maintenance, unless flow is verified by propane check or by carbon or oxygen balance. 
Gas dividers: Upon initial installation, within 370 days before testing, and after major 
maintenance. 
Gas analyzers (unless otherwise noted): Upon initial installation, within 35 days before 
testing and after major maintenance. 
FTIR and photoacoustic analyzers: Upon initial installation, within 370 days before testing 
and after major maintenance. 
GC–ECD: Upon initial installation and after major maintenance. PM balance: Upon initial installation, within 370 days before testing and after major main-
tenance. 
Pressure, temperature, and dewpoint: Upon initial installation, within 370 days before 
testing and after major maintenance. 
§ 1065.308: Continuous gas analyzer system re-
sponse and updating-recording verification—for gas analyzers not continuously compensated for other gas species.Upon initial installation or after system modification that would affect response. 
§ 1065.309: Continuous gas analyzer system-re-
sponse and updating-recording verification—for gas analyzers continuously compensated for other gas species.Upon initial installation or after system modification that would affect response. 
§ 1065.310: Torque ...................................................... Upon initial installation and after major maintenance. 
§ 1065.315: Pressure, temperature, dewpoint ............. Upon initial installation and after major maintenance. 
§ 1065.320: Fuel flow ................................................... Upon initial installation and after major maintenance. 
§ 1065.325: Intake flow ................................................ Upon initial installation and after major maintenance. 
§ 1065.330: Exhaust flow ............................................. Upon initial installation and after major maintenance. 
§ 1065.340: Diluted exhaust flow (CVS) ...................... Upon initial installation and after major maintenance. 
§ 1065.341: CVS and batch sampler verification3...... Upon initial installation, within 35 days before testing, and after major maintenance. 
§ 1065.342 Sample dryer verification .......................... For thermal chillers: Upon installation and after major maintenanc e. 
For osmotic membranes; Upon installation, within 35 days of testing, and after major 
maintenance. 
§ 1065.345: Vacuum leak ............................................ For laboratory testing: Upon initial installation of the sampling system, within 8 hours be-
fore the start of the first test interval of each duty-cycle sequence, and after mainte-nance such as pre-filter changes. 
For field testing: After each installation of the sampling system on the vehicle, prior to the 
start of the field test, and after maintenance such as pre-filter changes. 
§ 1065.350: CO 2NDIR H 2O interference .................... Upon initial installation and after major maintenance. 
§ 1065.355: CO NDIR CO 2and H 2O interference ...... Upon initial installation and after major maintenance. 
§ 1065.360: FID calibration THC FID optimization, 
and THC FID verification.Calibrate all FID analyzers: Upon initial installation and after major maintenance. Optimize and determine CH
4response for THC FID analyzers: Upon initial installation 
and after major maintenance. 
Verify CH 4response for THC FID analyzers: Upon initial installation, within 185 days be-
fore testing, and after major maintenance. 
Verify C 2H6response for THC FID analyzers if used for NMNEHC determination: Upon 
initial installation, within 185 days before testing, and after major maintenance. 
§ 1065.362: Raw exhaust FID O 2interference ............ For all FID analyzers: Upon initial installation, and after major maintenance. 
For THC FID analyzers: Upon initial installation, after major maintenance, and after FID 
optimization according to § 1065.360. 
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TABLE 1 OF§ 1065.303—S UMMARY OF REQUIRED CALIBRATION AND VERIFICATIONS —Continued 
Type of calibration or verification Minimum frequency1 
§ 1065.365: Nonmethane cutter penetration ............... Upon initial installation, within 185 days before testing, and after major maintenance. 
§ 1065.366: Interference verification for FTIR ana-
lyzers.Upon initial installation and after major maintenance. 
§ 1065.369: H 2O, CO, and CO 2interference 
verification for ethanol photoacoustic analyzers.Upon initial installation and after major maintenance. 
§ 1065.370: CLD CO 2and H 2O quench ...................... Upon initial installation and after major maintenance. 
§ 1065.372: NDUV HC and H 2O interference ............. Upon initial installation and after major maintenance. 
§ 1065.375: N 2O analyzer interference ....................... Upon initial installation and after major maintenance. 
§ 1065.376: Chiller NO 2penetration ............................ Upon initial installation and after major maintenance. 
§ 1065.378: NO 2-to-NO converter conversion ............. Upon initial installation, within 35 days before testing, and after major maintenance. 
§ 1065.390: PM balance and weighing ....................... Independent verification: Upon initial installation, within 370 days before testing, and after 
major maintenance. 
Zero, span, and reference sample verifications: Within 12 hours of weighing, and after 
major maintenance. 
§ 1065.395: Inertial PM balance and weighing ........... Independent verification: Upon initial installation, within 370 days before testing, and after 
major maintenance. 
Other verifications: Upon initial installation and after major maintenance. 
1Perform calibrations and verifications more frequently than we specify, according to measurement system manufacturer instructions and good 
engineering judgment. 
2Perform linearity verification either for electrical power or for current and voltage. 
3The CVS verification described in § 1065.341 is not required for systems that agree within ±2% based on a chemical balance of carbon or ox-
ygen of the intake air, fuel, and diluted exhaust. 
■250. Section 1065.340 is amended by 
revising paragraphs (e), (f)(8), (f)(13), (g), 
(h), and Figure 1 to read as follows: 
§ 1065.340 Diluted exhaust flow (CVS) 
calibration. 
* * * * * 
(e) Configuration. Calibrate the system 
with any upstream screens or other 
restrictions that will be used during testing and that could affect the flow ahead of the CVS flow meter, using good engineering judgment to minimize the effect on the flow distribution. You may not use any upstream screen or other restriction that could affect the flow ahead of the reference flow meter, unless the flow meter has been calibrated with such a restriction. In the case of a free standing SSV reference flow meter, you may not have any upstream screens. 
(f) * * * 
(8) Repeat the steps in paragraphs 
(e)(6) and (7) of this section to record 
data at a minimum of six restrictor positions ranging from the wide open restrictor position to the minimum expected pressure at the PDP inlet or the maximum expected differential (outlet minus inlet) pressure across the PDP during testing. 
* * * * * 
(13) During emission testing ensure 
that the PDP is not operated either 
below the lowest inlet pressure point or above the highest differential pressure point in the calibration data. 
(g) SSV calibration. Calibrate a 
subsonic venturi (SSV) to determine its calibration coefficient, C
d,for the 
expected range of inlet pressures. Calibrate an SSV flow meter as follows: (1) Connect the system as shown in 
Figure 1 of this section. 
(2) Verify that any leaks between the 
calibration flow meter and the SSV are less than 0.3% of the total flow at the highest restriction. 
(3) Start the blower downstream of the 
SSV. 
(4) While the SSV operates, maintain 
a constant temperature at the SSV inlet within ±2% of the mean absolute inlet 
temperature, 
T¯
in. 
(5) Set the variable restrictor or 
variable-speed blower to a flow rate greater than the greatest flow rate expected during testing. You may not extrapolate flow rates beyond calibrated values, so we recommend that you make sure the Reynolds number, Re
#, at the 
SSV throat at the greatest calibrated flow rate is greater than the maximum Re
#expected during testing. 
(6) Operate the SSV for at least 3 min 
to stabilize the system. Continue operating the SSV and record the mean of at least 30 seconds of sampled data of each of the following quantities: 
(i) The mean flow rate of the reference 
flow meter nÔ
ref. This may include 
several measurements of different quantities for calculating nÔ
ref, such as 
reference meter pressures and temperatures. 
(ii) Optionally, the mean dewpoint of 
the calibration air,T ¯
dew. See § 1065.640 
for permissible assumptions. 
(iii) The mean temperature at the 
venturi inlet,T ¯in. 
(iv) The mean static absolute pressure 
at the venturi inlet, P ¯in. 
(v) The mean static differential 
pressure between the static pressure at the venturi inlet and the static pressure at the venturi throat, DP ¯
SSV. 
(7) Incrementally close the restrictor 
valve or decrease the blower speed to decrease the flow rate. 
(8) Repeat the steps in paragraphs 
(g)(6) and (7) of this section to record data at a minimum of ten flow rates. 
(9) Determine an equation to quantify 
C
das a function of Re#by using the 
collected data and the equations in § 1065.640. Section 1065.640 also includes statistical criteria for validating the C
dversus Re#equation. 
(10) Verify the calibration by 
performing a CVS verification (i.e., propane check) as described in § 1065.341 using the new C
dversus Re# 
equation. 
(11) Use the SSV only between the 
minimum and maximum calibrated Re#. 
If you want to use the SSV at a lower or higher Re
#, you must recalibrate the 
SSV. 
(12) Use the equations in § 1065.642 
to determine SSV flow during a test. 
(h) CFV calibration. Calibrate a 
critical-flow venturi (CFV) to verify its discharge coefficient, C
d,up to the 
highest expected pressure ratio, r, according to § 1065.640. Calibrate a CFV flow meter as follows: 
(1) Connect the system as shown in 
Figure 1 of this section. 
(2) Verify that any leaks between the 
calibration flow meter and the CFV are less than 0.3% of the total flow at the highest restriction. 
(3) Start the blower downstream of the 
CFV. 
(4) While the CFV operates, maintain 
a constant temperature at the CFV inlet 
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within ±2% of the mean absolute inlet 
temperature, T¯in. 
(5) Set the variable restrictor to its 
wide-open position. Instead of a 
variable restrictor, you may alternately vary the pressure downstream of the CFV by varying blower speed or by introducing a controlled leak. Note that some blowers have limitations on nonloaded conditions. 
(6) Operate the CFV for at least 3 min 
to stabilize the system. Continue operating the CFV and record the mean values of at least 30 seconds of sampled data of each of the following quantities: 
(i) The mean flow rate of the reference 
flow meter, nÔ
ref. This may include 
several measurements of different quantities, such as reference meter pressures and temperatures, for calculating nÔ
ref. 
(ii) The mean dewpoint of the 
calibration air,T ¯dew. See § 1065.640 for 
permissible assumptions during 
emission measurements. (iii) The mean temperature at the 
venturi inlet,T ¯in. 
(iv) The mean static absolute pressure 
at the venturi inlet, P ¯in. 
(v) The mean static differential 
pressure between the CFV inlet and the CFV outlet, DP ¯
CFV. 
(7) Incrementally close the restrictor 
valve or decrease the downstream pressure to decrease the differential pressure across the CFV, Dp
CFV. 
(8) Repeat the steps in paragraphs 
(f)(6) and (7) of this section to record mean data at a minimum of ten restrictor positions, such that you test the fullest practical range of DP ¯
CFV 
expected during testing. We do not require that you remove calibration components or CVS components to calibrate at the lowest possible restrictions. 
(9) Determine C
dand the highest 
allowable pressure ratio, r, according to 
§ 1065.640. (10) Use C dto determine CFV flow 
during an emission test. Do not use the 
CFV above the highest allowed r, as 
determined in § 1065.640. 
(11) Verify the calibration by 
performing a CVS verification (i.e., propane check) as described in § 1065.341. 
(12) If your CVS is configured to 
operate more than one CFV at a time in parallel, calibrate your CVS by one of the following: 
(i) Calibrate every combination of 
CFVs according to this section and § 1065.640. Refer to § 1065.642 for instructions on calculating flow rates for this option. 
(ii) Calibrate each CFV according to 
this section and § 1065.640. Refer to § 1065.642 for instructions on calculating flow rates for this option. 
* * * * * 
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BILLING CODE 6550–50–C 
■251. Section 1065.341 is amended by 
revising paragraph (c)(3) to read as 
follows: 
§ 1065.341 CVS, PFD, and batch sampler 
verification (propane check). 
* * * * * 
(c) * * * 
(3) Select a C 3H8injection port in the 
CVS. Select the port location to be as 
close as practical to the location where you introduce engine exhaust into the CVS, or at some point in the laboratory exhaust tubing upstream of this 
location. Connect the C
3H8cylinder to 
the injection system. 
* * * * * 
■252. Section 1065.345 is amended by 
revising paragraphs (d)(2), (d)(4), (e)(3), 
and (e)(4) to read as follows: 
§ 1065.345 Vacuum-side leak verification. 
* * * * * 
(d) * * * (2) Supply span gas to the analyzer 
span port and record the measured 
value. 
* * * * * 
(4) Verify that the measured overflow 
span gas concentration is within ±0.5% 
of the concentration measured in paragraph (d)(2) of this section. A measured value lower than expected indicates a leak, but a value higher than expected may indicate a problem with the span gas or the analyzer itself. A measured value higher than expected does not indicate a leak. 
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(e) * * * 
(3) Turn off the sample pumps and 
seal the system. Measure and record the 
absolute pressure of the trapped gas and optionally the system absolute temperature. Wait long enough for any transients to settle and long enough for a leak at 0.5% to have caused a pressure change of at least 10 times the resolution of the pressure transducer, then again record the pressure and optionally temperature. 
(4) Calculate the leak flow rate based 
on an assumed value of zero for pumped-down bag volumes and based on known values for the sample system volume, the initial and final pressures, optional temperatures, and elapsed time. Using the calculations specified in § 1065.644, verify that the vacuum- decay leak flow rate is less than 0.5% of the system’s normal in-use flow rate. 
■253. Section 1065.360 is amended by 
revising paragraphs (a)(3), (d) introductory text, and (d)(7) and adding paragraph (f) to read as follows: 
§ 1065.360 FID optimization and 
verification. 
(a) * * * 
(3) If you determine NMNEHC by 
subtracting from measured THC, 
determine the ethane (C 2H6) response 
factor after initial analyzer installation and after major maintenance as described in paragraph (f) of this section. Verify the C
2H6response within 
185 days before testing as described in paragraph (f) of this section. 
* * * * * 
(d) THC FID CH
4response factor 
determination. This procedure is only 
for FID analyzers that measure THC. 
Since FID analyzers generally have a different response to CH
4versus C 3H8, 
determine the THC–FID analyzer’s CH 4 
response factor, RF CH4[THC–FID] , after FID 
optimization. Use the most recent RF
CH4[THC–FID] measured according to 
this section in the calculations for HC determination described in § 1065.660 to compensate for CH
4response. 
Determine RFCH4[THC–FID] as follows, 
noting that you do not determine RF
CH4[THC–FID] for FIDs that are 
calibrated and spanned using CH 4with 
a nonmethane cutter: 
* * * * * 
(7) Introduce the CH 4span gas that 
you selected under paragraph (d)(2) of 
this section into the FID analyzer. 
* * * * * 
(f) THC FID C 2H6response factor 
determination. This procedure is only 
for FID analyzers that measure THC. Since FID analyzers generally have a different response to C
2H6than C 3H8, 
determine the THC–FID analyzer’s C 2H6 response factor, RF C2H6[THC–FID], after 
FID optimization using the procedure described in paragraph (d) of this section, replacing CH
4with C 2H6. Use 
the most recent RF C2H6[THC–FID]  
measured according to this section in the calculations for HC determination described in § 1065.660 to compensate for C
2H6response. 
■254. Section 1065.365 is amended by 
revising paragraphs (d)(9), (e)(10), (f)(9), and (f)(14) to read as follows: 
§ 1065.365 Nonmethane cutter penetration 
fractions. 
* * * * * 
(d) * * * 
(9) Divide the mean C 2H6 
concentration by the reference 
concentration of C 2H6, converted to a C 1 
basis. The result is the C 2H6combined 
response factor and penetration fraction, RFPF
C2H6[NMC–FID]. Use this combined 
response factor and penetration fraction and the product of the CH
4response 
factor and CH 4penetration fraction, 
RFPF CH4[NMC–FID], set to 1.0 in emission 
calculations according to § 1065.660(b)(2)(i), § 1065.660(d)(1)(i), or § 1065.665, as applicable. 
(e) * * * 
(10) Divide the mean C
2H6 
concentration measured through the 
nonmethane cutter by the mean C 2H6 
concentration measured after bypassing the nonmethane cutter. The result is the C
2H6penetration fraction, 
PFC2H6[NMC–FID]. Use this penetration 
fraction according to § 1065.660(b)(2)(ii), § 1065.660(d)(1)(ii), or § 1065.665, as applicable. 
* * * * * 
(f) * * * 
(9) Divide the mean C
2H6 
concentration by the reference 
concentration of C 2H6, converted to a C 1 
basis. The result is the C 2H6combined 
response factor and penetration fraction, RFPF
C2H6[NMC–FID]. Use this combined 
response factor and penetration fraction according to § 1065.660(b)(2)(iii), § 1065.660(d)(1)(iii), or § 1065.665, as applicable. 
* * * * * 
(14) Divide the mean CH
4 
concentration measured through the 
nonmethane cutter by the mean CH 4 
concentration measured after bypassing the nonmethane cutter. The result is the CH
4penetration fraction, PF CH4[NMC–FID].  
Use this penetration fraction according to § 1065.660(b)(2)(iii), § 1065.660(d)(1)(iii), or § 1065.665, as applicable. 
■255. Section 1065.366 is added to 
subpart D to read as follows: § 1065.366 Interference verification for 
FTIR analyzers. 
(a) Scope and frequency. If you 
measure CH 4, C2H6, NMHC, or 
NMNEHC using an FTIR analyzer, verify 
the amount of interference after initial analyzer installation and after major maintenance. 
(b) Measurement principles. 
Interference gases can interfere with certain analyzers by causing a response similar to the target analyte. If the analyzer uses compensation algorithms that utilize measurements of other gases to meet this interference verification, simultaneously conduct these other measurements to test the compensation algorithms during the analyzer interference verification. 
(c) System requirements. An FTIR 
analyzer must have combined interference that is within ±2% of the flow-weighted mean concentration of CH
4, NMHC, or NMNEHC expected at 
the standard, though we strongly recommend a lower interference that is within ±1%. 
(d) Procedure. Perform the 
interference verification for an FTIR analyzer using the same procedure that applies for N
2O analyzers in 
§ 1065.375(d). 
■256. Section 1065.370 is amended by 
revising paragraph (d)(11) to read as 
follows: 
§ 1065.370 CLD CO 2and H 2O quench 
verification. 
* * * * * 
(d) * * * 
(11) Calculate the actual NO 
concentration at the gas divider’s outlet, 
xNOact, based on the span gas 
concentrations and x CO2act according to 
Eq. 1065.675–2. Use the calculated value in the quench verification calculations in Eq. 1065.675–1. 
* * * * * 
■257. Section 1065.375 is amended by 
revising paragraph (b) to read as follows: 
§ 1065.375 Interference verification for N 2O 
analyzers. 
* * * * * 
(b) Measurement principles. 
Interference gases can positively 
interfere with certain analyzers by causing a response similar to N
2O. If the 
analyzer uses compensation algorithms that utilize measurements of other gases to meet this interference verification, simultaneously conduct these other measurements to test the compensation algorithms during the analyzer interference verification. 
* * * * * 
■258. Section 1065.390 is amended by 
revising paragraphs (b), (c) introductory 
text, and (c)(2) to read as follows: 
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§ 1065.390 PM balance verifications and 
weighing process verification. 
* * * * * 
(b) Independent verification. Have the 
balance manufacturer (or a 
representative approved by the balance manufacturer) verify the balance performance within 370 days of testing. Balances have internal weights that compensate for drift due to environmental changes. These internal weights must be verified as part of this independent verification with external, certified calibration weights that meet the specifications in § 1065.790. 
(c) Zeroing and spanning. You must 
verify balance performance by zeroing and spanning it with at least one calibration weight. Also, any external weights you use must meet the specifications in § 1065.790. Any weights internal to the PM balance used for this verification must be verified as described in paragraph (b) of this section. 
* * * * * 
(2) You may use an automated 
procedure to verify balance 
performance. For example most balances have internal weights for automatically verifying balance performance. 
* * * * * 
Subpart F—Performing an Emission 
Test in the Laboratory 
■259. Section 1065.510 is amended by 
revising paragraphs (c) introductory text, (c)(4), and (d)(5)(i) and (iii) to read as follows: 
§ 1065.510 Engine mapping. 
* * * * * 
(c) Negative torque mapping. If your 
engine is subject to a reference duty cycle that specifies negative torque values (i.e., engine motoring), generate a 
motoring torque curve by any of the following procedures: 
* * * * * 
(4) For engines with an electric hybrid 
system, map the negative torque 
required to motor the engine and absorb any power delivered from the RESS by repeating paragraph (g)(2) of this section with minimum operator demand, stopping the sweep to discharge the RESS when the absolute instantaneous power measured from the RESS drops below the expected maximum absolute power from the RESS by more than 2% of total system maximum power (including engine motoring and RESS power) as determined from mapping the negative torque. 
(d) * * * 
(5) * * * (i) For constant-speed engines subject 
only to steady-state testing, you may 
perform an engine map by using a series of discrete torques. Select at least five evenly spaced torque setpoints from no- load to 80% of the manufacturer- declared test torque or to a torque derived from your published maximum power level if the declared test torque is unavailable. Starting at the 80% torque point, select setpoints in 2.5% or smaller intervals, stopping at the endpoint torque. The endpoint torque is defined as the first discrete mapped torque value greater than the torque at maximum observed power where the engine outputs 90% of the maximum observed power; or the torque when engine stall has been determined using good engineering judgment (i.e. sudden 
deceleration of engine speed while adding torque). You may continue mapping at higher torque setpoints. At each setpoint, allow torque and speed to stabilize. Record the mean feedback speed and torque at each setpoint. From this series of mean feedback speed and torque values, use linear interpolation to determine intermediate values. Use this series of mean feedback speeds and torques to generate the power map as described in paragraph (e) of this section. 
* * * * * 
(iii) For any isochronous governed 
(0% speed droop) constant-speed 
engine, you may map the engine with two points as described in this paragraph (d)(5)(iii). After stabilizing at the no-load governed speed in paragraph (d)(4) of this section, record the mean feedback speed and torque. Continue to operate the engine with the governor or simulated governor controlling engine speed using operator demand, and control the dynamometer to target a speed of 99.5% of the recorded mean no-load governed speed. Allow speed and torque to stabilize. Record the mean feedback speed and torque. Record the target speed. The absolute value of the speed error (the mean feedback speed minus the target speed) must be no greater than 0.1% of the recorded mean no-load governed speed. From this series of two mean feedback speed and torque values, use linear interpolation to determine intermediate values. Use this series of two mean feedback speeds and torques to generate a power map as described in paragraph (e) of this section. Note that the measured maximum test torque as determined in § 1065.610 (b)(1) will be the mean feedback torque recorded on the second point. 
* * * * * ■260. Section 1065.546 is amended by 
revising paragraph (a) to read as follows: 
§ 1065.546 Verification of minimum 
dilution ratio for PM batch sampling. 
* * * * * 
(a) Determine minimum dilution ratio 
based on molar flow data. This involves 
determination of at least two of the following three quantities: raw exhaust flow (or previously diluted flow), dilution air flow, and dilute exhaust flow. You may determine the raw exhaust flow rate based on the measured intake air or fuel flow rate and the raw exhaust chemical balance terms as given in § 1065.655(f). You may determine the raw exhaust flow rate based on the measured intake air and dilute exhaust molar flow rates and the dilute exhaust chemical balance terms as given in § 1065.655(g). You may alternatively estimate the molar raw exhaust flow rate based on intake air, fuel rate measurements, and fuel properties, consistent with good engineering judgment. 
* * * * * 
■261. Section 1065.590 is amended by 
revising paragraphs (f)(2), (j) 
introductory text, and (j)(3) through (7) to read as follows: 
§ 1065.590 PM sampling media (e.g., 
filters) preconditioning and tare weighing. 
* * * * * 
(f) * * * 
(2) Use good engineering judgment to 
determine if substitution weighing is 
necessary to show that an engine meets the applicable standard. You may follow the substitution weighing procedure in paragraph (j) of this section, or you may develop your own procedure. 
* * * * * 
(j) Substitution weighing involves 
measurement of a reference weight 
before and after each weighing of the PM sampling medium (e.g., the filter). 
While substitution weighing requires more measurements, it corrects for a balance’s zero-drift and it relies on balance linearity only over a small range. This is most advantageous when quantifying net PM masses that are less than 0.1% of the sample medium’s mass. However, it may not be advantageous when net PM masses exceed 1% of the sample medium’s mass. If you utilize substitution weighing, it must be used for both pre- test and post-test weighing. The same substitution weight must be used for both pre-test and post-test weighing. Correct the mass of the substitution weight for buoyancy if the density of the substitution weight is less than 2.0 g/ 
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cm3. The following steps are an example 
of substitution weighing: 
* * * * * 
(3) Select and weigh a substitution 
weight that meets the requirements for 
calibration weights found in § 1065.790. The substitution weight must also have the same density as the weight you use to span the microbalance, and be similar in mass to an unused sample medium (e.g., filter). A 47 mm PTFE membrane 
filter will typically have a mass in the range of 80 to 100 mg. 
(4) Record the stable balance reading, 
then remove the substitution weight. 
(5) Weigh an unused sample medium 
(e.g., a new filter), record the stable 
balance reading and record the balance environment’s dewpoint, ambient 
temperature, and atmospheric pressure. (6) Reweigh the substitution weight 
and record the stable balance reading. 
(7) Calculate the arithmetic mean of 
the two substitution-weight readings that you recorded immediately before and after weighing the unused sample. Subtract that mean value from the unused sample reading, then add the true mass of the substitution weight as stated on the substitution-weight certificate. Record this result. This is the unused sample’s tare weight without correcting for buoyancy. 
* * * * * 
Subpart G—Calculations and Data 
Requirements 
■262. Section 1065.602 is amended by 
revising paragraphs (f)(1) introductory text, (f)(2) introductory text, and (j) to read as follows: 
§ 1065.602 Statistics. 
* * * * * 
(f) * * * 
(1) For an unpaired t-test, calculate 
the t statistic and its number of degrees 
of freedom, v, as follows: 
* * * * * 
(2) For a paired t-test, calculate the t 
statistic and its number of degrees of 
freedom, v, as follows, noting that the e i 
are the errors (e.g., differences) between 
each pair of y refiand yi: 
* * * * * 
(j) Standard estimate of error. 
Calculate a standard estimate of error, SEE, as follows: 
Eq. 1065.602–11 
Example:  N = 6000 
y1= 2045.8 
a0y= –16.8083 a1y= 1.0110 
yref1= 2045.0 
SEE y= 5.348 
* * * * * 
■263. Section 1065.610 is amended by 
revising paragraphs (a)(1)(ii), (a)(1)(iii), (a)(1)(vi), (a)(2), (b), and (c)(1) and (2) to read as follows: 
§ 1065.610 Duty-cycle generation. 
* * * * * 
(a) * * * 
(1) * * * (ii) Determine the lowest and highest 
engine speeds corresponding to 98% of 
P
max,using linear interpolation, and no 
extrapolation, as appropriate. 
(iii) Determine the engine speed 
corresponding to maximum power, f
nPmax, by calculating the average of the 
two speed values from paragraph (a)(1)(ii) of this section. If there is only 
one speed where power is equal to 98% of P
max,take fnPmax as the speed at which 
Pmaxoccurs. 
* * * * * 
(vi) Determine the lowest and highest 
engine speeds corresponding to the value calculated in paragraph (a)(1)(v) of this section, using linear interpolation as appropriate. Calculate f
ntestas the 
average of these two speed values. If there is only one speed corresponding to the value calculated in paragraph (a)(1)(v) of this section, take f
ntestas the 
speed where the maximum of the sum of the squares occurs. 
* * * * * (2) For engines with a high-speed 
governor that will be subject to a 
reference duty cycle that specifies normalized speeds greater than 100%, 
calculate an alternate maximum test speed, f
ntest,alt, as specified in this 
paragraph (a)(2). If f ntest,alt is less than the 
measured maximum test speed, f ntest, 
determined in paragraph (a)(1) of this section, replace f
ntestwith fntest,alt. In this 
case, fntest,alt becomes the ‘‘maximum test 
speed’’ for that engine. Note that § 1065.510 allows you to apply an optional declared maximum test speed to the final measured maximum test speed determined as an outcome of the comparison between f
ntest,and fntest,alt in 
this paragraph (a)(2). Determine f ntest,alt  
as follows: 
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Where: 
fntest,alt = alternate maximum test speed 
fnhi,idle = warm high-idle speed fnidle= warm idle speed 
% speed max= maximum normalized speed 
from duty cycle Example:  
fnhi,idle = 2200 r/min 
fnidle= 800 r/min 
fntest,alt = 2133 r/min 
* * * * * 
(b) Maximum test torque, T test.For 
constant-speed engines, determine the 
measured Ttestfrom the torque and 
power-versus-speed maps, generated according to § 1065.510, as follows: 
(1) For constant speed engines 
mapped using the methods in § 1065.510(d)(5)(i) or (ii), determine T
test 
as follows: 
(i) Determine maximum power, P max, 
from the engine map generated according to § 1065.510 and calculate the value for power equal to 98% of P
max. 
(ii) Determine the lowest and highest 
engine speeds corresponding to 98% of P
max,using linear interpolation, and no 
extrapolation, as appropriate. 
(iii) Determine the engine speed 
corresponding to maximum power, f
nPmax, by calculating the average of the 
two speed values from paragraph (a)(1)(ii) of this section. If there is only one speed where power is equal to 98% 
of P
max,take fnPmax as the speed at which 
Pmaxoccurs. 
(iv) Transform the map into a 
normalized power-versus-speed map by dividing power terms by P
maxand 
dividing speed terms by f nPmax. Use Eq. 
1065.610–1 to calculate a quantity 
representing the sum of squares from the normalized map. 
(v) Determine the maximum value for 
the sum of the squares from the map and multiply that value by 0.98. 
(vi) Determine the lowest and highest 
engine speeds corresponding to the value calculated in paragraph (a)(1)(v) of this section, using linear interpolation as appropriate. Calculate f
ntestas the 
average of these two speed values. If there is only one speed corresponding to the value calculated in paragraph (a)(1)(v) of this section, take f
ntestas the 
speed where the maximum of the sum of the squares occurs. (vii) The measured T
testis the mapped 
torque at f ntest. 
(2) For constant-speed engines using 
the two-point mapping method in 
§ 1065.510(d)(5)(iii), you may follow paragraph (a)(1) of this section to determine the measured T
test,or you 
may use the measured torque of the second point as the measured T
test 
directly. 
(3) Transform normalized torques to 
reference torques according to paragraph (d) of this section by using the measured maximum test torque determined according to paragraph (b)(1) of this section—or use your declared maximum test torque, as allowed in § 1065.510. 
(c) * * * (1) % speed. If your normalized duty 
cycle specifies % speed values, use your warm idle speed and your maximum test speed to transform the duty cycle, as follows: 
Example:  
% speed = 85% = 0.85 
fntest= 2364 r/min 
fnidle= 650 r/min 
fnref= 0.85 • (2364¥650) + 650 
fnref= 2107 r/min 
(2) A, B, and C speeds. If your 
normalized duty cycle specifies speeds 
as A, B, or C values, use your power- versus-speed curve to determine the lowest speed below maximum power at 
which 50% of maximum power occurs. Denote this value as n
lo.Take nloto be 
warm idle speed if all power points at speeds below the maximum power speed are higher than 50% of maximum power. Also determine the highest speed above maximum power at which 70% of maximum power occurs. Denote this value as n
hi.If all power points at 
speeds above the maximum power speed are higher than 70% of maximum power, take n
hito be the declared 
maximum safe engine speed or the declared maximum representative engine speed, whichever is lower. Use n
hiand nloto calculate reference values 
for A, B, or C speeds as follows: 
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Example:  
nlo= 1005 r/min 
nhi= 2385 r/min 
fnrefA = 0.25 • (2385¥1005) + 1005 
fnrefB= 0.50 • (2385¥1005) + 1005 
fnrefC= 0.75 • (2385¥1005) + 1005 
fnrefA = 1350 r/min 
fnrefB= 1695 r/min 
fnrefC= 2040 r/min 
* * * * * ■264. Section 1065.640 is amended by 
revising paragraphs (a), (b), (c), (d), and 
(e)(3) to read as follows: 
§ 1065.640 Flow meter calibration 
calculations. 
* * * * * 
(a) Reference meter conversions. The 
calibration equations in this section use 
molar flow rate, n ˙ref, as a reference 
quantity. If your reference meter outputs a flow rate in a different quantity, such as standard volume rate, v ˙
stdref, actual 
volume rate, v ˙actref, or mass rate, m ˙ref, 
convert your reference meter output to 
a molar flow rate using the following equations, noting that while values for volume rate, mass rate, pressure, temperature, and molar mass may change during an emission test, you should ensure that they are as constant as practical for each individual set point during a flow meter calibration: 
Where: 
n˙ref= reference molar flow rate. 
v˙stdref= reference volume flow rate, corrected 
to a standard pressure and a standard 
temperature. 
v˙actref= reference volume flow rate at the 
actual pressure and temperature of the flow rate. m˙
ref= reference mass flow. 
pstd= standard pressure. 
pact= actual pressure of the flow rate. 
Tstd= standard temperature. 
Tact= actual temperature of the flow rate. 
R = molar gas constant. 
Mmix= molar mass of the flow rate. 
Example 1:  v˙stdref= 1000.00 ft3/min = 0.471948 m3/s 
pstd= 29.9213 in Hg @32 °F = 101.325 kPa = 
101325 Pa = 101325 kg/(m•s2) 
Tstd= 68.0 °F = 293.15 K 
R = 8.314472 J/(mol•K) = 8.314472 (m2•kg)/ 
(s2•mol•K) 
n˙ref= 19.619 mol/s 
Example 2:  m˙ref= 17.2683 kg/min = 287.805 g/s 
M˙mix= 28.7805 g/mol 
n˙ref= 10.0000 mol/s (b) PDP calibration calculations. 
Perform the following steps to calibrate 
a PDP flow meter: (1) Calculate PDP volume pumped per 
revolution, Vrev,for each restrictor 
position from the mean values 
determined in § 1065.340 as follows: 
Where: 
n˙ref= mean reference molar flow rate. 
R = molar gas constant. 
T¯in= mean temperature at the PDP inlet. P¯in= mean static absolute pressure at the PDP 
inlet. 
f¯nPDP = mean PDP speed. 
Example:  
n˙ref= 25.096 mol/s R = 8.314472 J/(mol·K) = 8.314472 (m2·kg)/ 
(s2·mol·K) 
T¯in= 299.5 K 
P¯in= 98.290 kPa = 98290 Pa = 98290 kg/ 
(m·s2) 
f¯nPDP = 1205.1 r/min = 20.085 r/s 
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Vrev= 0.03166 m3/r (2) Calculate a PDP slip correction 
factor, Ks, for each restrictor position from the mean values determined in 
§ 1065.340 as follows: 
Where: 
f¯nPDP = mean PDP speed. 
P¯out= mean static absolute pressure at the 
PDP outlet. P¯in= mean static absolute pressure at the PDP 
inlet. 
Example:  
f¯nPDP = 1205.1 r/min = 20.085 r/s P¯out= 100.103 kPa 
P¯in= 98.290 kPa 
Ks= 0.006700 s/r 
(3) Perform a least-squares regression 
of Vrev,versus Ks,by calculating slope, a1,and intercept, a 0,as described in 
§ 1065.602. 
(4) Repeat the procedure in 
paragraphs (b)(1) through (3) of this section for every speed that you run 
your PDP. 
(5) The following table illustrates a 
range of typical values for different PDP speeds: 
TABLE 1 OF§ 1065.640—E XAMPLE OF PDP C ALIBRATION DATA 
f¯nPDP 
(revolution/s) a1 
(m3/s) a0 
(m3/revolution) 
12.6 ........................................................................................................................... ............... 0.841 0.056 
16.5 .......................................................................................................................................... 0.831 ¥0.013 
20.9 ........................................................................................................................... ............... 0.809 0.028 
23.4 .......................................................................................................................................... 0.788 ¥0.061 
(6) For each speed at which you 
operate the PDP, use the appropriate 
regression equation from this paragraph 
(b) to calculate flow rate during emission testing as described in § 1065.642. 
(c) Venturi governing equations and 
permissible assumptions. This section describes the governing equations and permissible assumptions for calibrating a venturi and calculating flow using a venturi. Because a subsonic venturi (SSV) and a critical-flow venturi (CFV) both operate similarly, their governing equations are nearly the same, except for the equation describing their 
pressure ratio, r (i.e., r
SSVversus rCFV). 
These governing equations assume one- dimensional isentropic inviscid flow of an ideal gas. Paragraph (c)(5) of this section describes other assumptions that may apply. If good engineering judgment dictates that you account for gas compressibility, you may either use an appropriate equation of state to determine values of Z as a function of 
measured pressure and temperature, or 
you may develop your own calibration equations based on good engineering judgment. Note that the equation for the flow coefficient, C
f, is based on the ideal 
gas assumption that the isentropic 
exponent, g, is equal to the ratio of 
specific heats, C p/Cv.If good engineering 
judgment dictates using a real gas isentropic exponent, you may either use an appropriate equation of state to determine values of g as a function of 
measured pressures and temperatures, or you may develop your own calibration equations based on good engineering judgment. 
(1) Calculate molar flow rate, n ˙, as 
follows: 
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Where: 
Cd= discharge coefficient, as determined in 
paragraph (c)(2) of this section. 
Cf= flow coefficient, as determined in 
paragraph (c)(3) of this section. At= venturi throat cross-sectional area. 
pin= venturi inlet absolute static pressure. 
Z = compressibility factor. 
Mmix= molar mass of gas mixture. 
R = molar gas constant. Tin= venturi inlet absolute temperature. 
(2) Using the data collected in 
§ 1065.340, calculate C dfor each flow 
rate using the following equation: 
Where: 
n˙ref= a reference molar flow rate. 
(3) Determine C fusing one of the 
following methods: 
(i) For CFV flow meters only, 
determine CfCFVfrom the following 
table based on your values for b and g, 
using linear interpolation to find 
intermediate values: 
TABLE 2 OF§ 1065.640–C fCFV 
VERSUS β AND γ FOR CFV F LOW 
METERS  
CfCFV 
β γexh= 
385 γdexh= 
γair= 
399 
0.000 0.6822 0.6846 TABLE 2 OF§ 1065.640–C fCFV 
VERSUS β AND γ FOR CFV F LOW 
METERS —Continued 
CfCFV 
β γexh= 
385 γdexh= 
γair= 
399 
0.400 0.6857 0.6881 
0.500 0.6910 0.6934 
0.550 0.6953 0.6977 
0.600 0.7011 0.7036 
0.625 0.7047 0.7072 
0.650 0.7089 0.7114 
0.675 0.7137 0.7163 
0.700 0.7193 0.7219 
0.720 0.7245 0.7271 
0.740 0.7303 0.7329 
0.760 0.7368 0.7395 
0.770 0.7404 0.7431 TABLE 2 OF§ 1065.640–C fCFV 
VERSUS β AND γ FOR CFV F LOW 
METERS —Continued 
CfCFV 
β γexh= 
385 γdexh= 
γair= 
399 
0.780 0.7442 0.7470 
0.790 0.7483 0.7511 
0.800 0.7527 0.7555 
0.810 0.7573 0.7602 
0.820 0.7624 0.7652 
0.830 0.7677 0.7707 
0.840 0.7735 0.7765 
0.850 0.7798 0.7828 
(ii) For any CFV or SSV flow meter, 
you may use the following equation to calculate C
ffor each flow rate: 
Where: 
g = isentropic exponent. For an ideal gas, this 
is the ratio of specific heats of the gas 
mixture, Cp/Cv. r = pressure ratio, as determined in paragraph 
(c)(4) of this section. 
b = ratio of venturi throat to inlet diameters. (4) Calculate r as follows: 
(i) For SSV systems only, calculate 
rSSVusing the following equation: 
Where: 
DpSSV= Differential static pressure; venturi 
inlet minus venturi throat. (ii) For CFV systems only, calculate 
rCFViteratively using the following 
equation: 
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(5) You may apply any of the 
following simplifying assumptions or 
develop other values as appropriate for your test configuration, consistent with good engineering judgment: 
(i) For raw exhaust, diluted exhaust, 
and dilution air, you may assume that the gas mixture behaves as an ideal gas: 
Z = 1. 
(ii) For raw exhaust, you may assume 
g = 1.385. 
(iii) For diluted exhaust and dilution 
air, you may assume g = 1.399. (iv) For diluted exhaust and dilution 
air, you may assume the molar mass of the mixture, M
mix,is a function only of 
the amount of water in the dilution air or calibration air, as follows: 
Where: 
Mair= molar mass of dry air. 
xH2O= amount of H 2O in the dilution air or 
calibration air, determined as described 
in § 1065.645. 
MH2O= molar mass of water. 
Example:  
Mair= 28.96559 g/mol 
xH2O= 0.0169 mol/mol 
MH2O= 18.01528 g/mol Mmix= 28.96559 · (1– 0.0169) + 18.01528 · 
0.0169 
Mmix= 28.7805 g/mol 
(v) For diluted exhaust and dilution 
air, you may assume a constant molar 
mass of the mixture, M mix,for all 
calibration and all testing as long as your assumed molar mass differs no more than ±1% from the estimated minimum and maximum molar mass during calibration and testing. You may assume this, using good 
engineering judgment, if you 
sufficiently control the amount of water in calibration air and in dilution air or if you remove sufficient water from both calibration air and dilution air. The following table gives examples of permissible ranges of dilution air dewpoint versus calibration air dewpoint: 
TABLE 3 OF§ 1065.640—E XAMPLES OF DILUTION AIR AND CALIBRATION AIRDEWPOINTS AT WHICH YOUMAYASSUME A  
CONSTANT Mmix 
If calibration T dew(°C) is . . . assume the fol-
lowing constant M
mix(g/mol) . . . for the following ranges of T dew 
(°C) during emission testsa 
dry ............................................................................................................................ ................ 28.96559 dry to 18 
0 .............................................................................................................................. ................. 28.89263 dry to 21 
5 .............................................................................................................................. ................. 28.86148 dry to 22 
10 ............................................................................................................................. ................ 28.81911 dry to 24 
15 ............................................................................................................................. ................ 28.76224 dry to 26 
20 ............................................................................................................................. ................ 28.68685 –8 to 28 
25 ............................................................................................................................. ................ 28.58806 12 to 31 
30 ............................................................................................................................. ................ 28.46005 23 to 34 
aRange valid for all calibration and emission testing over the atmospheric pressure range (80.000 to 103.325) kPa. 
(6) The following example illustrates 
the use of the governing equations to 
calculate Cdof an SSV flow meter at one 
reference flow meter value. Note that calculating C
dfor a CFV flow meter 
would be similar, except that C fwould 
be determined from Table 2 of this section or calculated iteratively using values of b and g as described in 
paragraph (c)(2) of this section. 
Example:  
n˙ref= 57.625 mol/s 
Z = 1 
Mmix= 28.7805 g/mol = 0.0287805 kg/mol 
R = 8.314472 J/(mol · K) = 8.314472 (m2· kg)/ 
(s2· mol · K) Tin= 298.15 K 
At= 0.01824 m2 
pin= 99.132 kPa = 99132.0 Pa = 99132 kg/ 
(m·s2) 
g = 1.399 
b = 0.8 
Dp = 2.312 kPa 
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Cf= 0.274 
Cd= 0.982 
(d) SSV calibration. Perform the 
following steps to calibrate an SSV flow 
meter: 
(1) Calculate the Reynolds number, 
Re#, for each reference molar flow rate, n˙ref, using the throat diameter of the 
venturi, dt. Because the dynamic 
viscosity, m, is needed to compute Re#, 
you may use your own fluid viscosity 
model to determine m for your 
calibration gas (usually air), using good engineering judgment. Alternatively, 
you may use the Sutherland three- coefficient viscosity model to approximate m, as shown in the 
following sample calculation for Re
#: 
Where, using the Sutherland three- 
coefficient viscosity model: 
Where: 
m0= Sutherland reference viscosity. T0= Sutherland reference temperature. 
S = Sutherland constant. 
TABLE 4 OF§ 1065.640—S UTHERLAND THREE -COEFFICIENT VISCOSITY MODEL PARAMETERS  
Gasa μ0 T0 S Temperature range within ± 2% errorb Pressure limitb 
kg/(m·s) K K K kPa 
Air .............................. 1.716 · 10¥5 273 111 170 to 1900 ..................................................... ≤ 1800 
CO 2........................... 1.370 · 10¥5 273 222 190 to 1700 ..................................................... ≤ 3600 
H2.............................. 1.12 · 10¥5 350 1064 360 to 1500 ..................................................... ≤ 10000 
O2.............................. 1.919 · 10¥5 273 139 190 to 2000 ..................................................... ≤ 2500 
N2.............................. 1.663 · 10¥5 273 107 100 to 1500 ..................................................... ≤ 1600 
aUse tabulated parameters only for the pure gases, as listed. Do not combine parameters in calculations to calculate viscosities of gas mix-
tures. 
bThe model results are valid only for ambient conditions in the specified ranges. 
Example:  
m0= 1.716 · 10¥5kg/(m·s) 
T0= 273 K S = 111 K 
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m = 1.838 · 10¥5kg/(m·s) 
Mmix= 28.7805 g/mol n˙ref= 57.625 mol/s 
dt= 152.4 mm = 0.1524 m Tin= 298.15 K 
Re#= 7.538·108 
(2) Create an equation for C das a 
function of Re#, using paired values of the two quantities. The equation may 
involve any mathematical expression, including a polynomial or a power series. The following equation is an example of a commonly used 
mathematical expression for relating C
d 
and Re#: 
(3) Perform a least-squares regression 
analysis to determine the best-fit 
coefficients for the equation and calculate SEE as described in 
§ 1065.602. 
(4) If the equation meets the criterion 
of SEE ≤ 0.5% · C
dmax, you may use the 
equation for the corresponding range of Re
#, as described in § 1065.642. 
(5) If the equation does not meet the 
specified statistical criterion, you may use good engineering judgment to omit calibration data points; however you must use at least seven calibration data points to demonstrate that you meet the criterion. For example, this may involve narrowing the range of flow rates for a better curve fit. 
(6) Take corrective action if the 
equation does not meet the specified statistical criterion even after omitting calibration data points. For example, select another mathematical expression for the C
dversus Re#equation, check for 
leaks, or repeat the calibration process. If you must repeat the calibration process, we recommend applying tighter tolerances to measurements and allowing more time for flows to stabilize. 
(7) Once you have an equation that 
meets the specified statistical criterion, you may use the equation only for the corresponding range of Re
#. 
(e) * * * (3) If the standard deviation of all the 
C
dvalues is less than or equal to 0.3% 
of the mean C d,use the mean C din Eq. 
1065.642–4, and use the CFV only up to the highest venturi pressure ratio, r, measured during calibration using the following equation: 
Where: 
DpCFV= Differential static pressure; venturi 
inlet minus venturi outlet. 
* * * * * 
■265. Section 1065.642 is revised to 
read as follows: § 1065.642 PDP, SSV, and CFV molar flow 
rate calculations. 
This section describes the equations 
for calculating molar flow rates from 
various flow meters. After you calibrate a flow meter according to § 1065.640, use the calculations described in this section to calculate flow during an emission test. (a) PDP molar flow rate. (1) Based on 
the speed at which you operate the PDP 
for a test interval, select the corresponding slope, a
1,and intercept, 
a0,as calculated in § 1065.640, to 
calculate PDP molar flow rate,, as follows: 
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Where: 
fnPDP = pump speed. Vrev= PDP volume pumped per revolution, 
as determined in paragraph (a)(2) of this 
section. 
pin= static absolute pressure at the PDP inlet. R = molar gas constant. 
Tin= absolute temperature at the PDP inlet. 
(2) Calculate V revusing the following 
equation: 
pout= static absolute pressure at the PDP 
outlet. 
Example:  
a1= 0.8405 (m3/s) fnPDP = 12.58 r/s 
Pout= 99.950 kPa 
Pin= 98.575 kPa = 98575 Pa = 98575 kg/ 
(m·s2) a0= 0.056 (m3/r) 
R = 8.314472 J/(mol·K) = 8.314472 (m2·kg)/ 
(s2·mol·K) 
Tin= 323.5 K 
n˙= 29.428 mol/s (b) SSV molar flow rate. Calculate 
SSV molar flow rate, n ˙, as follows: 
Where: 
Cd= discharge coefficient, as determined 
based on the C dversus Re#equation in 
§ 1065.640(d)(2). 
Cf= flow coefficient, as determined in 
§ 1065.640(c)(2)(ii). 
At= venturi throat cross-sectional area. 
Pin= static absolute pressure at the venturi 
inlet. 
Z = compressibility factor. 
Mmix= molar mass of gas mixture. R = molar gas constant. 
Tin= absolute temperature at the venturi 
inlet. 
Example:  
At= 0.01824 m2 
pin= 99.132 kPa = 99132 Pa = 99132 kg/ 
(m·s2) 
Z = 1 
Mmix= 28.7805 g/mol = 0.0287805 kg/mol 
R = 8.314472 J/(mol·K) = 8.314472 (m2·kg)/ 
(s2·mol·K) Tin= 298.15 K 
Re#= 7.232·105 
g = 1.399 
b = 0.8 
Dp = 2.312 kPa 
Using Eq. 1065.640–7, r ssv= 0.997 
Using Eq. 1065.640–6, C f= 0.274 
Using Eq. 1065.640–5, C d= 0.990 
n˙= 58.173 mol/s 
(c) CFV molar flow rate. If you use 
multiple venturis and you calibrate each 
venturi independently to determine a separate discharge coefficient, C
d(or 
calibration coefficient, K v), for each 
venturi, calculate the individual molar flow rates through each venturi and sum all their flow rates to determine CFV 
flow rate, n ˙. If you use multiple venturis 
and you calibrated venturis in combination, calculate n ˙using the sum 
of the active venturi throat areas as A
t, 
the square root of the sum of the squares of the active venturi throat diameters as d
t, and the ratio of the venturi throat to 
inlet diameters as the ratio of the square root of the sum of the active venturi throat diameters (d
t) to the diameter of 
the common entrance to all the venturis (D). 
(1) To calculate n ˙through one venturi 
or one combination of venturis, use its respective mean C
dand other constants 
you determined according to § 1065.640 and calculate n ˙as follows: 
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Example:  
Cd= 0.985 
Cf= 0.7219 
At= 0.00456 m2 pin= 98.836 kPa = 98836 Pa = 98836 kg/ 
(m·s2) 
Z = 1 
Mmix= 28.7805 g/mol = 0.0287805 kg/mol R = 8.314472 J/(mol·K) = 8.314472 (m2·kg)/ 
(s2·mol·K) 
Tin= 378.15 K 
n˙= 33.690 mol/s 
(2) To calculate the molar flow rate 
through one venturi or a combination of 
venturis, you may use its respective mean, Kv, and other constants you 
determined according to § 1065.640 and 
calculate its molar flow rate n ˙during an 
emission test. Note that if you follow the permissible ranges of dilution air dewpoint versus calibration air 
dewpoint in Table 3 of § 1065.640, you may set M
mix-cal and Mmixequal to 1. 
Calculate n˙as follows: 
Where: 
Vstdref= volume flow rate of the standard at 
reference conditions of 293.15 K and 
101.325 kPa. 
Tin-cal= venturi inlet temperature during 
calibration. 
Pin-cal= venturi inlet pressure during 
calibration. 
Mmix-cal = molar mass of gas mixture used 
during calibration. Mmix= molar mass of gas mixture during the 
emission test calculated using Eq. 
1065.640–9. 
Example:  
Vstdref= 0.4895 m3 
Tin-cal= 302.52 K 
Pin-cal= 99.654 kPa = 99654 Pa = 99654 kg/ 
(m·s2) 
pin= 98.836 kPa = 98836 Pa = 98836 kg/ 
(m·s2) pstd= 101.325 kPa = 101325 Pa = 101325 kg/ 
(m·s2) 
Mmix-cal = 28.9656 g/mol = 0.0289656 kg/mol 
Mmix= 28.7805 g/mol = 0.0287805 kg/mol 
Tin= 353.15 K 
Tstd= 293.15 K 
R = 8.314472 J/(mol·K) = 8.314472 (m2·kg)/ 
(s2·mol·K) 
n˙= 16.457 mol/s 
■266. Section 1065.645 is amended by 
revising paragraphs (c) and (d) to read 
as follows: § 1065.645 Amount of water in an ideal 
gas. 
* * * * * (c) Relative humidity. If you measure 
humidity as a relative humidity, RH, 
determine the amount of water in an ideal gas, x
H2O, as follows: 
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Where: 
xH2O= amount of water in an ideal gas. 
RH = relative humidity. 
pH2O= water vapor pressure at 100% relative 
humidity at the location of your relative 
humidity measurement, T sat= Tamb. 
pabs= wet static absolute pressure at the 
location of your relative humidity 
measurement. 
Example:  
RH = 50.77% = 0.5077 
pabs= 99.980 kPa Tsat= Tamb= 20 °C 
Using Eq. 1065.645–1, 
pH2O= 2.3371 kPa 
xH2O= (0.5077 · 2.3371)/99.980 
xH2O= 0.011868 mol/mol 
(d) Dewpoint determination from 
relative humidity and dry bulb 
temperature. This paragraph (d) 
describes how to calculate dewpoint temperature from relative humidity, RH. This is based on ‘‘ITS–90 Formulations for Vapor Pressure, Frostpoint Temperature, Dewpoint Temperature, and Enhancement Factors in the Range ¥100 to + 100 °C’’ (Hardy, B., The Proceedings of the Third International Symposium on Humidity & Moisture, Teddington, London, England, April 1998). Calculate p
H20sat as described in 
paragraph (a) of this section based on setting T
satequal to T amb. Calculate 
pH20scaled by multiplying p H20sat by RH. 
Calculate the dewpoint, T dew, from p H20 
using the following equation: 
Where: 
ln(p H2O) = the natural log of p H2Oscaled, which 
is the water vapor pressure scaled to the 
relative humidity at the location of the relative humidity measurement, T sat= 
Tamb 
Example:  
RH = 39.61% = 0.3961 Tsat=Tamb = 20.00 °C = 293.15K 
Using Eq. 1065.645–1, 
pH2Osat = 2.3371 kPa 
pH2Oscaled = (0.3961 · 2.3371) = 0.925717 kPa 
= 925.717 Pa 
■267. Section 1065.650 is amended by 
adding paragraph (c)(6) and revising 
paragraphs (e)(2), (f)(2), (f)(4), and (g)(2)(ii) to read as follows: 
§ 1065.650 Emission calculations. 
* * * * * 
(c) * * * (6) Mass of NMNEHC. If the test fuel 
has less than 0.010 mol/mol of ethane and you omit the NMNEHC calculations as described in § 1065.660(c)(1), take the corrected mass of NMNEHC to be 0.95 times the corrected mass of NMHC. 
* * * * * 
(e) * * * 
(2) To calculate an engine’s mean 
steady-state total power, P ¯, add the 
mean steady-state power from all the work paths described in § 1065.210 that cross the system boundary including electrical power, mechanical shaft power, and fluid pumping power. For all work paths, except the engine’s primary output shaft (crankshaft), the mean steady-state power over the test interval is the integration of the net work flow rate (power) out of the system boundary divided by the period of the test interval. When power flows into the system boundary, the power/work flow rate signal becomes negative; in this case, include these negative power/work rate values in the integration to calculate the mean power from that work path. Some work paths may result in a negative mean power. Include negative mean power values from any work path in the mean total power from the engine rather than setting these values to zero. The rest of this paragraph (e)(2) describes how to calculate the mean power from the engine’s primary output shaft. Calculate P ¯using Eq. 1065.650–13, noting that P ¯, f¯
n, and T ¯ 
refer to mean power, mean rotational shaft frequency, and mean torque from the primary output shaft. Account for the power of simulated accessories according to § 1065.110 (reducing the mean primary output shaft power or torque by the accessory power or torque). Set the power to zero during actual motoring operation (negative feedback torques), unless the engine was connected to one or more energy storage devices. Examples of such energy storage devices include hybrid powertrain batteries and hydraulic accumulators, like the ones illustrated in Figure 1 of § 1065.210. Set the power to zero for modes with a zero reference load (0 N·m reference torque or 0 kW reference power). Include power during idle modes with simulated minimum torque or power. 
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* * * * * 
(f) * * * 
(2) Total work. To calculate a value 
proportional to total work over a test 
interval, integrate a value that is proportional to power. Use information about the brake-specific fuel consumption of your engine, e
fuel,to 
convert a signal proportional to fuel flow rate to a signal proportional to power. To determine a signal 
proportional to fuel flow rate, divide a signal that is proportional to the mass rate of carbon products by the fraction of carbon in your fuel, w
C. You may use 
a measured w Cor you may use default 
values for a given fuel as described in § 1065.655(e). Calculate the mass rate of 
carbon from the amount of carbon and water in the exhaust, which you determine with a chemical balance of 
fuel, intake air, and exhaust as described in § 1065.655. In the chemical balance, you must use concentrations from the flow that generated the signal proportional to molar flow rate, nÕ, in 
paragraph (e)(1) of this section. 
Calculate a value proportional to total work as follows: 
Where: 
* * * * * 
(4) 
Example: The following example shows 
how to calculate mass of emissions using 
proportional values: N = 3000 
ƒrecord = 5 Hz 
efuel= 285 g/(kW·hr) 
wfuel= 0.869 g/g 
MC= 12.0107 g/mol 
nÕ
1= 3.922 mol/s = 14119.2 mol/hr cCcombdry1 = 91.634 mmol/mol = 0.091634 
mol/mol 
cH2Oexh1 = 27.21 mmol/mol = 0.02721 mol/ 
mol 
Using Eq. 1065.650–5, 
Dt = 0.2 s 
W˜= 5.09 (kW·hr) 
(g) * * * (2) * * * 
(ii) Use the following equation if you 
calculate brake-specific emissions over test intervals based on the ratio of mass rate to power as described in paragraph (b)(2) of this section: 
Where: 
i = test interval number. N = number of test intervals. WF = weighting factor for the test interval as 
defined in the standard-setting part. 
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mÔ= mean steady-state mass rate of emissions 
over the test interval as determined in 
paragraph (e) of this section. 
P¯= mean steady-state power over the test 
interval as described in paragraph (e) of 
this section. Example:  
N = 2 
WF 1= 0.85 
WF 2= 0.15 
mÔ
1= 2.25842 g/hr 
mÔ
2= 0.063443 g/hr P¯1= 4.5383 kW 
P¯2= 0.0 kW 
eNOxcomposite = 0.5001 g/kW·hr 
* * * * * 
■268. Section 1065.655 is amended as 
follows: 
■a. By revising paragraphs (a), (b), (c) 
introductory text, (c)(3), and (d). 
■b. By redesignating paragraphs (e) and 
(f) as paragraphs (f) and (g), respectively. 
■c. By adding a new paragraph (e). 
■d. By revising the newly redesignated 
paragraph (f)(3). 
The revisions and additions read as 
follows: 
§ 1065.655 Chemical balances of fuel, 
intake air, and exhaust. 
(a) General. Chemical balances of fuel, 
intake air, and exhaust may be used to 
calculate flows, the amount of water in their flows, and the wet concentration of constituents in their flows. With one flow rate of either fuel, intake air, or exhaust, you may use chemical balances to determine the flows of the other two. For example, you may use chemical balances along with either intake air or fuel flow to determine raw exhaust flow. Note that chemical balance calculations require measured values for the flow rate of diesel exhaust fluid, if applicable. 
(b) Procedures that require chemical 
balances. We require chemical balances 
when you determine the following: 
(1) A value proportional to total work, 
W˜, when you choose to determine 
brake-specific emissions as described in § 1065.650(f). 
(2) Raw exhaust molar flow rate either 
from measured intake air molar flow rate or from fuel mass flow rate as described in paragraph (f) of this section. 
(3) Raw exhaust molar flow rate from 
measured intake air molar flow rate and dilute exhaust molar flow rate, as described in paragraph (g) of this section. 
(4) The amount of water in a raw or 
diluted exhaust flow, c
H2Oexh , when you 
do not measure the amount of water to correct for the amount of water removed by a sampling system. Correct for removed water according to § 1065.659. 
(5) The calculated total dilution air 
flow when you do not measure dilution air flow to correct for background 
emissions as described in § 1065.667(c) and (d). 
(c) Chemical balance procedure. The 
calculations for a chemical balance involve a system of equations that require iteration. We recommend using a computer to solve this system of equations. You must guess the initial values of up to three quantities: The amount of water in the measured flow, c
H2Oexh , fraction of dilution air in 
diluted exhaust, c dil/exh , and the amount 
of products on a C 1basis per dry mole 
of dry measured flow, c Ccombdry . You 
may use time-weighted mean values of combustion air humidity and dilution air humidity in the chemical balance; as long as your combustion air and dilution air humidities remain within tolerances of ±0.0025 mol/mol of their respective mean values over the test interval. For each emission concentration, c, and amount of water, 
c
H2Oexh , you must determine their 
completely dry concentrations, c dryand 
cH2Oexhdry . You must also use your fuel 
mixture’s atomic hydrogen-to-carbon ratio, a, oxygen-to-carbon ratio, b, 
sulfur-to-carbon ratio, g, and nitrogen-to- carbon ratio, d, you may optionally account for diesel exhaust fluid (or other fluids injected into the exhaust), if 
applicable. You may calculate a, b, g, 
and d based on measured fuel and diesel 
exhaust fluid composition or you may use default values as described in paragraph (e) of this section. Use the following steps to complete a chemical balance: 
* * * * * 
(3) Use the following symbols and 
subscripts in the equations for 
performing the chemical balance calculations in this paragraph (c): 
cdil/exh = amount of dilution gas or excess air 
per mole of exhaust. 
cH2Oexh = amount of H 2O in exhaust per mole 
of exhaust. 
cCcombdry = amount of carbon from fuel in the 
exhaust per mole of dry exhaust. 
cH2dry = amount of H 2in exhaust per amount 
of dry exhaust. 
KH2Ogas = water-gas reaction equilibrium 
coefficient. You may use 3.5 or calculate 
your own value using good engineering judgment. c
H2Oexhdry = amount of H 2O in exhaust per dry 
mole of dry exhaust. 
cprod/intdry = amount of dry stoichiometric 
products per dry mole of intake air. 
cdil/exhdry = amount of dilution gas and/or 
excess air per mole of dry exhaust. 
cint/exhdry = amount of intake air required to 
produce actual combustion products per 
mole of dry (raw or diluted) exhaust. 
craw/exhdry = amount of undiluted exhaust, 
without excess air, per mole of dry (raw or diluted) exhaust. 
c
O2int= amount of intake air O 2per mole of 
intake air. 
cCO2intdry = amount of intake air CO 2per mole 
of dry intake air. You may use c CO2intdry  
= 375 mmol/mol, but we recommend 
measuring the actual concentration in the intake air. 
c
H2Ointdry = amount of intake air H 2O per mole 
of dry intake air. 
cCO2int = amount of intake air CO 2per mole 
of intake air. 
cCO2dil = amount of dilution gas CO 2per mole 
of dilution gas. 
cCO2dildry = amount of dilution gas CO 2per 
mole of dry dilution gas. If you use air as diluent, you may use c
CO2dildry = 375 
mmol/mol, but we recommend measuring the actual concentration in the intake air. 
c
H2Odildry = amount of dilution gas H 2O per 
mole of dry dilution gas. 
cH2Odil = amount of dilution gas H 2O per mole 
of dilution gas. 
c[emission]meas = amount of measured emission 
in the sample at the respective gas analyzer. 
c
[emission]dry = amount of emission per dry 
mole of dry sample. 
cH2O[emission]meas = amount of H 2O in sample 
at emission-detection location. Measure or estimate these values according to § 1065.145(e)(2). 
c
H2Oint = amount of H 2O in the intake air, 
based on a humidity measurement of intake air. 
a = atomic hydrogen-to-carbon ratio of the 
fuel (or mixture of test fuels) and any injected fluids. 
b = atomic oxygen-to-carbon ratio of the fuel 
(or mixture of test fuels) and any injected fluids. 
g = atomic sulfur-to-carbon ratio of the fuel 
(or mixture of test fuels) and any injected fluids. 
d = atomic nitrogen-to-carbon ratio of the fuel 
(or mixture of test fuels) and any injected fluids. 
* * * * * 
(d) Carbon mass fraction of fuel. 
Determine carbon mass fraction of fuel, 
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wC, based on the fuel properties as 
determined in paragraph (e) of this 
section, accounting for diesel exhaust fluid’s contribution to a, b, g, and d, or 
that of any other fluid injected into the exhaust, if applicable. Calculate w C 
using the following equation: 
Where: 
wC= carbon mass fraction of the fuel (or 
mixture of test fuels) and any injected 
fluids. 
MC= molar mass of carbon. 
a = atomic hydrogen-to-carbon ratio of the 
fuel (or mixture of test fuels) and any injected fluids. 
M
H= molar mass of hydrogen. b = atomic oxygen-to-carbon ratio of the fuel 
(or mixture of test fuels) and any injected 
fluids. 
MO= molar mass of oxygen. 
g = atomic sulfur-to-carbon ratio of the fuel 
(or mixture of test fuels) and any injected fluids. 
M
S= molar mass of sulfur. 
d = atomic nitrogen-to-carbon ratio of the fuel 
(or mixture of test fuels) and any injected fluids. M
N= molar mass of nitrogen. 
Example:  
a = 1.8 
b = 0.05 
g = 0.0003 
d = 0.0001 
MC= 12.0107 
MH= 1.00794 
MO= 15.9994 
MS= 32.065 
MN= 14.0067 
wC= 0.8206 
(e) Fuel and diesel exhaust fluid 
composition. Determine fuel and diesel 
exhaust fluid composition represented 
by a, b, g, and d as described in this 
paragraph (e). When using measured fuel or diesel exhaust fluid properties, you must determine values for a and b 
in all cases. If you determine compositions based on measured values and the default value listed in Table 1 of this section is zero, you may set g and 
d to zero; otherwise determine g and d 
(along with a and b) based on measured 
values. Determine elemental mass fractions and values for a, b, g, and d as 
follows: 
(1) For liquid fuels, use the default 
values for a, b, g, and d in Table 1 of 
this section or determine mass fractions of liquid fuels for calculation of a, b, g, 
and d as follows: 
(i) Determine the carbon and 
hydrogen mass fractions according to ASTM D5291 (incorporated by reference in § 1065.1010). When using ASTM D5291 to determine carbon and hydrogen mass fractions of gasoline (with or without blended ethanol), use good engineering judgment to adapt the method as appropriate. This may include consulting with the instrument manufacturer on how to test high- volatility fuels. Allow the weight of volatile fuel samples to stabilize for 20 minutes before starting the analysis; if the weight still drifts after 20 minutes, prepare a new sample. Retest the sample if the carbon, hydrogen, and oxygen mass fractions do not add up to a total mass of 100 ±0.5%; if you do not measure oxygen, you may assume it has a zero concentration for this specification. 
(ii) Determine oxygen mass fraction of 
gasoline (with or without blended ethanol) according to ASTM D5599 (incorporated by reference in § 1065.1010). For all other liquid fuels, determine the oxygen mass fraction using good engineering judgment. 
(iii) Determine the nitrogen mass 
fraction according to ASTM D4629 or ASTM D5762 (incorporated by reference in § 1065.1010) for all liquid fuels. Select the correct method based on the expected nitrogen content. 
(iv) Determine the sulfur mass 
fraction according to subpart H of this part. 
(2) For gaseous fuels and diesel 
exhaust fluid, use the default values for a, b, g, and d in Table 1 of this section, 
or use good engineering judgment to determine those values based on measurement. 
(3) For nonconstant fuel mixtures, you 
must account for the varying proportions of the different fuels. This generally applies for dual-fuel engines, but it also applies if diesel exhaust fluid is injected in a way that is not strictly proportional to fuel flow. Account for these varying concentrations either with a batch measurement that provides averaged values to represent the test interval, or by analyzing data from continuous mass rate measurements. Application of average values from a batch measurement generally applies to situations where one fluid is a minor 
component of the total fuel mixture, for example dual-fuel engines with diesel pilot injection, where the diesel pilot fuel mass is less than 5% of the total fuel mass and diesel exhaust fluid injection; consistent with good engineering judgment. 
(4) Calculate a, b, g, and d using the 
following equations: 
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Where: 
M = total number of fuels and injected fluids 
over the duty cycle. 
j = an indexing variable that represents one 
fuel or injected fluid, starting with j = 1. m˙j= the mass flow rate of the fuel or any 
injected fluid j. For applications using a 
single fuel and no DEF fluid, set this 
value to 1. For batch measurements, divide the total mass of fuel over the test interval duration to determine a mass rate. 
W
Hj= hydrogen mass fraction of fuel or any 
injected fluid j. 
WCj= carbon mass fraction of fuel or any 
injected fluid j. 
WOj= oxygen mass fraction of fuel or any 
injected fluid j. 
WSj= sulfur mass fraction of fuel or any 
injected fluid j. 
WNj= nitrogen mass fraction of fuel or any 
injected fluid j. 
Example:  
N = 1 
j = 1 
m˙j= 1 
WHj= 0.1239 
WCj= 0.8206 
WOj= 0.0547 
WSj= 0.00066 
WNj= 0.000095 
MC= 12.0107 
MH= 1.00794 MO= 15.9994 
MS= 32.065 
MN= 14.0067 
a = 1.799 
b = 0.05004 
g = 0.0003012 
d = 0.0001003 
TABLE 1 OF§ 1065.655—D EFAULT VALUES OF α, β,γ, δ, ANDWC 
Fuel or injected fluid Atomic hydrogen, 
oxygen, sulfur, and 
nitrogen-to-carbon ratios 
CHaObSgNd Carbon mass 
fraction, WC 
g/g 
Gasoline ....................................................................................................................... CH 1.85O0S0N0............................................ 0.866 
E10 Gasoline ................................................................................................................ CH 1.92O0.03S0N0........................................ 0.833 
E15 Gasoline ................................................................................................................ CH 1.95O0.05S0N0........................................ 0.817 
E85 Gasoline ................................................................................................................ CH 2.73O0.38S0N0........................................ 0.576 
E100 Ethanol ................................................................................................................ CH 3O0.5S0N0............................................. 0.521 
M100 Methanol ............................................................................................................. CH 4O1S0N0............................................... 0.375 
#1 Diesel ...................................................................................................................... CH 1.93O0S0N0............................................ 0.861 
#2 Diesel ...................................................................................................................... CH 1.80O0S0N0............................................ 0.869 
Liquefied petroleum gas ............................................................................................... CH 2.64O0S0N0............................................ 0.819 
Natural gas ................................................................................................................... C H3.78O0.016S0N0...................................... 0.747 
Residual fuel blends ..................................................................................................... Must be determined by measured fuel properties as de-
scribed in paragraph (d)(1) of this section. 
Diesel exhaust fluid ...................................................................................................... CH 17.85O7.92S0N2....................................... 0.065 
(f) * * * 
(3) Fluid mass flow rate calculation. 
This calculation may be used only for 
steady-state laboratory testing. See § 1065.915(d)(5)(iv) for application to field testing. Calculate n ˙
exhbased on 
using the following equation: 
Where: 
n˙exh= raw exhaust molar flow rate from 
which you measured emissions. 
N = total number of fuels and injected fluids 
over the duty cycle. 
j = an indexing variable that represents one 
fuel or injected fluid, starting with j = 1. m˙j= the mass flow rate of the fuel or any 
injected fluid j. 
Example:  
N = 1 
j = 1 
m˙j= 7.559 g/s 
wC= 0.869 g/g 
MC= 12.0107 g/mol 
XCcombdry = 99.87 mmol/mol = 0.09987 mol/ 
mol 
XH20exhdry = 107.64 mmol/mol = 0.10764 mol/ 
mol 
n˙exh= 6.066 mol/s 
* * * * * 
■269. Section 1065.660 is amended as 
follows: 
■a. By revising the section heading. ■b. By revising paragraphs (a)(2) and 
(3). 
■c. By adding paragraph (a)(4). 
■d. By revising paragraph (b)(3). 
■e. By adding paragraph (b)(4). 
■f. By redesignating paragraph (c) as 
paragraph (d). 
■g. By adding a new paragraph (c). 
■h. By revising newly redesignated 
paragraph (d). 
■i. By adding paragraph (e). 
The revisions and additions read as 
follows: 
§ 1065.660 THC, NMHC, NMNEHC, CH 4, 
and C 2H6determination. 
* * * * * 
(a) * * * 
(2) For the NMHC determination 
described in paragraph (b) of this 
section, correct x THC[THC-FID] for initial 
THC contamination using Eq. 1065.660– 
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1. You may correct x THC[NMC-FID] for 
initial contamination of the CH 4sample 
train using Eq. 1065.660–1, substituting 
in CH 4concentrations for THC. 
(3) For the NMNEHC determination 
described in paragraph (c) of this section, correct x
THC[THC-FID] for initial 
THC contamination using Eq. 1065.660– 1. You may correct x
THC[NMC-FID] for 
initial contamination of the CH 4sample train using Eq. 1065.660–1, substituting in CH
4concentrations for THC. 
(4) For the CH 4determination 
described in paragraph (d) of this section, you may correct x
THC[NMC–FID]  
for initial THC contamination of the CH 4 
sample train using Eq. 1065.660–1, substituting in CH
4concentrations for 
THC. 
(b) * * * (3) For a GC–FID or FTIR, calculate 
xNMHC using the THC analyzer’s 
response factor (RF) for CH 4,from 
§ 1065.360, and the initial THC 
contamination and dry-to-wet corrected THC concentration x
THC[THC–FID]cor as 
determined in paragraph (a) of this section as follows: 
Where: 
xNMHC = concentration of NMHC. 
xTHC[THC–FID]cor = concentration of THC, 
initial THC contamination and dry-to- 
wet corrected, as measured by the THC FID. RF
CH4[THC–FID] = response factor of THC–FID 
to CH 4. 
xCH4= concentration of CH 4,dry-to-wet 
corrected, as measured by the GC–FID or 
FTIR. 
Example:  
xTHC[THC–FID]cor = 145.6 mmol/mol RFCH4[THC–FID] = 0.970 
xCH4= 18.9 mmol/mol 
xNMHC = 145.6¥0.970 · 18.9 
xNMHC = 127.3 mmol/mol 
(4) For an FTIR, calculate x NMHC by 
summing the hydrocarbon species listed 
in § 1065.266(c) as follows: 
Where: 
xNMHC = concentration of NMHC. 
xHCi= the C 1-equivalent concentration of 
hydrocarbon species i as measured by 
the FTIR, not corrected for initial 
contamination. 
xHCi-init = the C 1-equivalent concentration of 
the initial system contamination (optional) of hydrocarbon species i, dry- 
to-wet corrected, as measured by the FTIR. 
Example:  
x
C2H6 = 4.9 mmol/mol 
xC2H4 = 0.9 mmol/mol 
xC2H2 = 0.8 mmol/mol xC3H8 = 0.4 mmol/mol 
xC3H6 = 0.5 mmol/mol 
xC4H10 = 0.3 mmol/mol 
xCH2O = 0.8 mmol/mol 
xC2H4O = 0.3 mmol/mol 
xC2H2O2 = 0.1 mmol/mol 
xCH4O = 0.1 mmol/mol 
xNMHC = 4.9 + 0.9 + 0.8 + 0.4 + 0.5 + 0.3 + 
0.8 + 0.3 + 0.1 + 0.1 
xNMHC = 9.1 mmol/mol 
(c) NMNEHC determination. Use one 
of the following methods to determine 
NMNEHC concentration, x NMNEHC : 
(1) If the content of your test fuel 
contains less than 0.010 mol/mol of ethane, you may omit the calculation of 
NMNEHC concentrations and calculate the mass of NMNEHC as described in § 1065.650(c)(6). 
(2) For a GC–FID or FTIR, calculate 
x
NMNEHC using the THC analyzer’s 
response factors (RF) for CH 4and C 2H6, 
from § 1065.360, and the initial contamination and dry-to-wet corrected THC concentration x
THC[THC–FID]cor as 
determined in paragraph (a) of this section as follows: 
Where: 
xNMNEHC = concentration of NMNEHC. 
xTHC[THC–FID]cor = concentration of THC, 
initial THC contamination and dry-to- 
wet corrected, as measured by the THC FID. 
RF
CH4[THC–FID] = response factor of THC–FID 
to CH 4. xCH4= concentration of CH 4,dry-to-wet 
corrected, as measured by the GC–FID or 
FTIR. 
RFC2H6[THC–FID] = response factor of THC–FID 
to C 2H6. 
xC2H6 = the C 1-equivalent concentration of 
C2H6,dry-to-wet corrected, as measured 
by the GC–FID or FTIR. 
Example:  
xTHC[THC–FID]cor = 145.6 mmol/mol RFCH4[THC–FID] = 0.970 
xCH4= 18.9 mmol/mol 
RFC2H6[THC–FID] = 1.02 
xC2H6 = 10.6 mmol/mol 
xNMHC = 145.6—0.970 · 18.9—1.02 · 10.6 
xNMHC = 116.5 mmol/mol 
(3) For an FTIR, calculate x NMNEHC by 
summing the hydrocarbon species listed 
in § 1065.266(c) as follows: 
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Where: 
xNMNEHC = concentration of NMNEHC. 
xHCi= the C 1-equivalent concentration of 
hydrocarbon species i as measured by 
the FTIR, not corrected for initial 
contamination. 
xHCi-init = the C 1-equivalent concentration of 
the initial system contamination (optional) of hydrocarbon species i, dry- 
to-wet corrected, as measured by the FTIR. 
Example:  
x
C2H4 = 0.9 mmol/mol 
xC2H2 = 0.8 mmol/mol 
xC3H8 = 0.4 mmol/mol 
xC3H6 = 0.5 mmol/mol xC4H10 = 0.3 mmol/mol 
xCH2O = 0.8 mmol/mol 
xC2H4O = 0.3 mmol/mol 
xC2H2O2 = 0.1 mmol/mol 
xCH4O = 0.1 mmol/mol 
xNMNEHC = 0.9 + 0.8 + 0.4 + 0.5 + 0.3 + 0.8 
+ 0.3 + 0.1 + 0.1 
xNMNEHC = 4.2 mmol/mol 
(d) CH 4determination. Use one of the 
following methods to determine CH 4 
concentration, xCH4: 
(1) For nonmethane cutters, calculate 
xCH 4using the nonmethane cutter’s 
penetration fraction (PF) of CH 4and the 
response factor penetration fraction (RFPF) of C 2H6from § 1065.365, the 
response factor (RF) of the THC FID to 
CH 4from § 1065.360, the initial THC 
contamination and dry-to-wet corrected THC concentration x
THC[THC–FID]cor as 
determined in paragraph (a) of this section, and the dry-to-wet corrected CH
4concentration xTHC[NMC–FID]cor  
optionally corrected for initial THC contamination as determined in paragraph (a) of this section. 
(i) Use the following equation for 
penetration fractions determined using an NMC configuration as outlined in § 1065.365(d): 
Where: 
xCH4= concentration of CH 4. 
xTHC[NMC-FID]cor = concentration of THC, 
initial THC contamination (optional) and 
dry-to-wet corrected, as measured by the NMC FID during sampling through the NMC. x
THC[THC-FID]cor = concentration of THC, 
initial THC contamination and dry-to- 
wet corrected, as measured by the THC 
FID during sampling while bypassing the NMC. 
RFPF
C2H6[NMC-FID] = the combined ethane 
response factor and penetration fraction of the nonmethane cutter, according to § 1065.365(d). RF
CH4[THC–FID] = response factor of THC FID 
to CH 4,according to § 1065.360(d). 
Example:  
xTHC[NMC-FID]cor = 10.4 mmol/mol 
xTHC[THC-FID]cor = 150.3 mmol/mol 
RFPF C2H6[NMC-FID] = 0.019 
RFCH4[THC-FID] = 1.05 
xCH4= 7.69 mmol/mol (ii) For penetration fractions 
determined using an NMC configuration as outlined in § 1065.365(e), use the 
following equation: 
Where: 
xCH4= concentration of CH 4. 
xTHC[NMC-FID]cor = concentration of THC, 
initial THC contamination (optional) and 
dry-to-wet corrected, as measured by the NMC FID during sampling through the NMC. 
x
THC[THC-FID]cor = concentration of THC, 
initial THC contamination and dry-to- wet corrected, as measured by the THC 
FID during sampling while bypassing the NMC. 
PF
C2H6[NMC–FID] = nonmethane cutter ethane 
penetration fraction, according to § 1065.365(e). 
RF
CH4[THC–FID] = response factor of THC FID 
to CH 4,according to § 1065.360(d). PFCH4[NMC–FID] = nonmethane cutter CH 4 
penetration fraction, according to 
§ 1065.365(e). 
Example:  
xTHC[NMC–FID]cor = 10.4 mmol/mol 
xTHC[THC–FID]cor = 150.3 mmol/mol 
PFC2H6[NMC–FID] = 0.020 
RFCH4[THC–FID] = 1.05 
PFCH4[NMC–FID] = 0.990 
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xCH4= 7.25 mmol/mol (iii) For penetration fractions 
determined using an NMC configuration as outlined in § 1065.365(f), use the 
following equation: 
Where: 
xCH4= concentration of CH 4. 
xTHC[NMC–FID]cor = concentration of THC, 
initial THC contamination (optional) and 
dry-to-wet corrected, as measured by the 
NMC FID during sampling through the NMC. 
x
THC[THC–FID]cor = concentration of THC, 
initial THC contamination and dry-to- wet corrected, as measured by the THC 
FID during sampling while bypassing the 
NMC. 
RFPF C2H6[NMC–FID] = the combined ethane 
response factor and penetration fraction of the nonmethane cutter, according to § 1065.365(f). 
PF
CH4[NMC–FID] = nonmethane cutter CH 4 
penetration fraction, according to § 1065.365(f). RF
CH4[THC–FID] = response factor of THC FID 
to CH 4,according to § 1065.360(d). 
Example:  
xTHC[NMC–FID]cor = 10.4 mmol/mol 
xTHC[THC–FID]cor = 150.3 mmol/mol 
RFPF C2H6[NMC–FID] = 0.019 
PFCH4[NMC–FID] = 0.990 
RFCH4[THC–FID] = 1.05 
xCH4= 7.78 mmol/mol 
(2) For a GC–FID or FTIR, x CH4is the 
actual dry-to-wet corrected CH 4 
concentration as measured by the 
analyzer. 
(e) C2H6determination. For a GC–FID 
or FTIR, x C2H6 is the C 1-equivalent, dry- 
to-wet corrected C 2H6concentration as 
measured by the analyzer. 
■270. Section 1065.665 is amended by 
revising paragraphs (a) and (b) to read as follows: § 1065.665 THCE and NMHCE 
determination. 
(a) If you measured an oxygenated 
hydrocarbon’s mass concentration, first 
calculate its molar concentration in the exhaust sample stream from which the sample was taken (raw or diluted exhaust), and convert this into a C
1- 
equivalent molar concentration. Add these C
1-equivalent molar 
concentrations to the molar concentration of non-oxygenated total hydrocarbon (NOTHC). The result is the 
molar concentration of total hydrocarbon equivalent (THCE). Calculate THCE concentration using the following equations, noting that Eq. 1065.665–3 is required only if you need to convert your oxygenated hydrocarbon (OHC) concentration from mass to moles: 
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Where: 
xTHCE = the sum of the C 1-equivalent 
concentrations of non-oxygenated 
hydrocarbon, alcohols, and aldehydes. 
xNOTHC = the sum of the C 1-equivalent 
concentrations of NOTHC. 
xOHCi = the C 1-equivalent concentration of 
oxygenated species i in diluted exhaust, 
not corrected for initial contamination. 
xOHCi-init = the C 1-equivalent concentration of 
the initial system contamination (optional) of oxygenated species i, dry- 
to-wet corrected. x
THC[THC–FID]cor = the C 1-equivalent response 
to NOTHC and all OHC in diluted 
exhaust, HC contamination and dry-to- wet corrected, as measured by the THC– FID. 
RF
OHCi[THC–FID] = the response factor of the 
FID to species i relative to propane on a 
C1-equivalent basis. 
C#= the mean number of carbon atoms in the 
particular compound. 
Mdexh= the molar mass of diluted exhaust as 
determine in § 1065.340. mdexhOHCi = the mass of oxygenated species i 
in dilute exhaust. 
MOHCi = the C 1-equivalent molecular weight 
of oxygenated species i. 
mdexh= the mass of diluted exhaust 
ndexhOHCi = the number of moles of 
oxygenated species i in total diluted 
exhaust flow. 
ndexh= the total diluted exhaust flow. 
(b) If we require you to determine 
nonmethane hydrocarbon equivalent 
(NMHCE), use the following equation: 
Where: 
xNMHCE = the sum of the C 1-equivalent 
concentrations of nonoxygenated 
nonmethane hydrocarbon (NONMHC), 
alcohols, and aldehydes. 
RFCH4[THC–FID] = the response factor of THC– 
FID to CH 4. 
xCH4= concentration of CH 4,HC 
contamination (optional) and dry-to-wet corrected, as measured by the gas chromatograph FID. 
* * * * * ■271. Section 1065.667 is amended by 
revising paragraph (c) to read as follows: 
§ 1065.667 Dilution air background 
emission correction. 
* * * * * 
(c) You may determine the total flow 
of dilution air by subtracting the 
calculated raw exhaust molar flow as described in § 1065.655(g) from the measured dilute exhaust flow. This may be done by totaling continuous calculations or by using batch results. 
* * * * * 
■272. Section 1065.675 is amended by 
revising paragraph (d) to read as 
follows: 
§ 1065.675 CLD quench verification 
calculations. 
* * * * * 
(d) Calculate quench as follows: 
Where: 
quench = amount of CLD quench. 
xNOdry = concentration of NO upstream of a 
bubbler, according to § 1065.370(e)(4). 
xNOwet = measured concentration of NO 
downstream of a bubbler, according to 
§ 1065.370(e)(9). 
xH2Oexp = maximum expected mole fraction of 
water during emission testing, according to paragraph (b) of this section. x
H2Omeas = measured mole fraction of water 
during the quench verification, 
according to § 1065.370(e)(7). 
xNOmeas = measured concentration of NO 
when NO span gas is blended with CO 2 
span gas, according to § 1065.370(d)(10). 
xNOact = actual concentration of NO when NO 
span gas is blended with CO 2span gas, 
according to § 1065.370(d)(11) and calculated according to Eq. 1065.675–2. x
CO2exp = maximum expected concentration 
of CO 2during emission testing, 
according to paragraph (c) of this section. 
xCO2act = actual concentration of CO 2when 
NO span gas is blended with CO 2span 
gas, according to § 1065.370(d)(9). 
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Where: 
xNOspan = The NO span gas concentration 
input to the gas divider, according to 
§ 1065.370(d)(5). 
xCO2span = the CO 2span gas concentration 
input to the gas divider, according to 
§ 1065.370(d)(4). Example:  
xNOdry = 1800.0 mmol/mol 
xNOwet = 1739.6 mmol/mol 
xH2Oexp = 0.030 mol/mol 
xH2Omeas = 0.030 mol/mol 
xNOmeas = 1515.2 mmol/mol 
xNOspan = 3001.6 mmol/mol xCO2exp = 3.2% 
xCO2span = 6.1% 
xCO2act = 2.98% 
quench = (¥0.0036655¥0.014020171)·100% 
= ¥1.7685671% 
* * * * * 
■273. Section 1065.680 is added to 
subpart G to read as follows: 
§ 1065.680 Adjusting emission levels to account for infrequently regenerating aftertreatment devices. 
This section describes how to 
calculate and apply emission 
adjustment factors for engines using aftertreatment technology with infrequent regeneration events that may occur during testing. These adjustment 
factors are typically calculated based on measurements conducted for the purposes of engine certification, and then used to adjust the results of testing related to demonstrating compliance 
with emission standards. For this section, ‘‘regeneration’’ means an 
intended event during which emission levels change while the system restores aftertreatment performance. For example, exhaust gas temperatures may increase temporarily to remove sulfur from adsorbers or to oxidize accumulated particulate matter in a trap. Also, ‘‘infrequent’’ refers to regeneration events that are expected to occur on average less than once over a transient or ramped-modal duty cycle, or on average less than once per mode in a discrete-mode test. 
(a) Apply adjustment factors based on 
whether there is active regeneration during a test segment. The test segment 
may be a test interval or a full duty cycle, as described in paragraph (b) of 
this section. For engines subject to standards over more than one duty cycle, you must develop adjustment factors under this section for each separate duty cycle. You must be able to identify active regeneration in a way that is readily apparent during all testing. All adjustment factors for regeneration are additive. 
(1) If active regeneration does not 
occur during a test segment, apply an upward adjustment factor, UAF, that 
will be added to the measured emission rate for that test segment. Use the following equation to calculate UAF: 
Where: 
EFA[cycle] = the average emission factor over 
the test segment as determined in 
paragraph (a)(4) of this section. 
EFL[cycle] = measured emissions over a 
complete test segment in which active 
regeneration does not occur. Example:  
EFARMC = 0.15 g/kW·hr 
EFLRMC = 0.11 g/kW·hr 
UAF RMC= 0.15 ¥ 0.11 = 0.04 g/kW·hr 
(2) If active regeneration occurs or 
starts to occur during a test segment, apply a downward adjustment factor, 
DAF, that will be subtracted from the 
measured emission rate for that test segment. Use the following equation to calculate DAF: 
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Where: 
EFH[cycle] = measured emissions over the test 
segment from a complete regeneration 
event, or the average emission rate over multiple complete test segments with 
regeneration if the complete regeneration event lasts longer than one test segment. Example:  
EF
ARMC = 0.15 g/kW·hr 
EFHRMC = 0.50 g/kW·hr 
DAF RMC= 0.50 ¥ 0.15 = 0.35 g/kW·hr 
(3) Note that emissions for a given 
pollutant may be lower during regeneration, in which case EF Lwould 
be greater than EF H,and both UAF and 
DAF would be negative. 
(4) Calculate the average emission 
factor, EFA,as follows: 
Where: 
F[cycle] = the frequency of the regeneration 
event during the test segment, expressed 
in terms of the fraction of equivalent test segments during which active 
regeneration occurs, as described in paragraph (a)(5) of this section. Example:  
F
RMC= 0.10 
EFARMC = 0.10 · 0.50 + (1.00 ¥ 0.10) · 0.11 
= 0.15 g/kW·hr 
(5) The frequency of regeneration, F, 
generally characterizes how often a regeneration event occurs within a 
series of test segments. Determine F using the following equation, subject to the provisions of paragraph (a)(6) of this section: 
Where: 
ir[cycle] = the number of successive test 
segments required to complete an active 
regeneration, rounded up to the next whole number. i
f[cycle] = the number of test segments from the 
end of one complete regeneration event to the start of the next active regeneration, without rounding. 
Example:  i
rRMC = 2 
ifRMC = 17.86 
(6) Use good engineering judgment to 
determine irand if, as follows: 
(i) For engines that are programmed to 
regenerate after a specific time interval, 
you may determine the duration of a regeneration event and the time between regeneration events based on the engine’s design parameters. For other engines, determine these values based on measurements from in-use operation or from running repetitive duty cycles in a laboratory. 
(ii) For engines subject to standards 
over multiple duty cycles, such as for transient and steady-state testing, apply this same calculation to determine a value of F for each duty cycle. 
(iii) Consider an example for an 
engine that is designed to regenerate its PM filter 500 minutes after the end of the last regeneration event, with the regeneration event lasting 30 minutes. If the RMC takes 28 minutes, i
rRMC = 2 (30 
÷ 28 = 1.07, which rounds up to 2), and 
ifRMC = 500 ÷ 28 = 17.86. 
(b) Develop adjustment factors for 
different types of testing as follows: 
(1) Discrete-mode testing. Develop 
separate adjustment factors for each test mode (test interval) of a discrete-mode test. When measuring EF
H, if a 
regeneration event has started but is not complete when you reach the end of the sampling time for a test interval, extend the sampling period for that test interval until the regeneration event is complete. 
(2) Ramped-modal and transient 
testing. Develop a separate set of 
adjustment factors for an entire ramped- modal cycle or transient duty cycle. When measuring EF
H, if a regeneration 
event has started but is not complete when you reach the end of the duty cycle, start the next repeat test as soon as possible, allowing for the time needed to complete emission measurement and installation of new filters for PM measurement; in that case EF
His the average emission level for the 
test segments that included regeneration. 
(3) Accounting for cold-start 
measurements. For engines subject to 
cold-start testing requirements, incorporate cold-start operation into your analysis as follows: 
(i) Determine the frequency of 
regeneration, F, in a way that 
incorporates the impact of cold-start operation in proportion to the cold-start weighting factor specified in the standard-setting part. You may use good engineering judgment to determine the 
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effect of cold-start operation 
analytically. 
(ii) Treat cold-start testing and hot- 
start testing together as a single test segment for adjusting measured emission results under this section. Apply the adjustment factor to the composite emission result. 
(iii) You may apply the adjustment 
factor only to the hot-start test result if your aftertreatment technology does not regenerate during cold operation as represented by the cold-start transient duty cycle. If we ask for it, you must demonstrate this by engineering analysis or by test data. 
(c) If an engine has multiple 
regeneration strategies, determine and apply adjustment factors under this section separately for each type of regeneration. 
■274. Section 1065.690 is amended by 
revising paragraph (c) to read as follows: 
§ 1065.690 Buoyancy correction for PM 
sample media. 
* * * * * 
(c) Air density. Because a PM balance 
environment must be tightly controlled 
to an ambient temperature of (22 ±1) °C 
and humidity has an insignificant effect on buoyancy correction, air density is primarily a function of atmospheric pressure. Therefore you may use nominal constant values for temperature and humidity when determining the air density of the balance environment in Eq. 1065.690–2. 
* * * * * 
Subpart H—Engine Fluids, Test Fuels, 
Analytical Gases and Other Calibration Standards 
■275. A new § 1065.735 is added to 
subpart H to read as follows: 
§ 1065.735 Diesel exhaust fluid. 
(a) Use commercially available diesel 
exhaust fluid that represents the product that will be used in your in-use engines. 
(b) Diesel exhaust fluid for testing 
must generally conform to the specifications referenced in the definition of ‘‘diesel exhaust fluid’’ in § 1065.1001. Use marine-grade diesel exhaust fluid only for marine engines. ■276. Section 1065.750 is amended by 
adding new paragraphs (a)(3)(xii) and (xiii) to read as follows: 
§ 1065.750 Analytical gases. 
* * * * * 
(a) * * * 
(3) * * * 
(xii) CH 4, C2H6, balance purified air 
and/or N 2(as applicable). 
(xiii) CH 4, CH 2O, CH 2O2, C2H2, C2H4, 
C2H4O, C 2H6, C3H8, C3H6, CH 4O, and 
C4H10. You may omit individual gas 
constituents from this gas mixture. If 
your gas mixture contains oxygenated hydrocarbon, your gas mixture must be in balance purified N
2, otherwise you 
may use balance purified air. 
* * * * * 
Subpart K—Definitions and Other 
Reference Information 
■277. Section 1065.1001 is amended as 
follows: 
■a. By adding definitions for ‘‘Average’’ 
and ‘‘C 1-equivalent’’ in alphabetical 
order. 
■b. By removing the definition for ‘‘C 1 
equivalent (or basis)’’. 
■c. By adding a definition for ‘‘Diesel 
exhaust fluid (DEF)’’ in alphabetical order. 
■d. By revising the definitions for 
‘‘Hydrocarbon (HC)’’ and ‘‘Linearity’’. 
■e. By adding a definition for 
‘‘Nonmethane nonethane hydrocarbon (NMNEHC)’’ in alphabetical order. 
The added and revised definitions 
read as follows: 
§ 1065.1001 Definitions. 
* * * * * 
Average means the arithmetic mean of 
a sample. 
* * * * * 
C1-equivalent means a convention of 
expressing HC concentrations based on 
the total number of carbon atoms present, such that the C
1-equivalent of a 
molar HC concentration equals the molar concentration multiplied by the mean number of carbon atoms in each HC molecule. For example, the C
1- 
equivalent of 10 mmol/mol of propane 
(C3H8) is 30 mmol/mol. C 1-equivalent 
molar values may be denoted as ‘‘ppmC’’ in the standard-setting part. Molar mass may also be expressed on a C
1basis. Note that calculating HC masses from molar concentrations and molar masses is only valid where they are each expressed on the same carbon basis. 
* * * * * 
Diesel exhaust fluid (DEF) means a 
liquid reducing agent (other than the 
engine fuel) used in conjunction with selective catalytic reduction to reduce NO
Xemissions. Diesel exhaust fluid is 
generally understood to be an aqueous solution of urea conforming to the specifications of ISO 18611 or ISO 22241. 
* * * * * 
Hydrocarbon (HC) means THC, THCE, 
NMHC, NMNEHC, NMOG, or NMHCE, 
as applicable. Hydrocarbon generally means the hydrocarbon group on which the emission standards are based for each type of fuel and engine. 
* * * * * 
Linearity means the degree to which 
measured values agree with respective 
reference values. Linearity is quantified using a linear regression of pairs of measured values and reference values over a range of values expected or observed during testing. Perfect linearity would result in an intercept, a
0,equal to 
zero, a slope, a 1,of one, a coefficient of 
determination, r2, of one, and a standard 
error of the estimate, SEE, of zero. The 
term ‘‘linearity’’ is not used in this part to refer to the shape of a measurement instrument’s unprocessed response curve, such as a curve relating emission concentration to voltage output. A properly performing instrument with a nonlinear response curve will meet linearity specifications. 
* * * * * 
Nonmethane nonethane hydrocarbon 
(NMNEHC) means the sum of all 
hydrocarbon species except methane 
and ethane. Refer to § 1065.660 for NMNEHC determination. 
* * * * * 
■278. Section 1065.1005 is amended by 
revising paragraphs (a), (b), and (f)(2) to 
read as follows: 
§ 1065.1005 Symbols, abbreviations, 
acronyms, and units of measure. 
* * * * * 
(a) Symbols for quantities. This part 
uses the following symbols and units of 
measure for various quantities: 
Sym-
bol Quantity Unit Unit symbol Units in terms of SI 
base units 
α..... atomic hydrogen-to-carbon ratio ................... mole per mole ............................................... mol/mol ..... .............. 1. 
A..... area ............................................................... square meter ........................................... ...... m2........................... m2. 
a0.... intercept of least squares regression.
a1.... slope of least squares regression.
ag.... acceleration of Earth’s gravity ....................... meter per square second .............................. m/s2........................ m·s¥2. 
β..... ratio of diameters .......................................... meter per meter ............................................ m/m ......................... 1. 
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Sym-
bol Quantity Unit Unit symbol Units in terms of SI 
base units 
β..... atomic oxygen-to-carbon ratio ...................... mole per mole ............................................... mol/mol .... ............... 1. 
C#... number of carbon atoms in a molecule.
Cd... discharge coefficient.
Cf... flow coefficient.
δ..... atomic nitrogen-to-carbon ratio ..................... mole per mole ............................................... mol/mol ... ................ 1. 
d..... Diameter ........................................................ meter ............................................................. m ............................. m. 
DR.. dilution ratio ................................................... mole per mole ............................................... mol/mol ................... 1. 
e..... error between a quantity and its reference.
e..... brake-specific emission or fuel consumption gram per kilowatt hour .................................. g/(kW·hr) ............. .... g·3.6·10
·kg¥1·s2. 
F..... F-test statistic.
f...... frequency ....................................................... hertz .............................................................. Hz ........................... s¥1. 
fn..... angular speed (shaft) .................................... revolutions per minute ................................... r/min ... ..................... π·30¥1·s¥1. 
γ...... ratio of specific heats .................................... (joule per kilogram kelvin) per (joule per kilo-
gram kelvin).(J/(kg·K))/(J/(kg·K)) 1. 
γ...... atomic sulfur-to-carbon ratio ......................... mole per mole ............................................... mol/mol ................... 1. 
K..... correction factor ............................................ ............................................................. ........... ................................. 1. 
Kv... calibration coefficient ..................................... ................................................................ ........ m4·;s·K0.5/kg ............ m4·kg¥1s·K0.5. 
l...... length ............................................................. meter ............................................................. m ............................. m. 
μ..... viscosity, dynamic ......................................... pascal second ............................................... Pa· s ......................... m¥1·kg·s¥1. 
M.... molar mass1................................................. gram per mole ............................................... g/mol ............. .......... 10¥3·kg·mol¥1. 
m.... mass .............................................................. kilogram ......................................................... kg ............................ kg. 
m˙.... mass rate ...................................................... kilogram per second ...................................... kg/ s ......................... kg·s¥1. 
n..... viscosity, kinematic ....................................... meter squared per second ............................ m2/s ........................ m2·s¥1. 
N.... total number in series.
n..... amount of substance ..................................... mole .............................................................. . mol .......................... mol.ROW≤ 
n˙..... amount of substance rate ............................. mole per second ........................................... mol/s ...... ................. mol·s¥1. 
P..... power ............................................................. kilowatt .......................................................... kW .......................... 103·m
PF.. penetration fraction.
p..... pressure ........................................................ pascal ............................................................ Pa ........................... m¥1·kg·s¥2. 
r..... mass density ................................................. kilogram per cubic meter .............................. kg/m3...................... m ¥3·kg. 
Δp... differential static pressure ............................. pascal ............................................................ P a ........................... m¥1·kg·s¥2. 
r...... ratio of pressures .......................................... pascal per pascal .......................................... Pa /Pa ...................... 1. 
r2.... coefficient of determination.
Ra.. average surface roughness .......................... micrometer .................................................... μm ........................... 10¥6·m. 
Re# Reynolds number.
RF.. response factor.
RH.. relative humidity.
s..... non-biased standard deviation.
S..... Sutherland constant ...................................... kelvin ........................................................... .. K ............................. K. 
SEE standard estimate of error.
T..... absolute temperature .................................... kelvin ............................................................ . K ............................. K. 
T..... Celsius temperature ...................................... degree Celsius .............................................. °C ............................ K—273.15. 
T..... torque (moment of force) .............................. newton meter ................................................ N·m ..... .................... m2·kg·s¥2. 
q..... plane angle .................................................... degrees .................................................... ..... °.............................. rad. 
t...... time ................................................................ second ........................................................... s .............................. s. 
Δt.... time interval, period, 1/frequency .................. second ........................................................... s ..... ......................... s. 
V..... volume ........................................................... cubic meter .............................................. ...... m3........................... m3. 
V˙..... volume rate ................................................... cubic meter per second ................................ m3/s ........................ m3·s¥1. 
W.... work ............................................................... kilowatt-hour .................................................. kW·hr ...................... 3.6¥1·106·m2·kg
·s¥2. 
wC... carbon mass fraction ..................................... gram per gram .............................................. g/g ..... ...................... 1. 
x..... amount of substance mole fraction2............ mole per mole ............................................... mol/mol ................... 1. 
x¯..... flow-weighted mean concentration ............... mole per mole ............................................... mol/mol ........ ........... 1. 
y..... generic variable.
Z..... compressibility factor.
1See paragraph (f)(2) of this section for the values to use for molar masses. Note that in the cases of NO Xand HC, the regulations specify ef-
fective molar masses based on assumed speciation rather than actual speciation. 
2Note that mole fractions for THC, THCE, NMHC, NMHCE, and NOTHC are expressed on a C 1-equivalent basis. 
(b) Symbols for chemical species. This 
part uses the following symbols for 
chemical species and exhaust constituents: 
Symbol Species 
Ar ................... argon. 
C .................... carbon. 
CH 2O .............. formaldehyde. Symbol Species 
CH 2O2............ formic acid. 
CH 3OH ........... methanol. 
CH 4................ methane. 
C2H4O ............ acetaldehyde. 
C2H5OH .......... ethanol. 
C2H6............... ethane. 
C3H7OH .......... propanol. 
C3H8............... propane. 
C4H10.............. butane. Symbol Species 
C5H12.............. pentane. 
CO .................. carbon monoxide. 
CO 2................ carbon dioxide. 
H .................... atomic hydrogen. 
H2................... molecular hydrogen. 
H2O ................ water. 
H2SO 4............ sulfuric acid. 
HC .................. hydrocarbon. 
He .................. helium. 
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Symbol Species 
85Kr ................ krypton 85. 
N2................... molecular nitrogen. 
NH 3................ ammonia. 
NMHC ............ nonmethane hydrocarbon. 
NMHCE .......... nonmethane hydrocarbon 
equivalent. 
NMNEHC ....... nonmethane-nonethane hy-
drocarbon. 
NO .................. nitric oxide. 
NO 2................ nitrogen dioxide. 
NO X................ oxides of nitrogen. Symbol Species 
N2O ................ nitrous oxide. 
NMOG ............ nonmethane organic gases. 
NONMHC ....... non-oxygenated nonmethane 
hydrocarbon. 
NOTHC .......... non-oxygenated total hydro-
carbon. 
O2................... molecular oxygen. 
OHC ............... oxygenated hydrocarbon. 
210Po ............. polonium 210. 
PM .................. particulate matter. 
S ..................... sulfur. Symbol Species 
SVOC ............. semi-volatile organic com-
pound. 
THC ................ total hydrocarbon. 
THCE ............. total hydrocarbon equivalent. 
ZrO 2............... zirconium dioxide. 
* * * * * 
(f) * * * 
(2) This part uses the following molar 
masses or effective molar masses of chemical species: 
Symbol Quantity g/mol 
(10¥3·kg·mol¥1) 
Mair................. molar mass of dry air1.................................................................................................................................... 28.96559 
MAr................. molar mass of argon ........................................................................................... ............................................ 39.948 
MC.................. molar mass of carbon ......................................................................................... ............................................ 12.0107 
MCH3OH ........... molar mass of methanol .............................................................................................. .................................... 32.04186 
MC2H5OH ......... molar mass of ethanol ................................................................................................. ................................... 46.06844 
MC2H4O ........... molar mass of acetaldehyde .......................................................................................... ................................. 44.05256 
MCH4N2O ......... molar mass of urea .................................................................................................... ..................................... 60.05526 
MC3H8 ............. molar mass of propane ............................................................................................. ...................................... 44.09562 
MC3H7OH ......... molar mass of propanol ................................................................................................ .................................. 60.09502 
MCO................ molar mass of carbon monoxide .................................................................................. ................................... 28.0101 
MCH4............... molar mass of methane ........................................................................................... ....................................... 16.0425 
MCO2............... molar mass of carbon dioxide .................................................................................... ..................................... 44.0095 
MH.................. molar mass of atomic hydrogen ................................................................................ ...................................... 1.00794 
MH2................. molar mass of molecular hydrogen .............................................................................. ................................... 2.01588 
MH2O............... molar mass of water ............................................................................................. ........................................... 18.01528 
MCH2O ............. molar mass of formaldehyde ........................................................................................ ................................... 30.02598 
MHe................. molar mass of helium .......................................................................................... ............................................ 4.002602 
MN.................. molar mass of atomic nitrogen ................................................................................ ........................................ 14.0067 
MN2................. molar mass of molecular nitrogen .............................................................................. ..................................... 28.0134 
MNH3............... molar mass of ammonia ........................................................................................... ....................................... 17.03052 
MNMHC ............ effective C 1molar mass of nonmethane hydrocarbon2................................................................................. 13.875389 
MNMHCE .......... effective C 1molar mass of nonmethane hydrocarbon equivalent2................................................................ 13.875389 
MNMNEHC ........ effective C 1molar mass of nonmethane-nonethane hydrocarbon2............................................................... 13.875389 
MNOx............... effective molar mass of oxides of nitrogen3................................................................................................... 46.0055 
MN2O............... molar mass of nitrous oxide ..................................................................................... ....................................... 44.0128 
MO.................. molar mass of atomic oxygen .................................................................................. ....................................... 15.9994 
MO2................. molar mass of molecular oxygen ................................................................................ .................................... 31.9988 
MS.................. molar mass of sulfur ......................................................................................... ............................................... 32.065 
MTHC .............. effective C 1molar mass of total hydrocarbon2.............................................................................................. 13.875389 
MTHCE ............. effective C 1molar mass of total hydrocarbon equivalent2............................................................................. 13.875389 
1See paragraph (f)(1) of this section for the composition of dry air. 
2The effective molar masses of THC, THCE, NMHC, NMHCE, and NMNEHC are defined on a C 1basis and are based on an atomic hydro-
gen-to-carbon ratio, α, of 1.85 (with β, γ, and δ equal to zero). 
3The effective molar mass of NO Xis defined by the molar mass of nitrogen dioxide, NO 2. 
* * * * * 
■279. Section 1065.1010 is amended by 
revising paragraphs (b) and (e) to read as follows: 
§ 1065.1010 Incorporation by reference. 
* * * * * 
(b) ASTM material. The following 
standards are available from ASTM International, 100 Barr Harbor Dr., P.O. Box C700, West Conshohocken, PA 19428–2959, (877) 909–2786, or http:// 
www.astm.org: 
(1) ASTM D86–12, Standard Test Method 
for Distillation of Petroleum Products at 
Atmospheric Pressure, approved December 1, 2012 (‘‘ASTM D86’’), IBR approved for §§ 1065.703(b) and 1065.710(b) and (c). 
(2) ASTM D93–13, Standard Test Methods 
for Flash Point by Pensky-Martens Closed Cup Tester, approved July 15, 2013 (‘‘ASTM 
D93’’), IBR approved for § 1065.703(b). 
(3) ASTM D130–12, Standard Test Method 
for Corrosiveness to Copper from Petroleum Products by Copper Strip Test, approved 
November 1, 2012 (‘‘ASTM D130’’), IBR approved for § 1065.710(b). 
(4) ASTM D381–12, Standard Test Method 
for Gum Content in Fuels by Jet Evaporation, approved April 15, 2012 (‘‘ASTM D381’’), IBR approved for § 1065.710(b). 
(5) ASTM D445–12, Standard Test Method 
for Kinematic Viscosity of Transparent and Opaque Liquids (and Calculation of Dynamic Viscosity), approved April 15, 2012 (‘‘ASTM D445’’), IBR approved for § 1065.703(b). 
(6) ASTM D525–12a, Standard Test 
Method for Oxidation Stability of Gasoline (Induction Period Method), approved September 1, 2012 (‘‘ASTM D525’’), IBR approved for § 1065.710(b). (7) ASTM D613–13, Standard Test Method 
for Cetane Number of Diesel Fuel Oil, 
approved December 1, 2013 (‘‘ASTM D613’’), IBR approved for § 1065.703(b). 
(8) ASTM D910–13a, Standard 
Specification for Aviation Gasolines, 
approved December 1, 2013 (‘‘ASTM D910’’), IBR approved for § 1065.701(f). 
(9) ASTM D975–13a, Standard 
Specification for Diesel Fuel Oils, approved December 1, 2013 (‘‘ASTM D975’’), IBR approved for § 1065.701(f). 
(10) ASTM D1267–12, Standard Test 
Method for Gage Vapor Pressure of Liquefied Petroleum (LP) Gases (LP-Gas Method), approved November 1, 2012 (‘‘ASTM D1267’’), IBR approved for § 1065.720(a). 
(11) ASTM D1319–13, Standard Test 
Method for Hydrocarbon Types in Liquid Petroleum Products by Fluorescent Indicator Adsorption, approved May 1, 2013 (‘‘ASTM D1319’’), IBR approved for § 1065.710(c). 
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(12) ASTM D1655–13a, Standard 
Specification for Aviation Turbine Fuels, 
approved December 1, 2013 (‘‘ASTM D1655’’), IBR approved for § 1065.701(f). 
(13) ASTM D1837–11, Standard Test 
Method for Volatility of Liquefied Petroleum (LP) Gases, approved October 1, 2011 (‘‘ASTM D1837’’), IBR approved for § 1065.720(a). 
(14) ASTM D1838–12a, Standard Test 
Method for Copper Strip Corrosion by Liquefied Petroleum (LP) Gases, approved December 1, 2012 (‘‘ASTM D1838’’), IBR approved for § 1065.720(a). 
(15) ASTM D1945–03 (Reapproved 2010), 
Standard Test Method for Analysis of Natural Gas by Gas Chromatography, approved January 1, 2010 (‘‘ASTM D1945’’), IBR approved for § 1065.715(a). 
(16) ASTM D2158–11, Standard Test 
Method for Residues in Liquefied Petroleum (LP) Gases, approved January 1, 2011 (‘‘ASTM D2158’’), IBR approved for § 1065.720(a). 
(17) ASTM D2163–07, Standard Test 
Method for Determination of Hydrocarbons in Liquefied Petroleum (LP) Gases and Propane/Propene Mixtures by Gas Chromatography, approved December 1, 2007 (‘‘ASTM D2163’’), IBR approved for § 1065.720(a). 
(18) ASTM D2598–12, Standard Practice 
for Calculation of Certain Physical Properties of Liquefied Petroleum (LP) Gases from Compositional Analysis, approved November 
1, 2012 (‘‘ASTM D2598’’), IBR approved for § 1065.720(a). 
(19) ASTM D2622–10, Standard Test 
Method for Sulfur in Petroleum Products by Wavelength Dispersive X-ray Fluorescence Spectrometry, approved February 15, 2010 (‘‘ASTM D2622’’), IBR approved for §§ 1065.703(b) and 1065.710(b) and (c). 
(20) ASTM D2699–13b, Standard Test 
Method for Research Octane Number of Spark-Ignition Engine Fuel, approved October 1, 2013 (‘‘ASTM D2699’’), IBR approved for § 1065.710(b). 
(21) ASTM D2700–13b, Standard Test 
Method for Motor Octane Number of Spark- Ignition Engine Fuel, approved October 1, 2013 (‘‘ASTM D2700’’), IBR approved for § 1065.710(b). 
(22) ASTM D2713–13, Standard Test 
Method for Dryness of Propane (Valve Freeze Method), approved October 1, 2013 (‘‘ASTM D2713’’), IBR approved for § 1065.720(a). 
(23) ASTM D2784–11, Standard Test 
Method for Sulfur in Liquefied Petroleum Gases (Oxy-Hydrogen Burner or Lamp), approved January 1, 2011 (‘‘ASTM D2784’’), IBR approved for § 1065.720(a). 
(24) ASTM D2880–13b, Standard 
Specification for Gas Turbine Fuel Oils, approved November 15, 2013 (‘‘ASTM D2880’’), IBR approved for § 1065.701(f). 
(25) ASTM D2986–95a, Standard Practice 
for Evaluation of Air Assay Media by the Monodisperse DOP (Dioctyl Phthalate) Smoke Test, approved September 10, 1995 (‘‘ASTM D2986’’), IBR approved for § 1065.170(c). (Note: This standard was withdrawn by ASTM.) 
(26) ASTM D3231–13, Standard Test 
Method for Phosphorus in Gasoline, approved June 15, 2013 (‘‘ASTM D3231’’), IBR approved for § 1065.710(b) and (c). (27) ASTM D3237–12, Standard Test 
Method for Lead in Gasoline By Atomic 
Absorption Spectroscopy, approved June 1, 2012 (‘‘ASTM D3237’’), IBR approved for § 1065.710(b) and (c). 
(28) ASTM D4052–11, Standard Test 
Method for Density, Relative Density, and API Gravity of Liquids by Digital Density Meter, approved October 15, 2011 (‘‘ASTM D4052’’), IBR approved for § 1065.703(b). 
(29) ASTM D4629–12, Standard Test 
Method for Trace Nitrogen in Liquid Petroleum Hydrocarbons by Syringe/Inlet Oxidative Combustion and Chemiluminescence Detection, approved April 15, 2012 (‘‘ASTM D4629’’), IBR approved for § 1065.655(e). 
(30) ASTM D4814–13b, Standard 
Specification for Automotive Spark-Ignition Engine Fuel, approved December 1, 2013 (‘‘ASTM D4814’’), IBR approved for § 1065.701(f). 
(31) ASTM D4815–13, Standard Test 
Method for Determination of MTBE, ETBE, TAME, DIPE, tertiary-Amyl Alcohol and C
1 
to C 4Alcohols in Gasoline by Gas 
Chromatography, approved October 1, 2013 (‘‘ASTM D4815’’), IBR approved for § 1065.710(b). 
(32) ASTM D5186–03 (Reapproved 2009), 
Standard Test Method for Determination of the Aromatic Content and Polynuclear Aromatic Content of Diesel Fuels and Aviation Turbine Fuels By Supercritical Fluid Chromatography, approved April 15, 
2009 (‘‘ASTM D5186’’), IBR approved for § 1065.703(b). 
(33) ASTM D5191–13, Standard Test 
Method for Vapor Pressure of Petroleum Products (Mini Method), approved December 1, 2013 (‘‘ASTM D5191’’), IBR approved for § 1065.710(b) and (c). 
(34) ASTM D5291–10, Standard Test 
Methods for Instrumental Determination of Carbon, Hydrogen, and Nitrogen in Petroleum Products and Lubricants, approved May 1, 2010 (‘‘ASTM D5291’’), IBR approved for § 1065.655(e). 
(35) ASTM D5453–12, Standard Test 
Method for Determination of Total Sulfur in Light Hydrocarbons, Spark Ignition Engine Fuel, Diesel Engine Fuel, and Engine Oil by Ultraviolet Fluorescence, approved November 1, 2012 (‘‘ASTM D5453’’), IBR approved for § 1065.710(b). 
(36) ASTM D5599–00 (Reapproved 2010), 
Standard Test Method for Determination of Oxygenates in Gasoline by Gas Chromatography and Oxygen Selective Flame Ionization Detection, approved October 1, 2010 (‘‘ASTM D5599’’), IBR approved for §§ 1065.655(e) and 1065.710(b). 
(37) ASTM D5762–12 Standard Test 
Method for Nitrogen in Petroleum and Petroleum Products by Boat-Inlet Chemiluminescence, approved April 15, 2012 (‘‘ASTM D5762’’), IBR approved for § 1065.655(e). 
(38) ASTM D5769–10, Standard Test 
Method for Determination of Benzene, Toluene, and Total Aromatics in Finished Gasolines by Gas Chromatography/Mass Spectrometry, approved May 1, 2010 (‘‘ASTM D5769’’), IBR approved for § 1065.710(b). 
(39) ASTM D5797–13, Standard 
Specification for Fuel Methanol (M70- M85) for Automotive Spark-Ignition Engines, 
approved June 15, 2013 (‘‘ASTM D5797’’), IBR approved for § 1065.701(f). 
(40) ASTM D5798–13a, Standard 
Specification for Ethanol Fuel Blends for Flexible Fuel Automotive Spark-Ignition Engines, approved June 15, 2013 (‘‘ASTM D5798’’), IBR approved for § 1065.701(f). 
(41) ASTM D6348–12
ε1, Standard Test 
Method for Determination of Gaseous Compounds by Extractive Direct Interface Fourier Transform Infrared (FTIR) Spectroscopy, approved February 1, 2012 (‘‘ASTM D6348’’), IBR approved for §§ 1065.266(b) and 1065.275(b). 
(42) ASTM D6550–10, Standard Test 
Method for Determination of Olefin Content of Gasolines by Supercritical-Fluid Chromatography, approved October 1, 2010 (‘‘ASTM D6550’’), IBR approved for § 1065.710(b). 
(43) ASTM D6615–11a, Standard 
Specification for Jet B Wide-Cut Aviation Turbine Fuel, approved October 1, 2011 (‘‘ASTM D6615’’), IBR approved for § 1065.701(f). 
(44) ASTM D6751–12, Standard 
Specification for Biodiesel Fuel Blend Stock (B100) for Middle Distillate Fuels, approved August 1, 2012 (‘‘ASTM D6751’’), IBR approved for § 1065.701(f). 
(45) ASTM D6985–04a, Standard 
Specification for Middle Distillate Fuel Oil— Military Marine Applications, approved November 1, 2004 (‘‘ASTM D6985’’), IBR approved for § 1065.701(f). (Note: This 
standard was withdrawn by ASTM.) 
(46) ASTM D7039–13, Standard Test 
Method for Sulfur in Gasoline, Diesel Fuel, Jet Fuel, Kerosine, Biodiesel, Biodiesel Blends, and Gasoline-Ethanol Blends by Monochromatic Wavelength Dispersive X-ray Fluorescence Spectrometry, approved September 15, 2013 (‘‘ASTM D7039’’), IBR approved for § 1065.710(b). 
(47) ASTM F1471–09, Standard Test 
Method for Air Cleaning Performance of a High- Efficiency Particulate Air Filter System, approved March 1, 2009 (‘‘ASTM F1471’’), IBR approved for § 1065.1001. 
* * * * * 
(e) ISO material. The following 
standards are available from the 
International Organization for Standardization, 1, ch. de la Voie- Creuse, CP 56, CH–1211 Geneva 20, Switzerland, 41–22–749–01–11, or http://www.iso.org: 
(1) ISO 2719:2002, Determination of flash 
point—Pensky-Martens closed cup method 
(‘‘ISO 2719’’), IBR approved for § 1065.705(c). 
(2) ISO 3016:1994, Petroleum products— 
Determination of pour point (‘‘ISO 3016’’), IBR approved for § 1065.705(c). 
(3) ISO 3104:1994/Cor 1:1997, Petroleum 
products—Transparent and opaque liquids— Determination of kinematic viscosity and calculation of dynamic viscosity (‘‘ISO 3104’’), IBR approved for § 1065.705(c). 
(4) ISO 3675:1998, Crude petroleum and 
liquid petroleum products—Laboratory determination of density—Hydrometer method (‘‘ISO 3675’’), IBR approved for § 1065.705(c). 
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(5) ISO 3733:1999, Petroleum products and 
bituminous materials—Determination of 
water—Distillation method (‘‘ISO 3733’’), IBR approved for § 1065.705(c). 
(6) ISO 6245:2001, Petroleum products— 
Determination of ash (‘‘ISO 6245’’), IBR 
approved for § 1065.705(c). 
(7) ISO 8217:2012(E), Petroleum 
products—Fuels (class F)—Specifications of marine fuels, Fifth edition, August 15, 2012 (‘‘ISO 8217’’), IBR approved for § 1065.705(b) and (c). 
(8) ISO 8754:2003, Petroleum products— 
Determination of sulfur content—Energy- dispersive X-ray Fluorescence spectrometry (‘‘ISO 8754’’), IBR approved for § 1065.705(c). 
(9) ISO 10307–2(E):2009, Petroleum 
products—Total sediment in residual fuel oils—Part 2: Determination using standard procedures for ageing, Second Ed., February 1, 2009 (‘‘ISO 10307’’), as modified by ISO 10307–2:2009/Cor.1:2010(E), Technical Corrigendum 1, published May 15, 2010, IBR approved for § 1065.705(c). 
(10) ISO 10370:1993/Cor 1:1996, Petroleum 
products—Determination of carbon residue— Micro method (‘‘ISO 10370’’), IBR approved for § 1065.705(c). 
(11) ISO 10478:1994, Petroleum products— 
Determination of aluminium and silicon in fuel oils—Inductively coupled plasma emission and atomic absorption spectroscopy methods (‘‘ISO 10478’’), IBR approved for § 1065.705(c). 
(12) ISO 12185:1996/Cor 1:2001, Crude 
petroleum and petroleum products— Determination of density—Oscillating U-tube method (‘‘ISO 12185’’), IBR approved for § 1065.705(c). 
(13) ISO 14596:2007, Petroleum products— 
Determination of sulfur content— Wavelength-dispersive X-ray fluorescence spectrometry (‘‘ISO 14596’’), IBR approved for § 1065.705(c). 
(14) ISO 14597:1997, Petroleum products— 
Determination of vanadium and nickel content—Wavelength dispersive X-ray fluorescence spectrometry (‘‘ISO 14597’’), IBR approved for § 1065.705(c). 
(15) ISO 14644–1:1999, Cleanrooms and 
associated controlled environments (‘‘ISO 14644’’), IBR approved for § 1065.190(b). 
* * * * * 
Subpart L—Methods for Unregulated 
and Special Pollutants 
■280. Section 1065.1105 is amended by 
revising paragraphs (a) and (c)(4) to read as follows: 
§ 1065.1105 Sampling system design. 
(a) General. We recommend that you 
design your SVOC batch sampler to extract sample from undiluted emissions to maximize the sampled SVOC quantity. If you dilute your sample, we recommend using annular dilution. If you dilute your sample, but do not use annular dilution, you must precondition your sampling system to reach equilibrium with respect to loss and re-entrainment of SVOCs to the walls of the sampling system. To the extent practical, adjust sampling times based on the emission rate of target analytes from the engine to obtain analyte concentrations above the detection limit. In some instances you may need to run repeat test cycles without replacing the sample media or disassembling the batch sampler. 
* * * * * 
(c) * * * 
(4) Use a hydrophobic sorbent in a 
sealed sorbent module. Note that this 
sorbent module is intended to be the final stage for collecting the SVOC sample and should be sized accordingly. We recommend sizing the module to hold 40 g of XAD–2 along with PUF plugs at either end of the module, noting that you may vary the mass of XAD used for testing based on the anticipated SVOC emission concentration and sample flow rate. 
* * * * * 
■281. Section 1065.1107 is amended by 
revising paragraphs (a)(1), (a)(2), and (b) 
introductory text to read as follows: 
§ 1065.1107 Sample media and sample 
system preparation; sample system assembly. 
* * * * * 
(a) * * * 
(1) For capturing PM, we recommend 
using pure quartz filters with no binder 
if you are not analyzing separately for SVOCs in gas and particle phases. If you are analyzing separately, you must use polytetrafluoroethylene (PTFE) filters with PTFE support. Select the filter diameter to minimize filter change intervals, accounting for the expected PM emission rate, sample flow rate. Note that when repeating test cycles to increase sample mass, you may replace the filter without replacing the sorbent or otherwise disassembling the batch sampler. In those cases, include all filters in the extraction. 
(2) For capturing gaseous SVOCs, 
utilize XAD–2 resin with or without PUF plugs. Note that two PUF plugs are typically used to contain the XAD–2 resin in the sorbent module. 
(b) Sample media and sampler 
preparation. Prepare pre-cleaned PM 
filters and pre-cleaned PUF plugs/XAD– 2 as needed. Store sample media in containers protected from light and ambient air if you do not use them immediately after cleaning. Use the following preparation procedure, or an analogous procedure with different solvents and extraction times: 
* * * * * 
■282. Section 1065.1109 is amended by 
revising paragraphs (a)(1) and (b)(4) 
introductory text to read as follows: § 1065.1109 Post-test sampler 
disassembly and sample extraction. 
* * * * * 
(a) * * * 
(1) Remove the PM filter, PUF plugs, 
and all the XAD–2 from the sampling 
system and store them at or below 5 °C until analysis. 
* * * * * 
(b) * * * 
(4) After completing the initial 
extraction, remove the solvent and 
concentrate it to (4.0 ±0.5) ml using a Kuderna-Danish concentrator that includes a condenser such as a three- ball Snyder column with venting dimples and a graduated collection tube. Hold the water bath temperature at (75 to 80) °C. Using this concentrator will minimize evaporative loss of analytes with lower molecular weight. 
* * * * * 
PART 1066—VEHICLE-TESTING 
PROCEDURES 
■283. The authority citation for part 
1066 continues to read as follows: 
Authority: 42 U.S.C. 7401–7671q. 
Subpart B— Equipment, Measurement Instruments, Fuel, and Analytical Gas Specifications 
■284. Section 1066.105 is amended by 
revising paragraphs (c)(2) introductory text, (c)(2)(i), (c)(2)(iv), (c)(2)(v), (c)(5)(i), (c)(5)(iii), and (d) to read as follows: 
§ 1066.105 Ambient controls and vehicle 
cooling fans. 
* * * * * 
(c) * * * 
(2) You may use a road-speed 
modulated fan system meeting the 
specifications of this paragraph (c)(2) for anything other than SC03 and AC17 testing. Use a road-speed modulated fan that achieves a linear speed of cooling air at the blower outlet that is within ±3.0 mi/hr (±1.3 m/s) of the corresponding roll speed when vehicle speeds are between 5 and 30 mi/hr, and within ±6.5 mi/hr (±2.9 m/s) of the 
corresponding roll speed at higher vehicle speeds; however you may limit the fan’s maximum linear speed to 70 mi/hr. We recommend that the cooling fan have a minimum opening of 0.2 m
2 
and a minimum width of 0.8 m. 
(i) Verify the air flow velocity for fan 
speeds corresponding to vehicle speeds of 20 and 40 mi/hr using an instrument that has an accuracy of ±2% of the measured air flow speed. 
* * * * * 
(iv) Verify that the uniformity of the 
fan’s axial flow is constant across the 
discharge area within a tolerance of ±4.0 
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mi/hr of the vehicle’s speed at fan 
speeds corresponding to 20 mi/hr, and within ±8.0 mi/hr at fan speeds 
corresponding to 40 mi/hr. For example, at a vehicle speed of 20.2 mi/hr, axial flow at all locations denoted by the ‘‘+’’ across the discharge nozzle must be between 16.2 and 24.2 mi/hr. When measuring the axial air flow velocity, use good engineering judgment to determine the distance from the nozzle outlet at each point of the fan outlet grid. Use these values to calculate a mean air flow velocity across the discharge area at each speed setting. The instrument used to verify the air velocity must have an accuracy of ±2% of the measured air flow velocity. 
(v) Use a multi-axis flow meter or 
another method to verify that the fan’s air flow perpendicular to the axial air 
flow is less than 15% of the axial air flow, consistent with good engineering judgment. Demonstrate this by comparing the perpendicular air flow velocity to the mean air flow velocities determined in paragraph (c)(2)(iv) of this section at vehicle speeds of 20 and 40 mi/hr. 
* * * * * 
(5) * * * 
(i) Air flow volumes must be 
proportional to vehicle speed. Select a 
fan size that will produce a flow volume of approximately 45 m
3/s at 60 mi/hr. If 
this fan is also the only source of test cell air circulation or if fan operational mechanics make the 0 mi/hr air flow requirement impractical, air flow of 2 mi/hr or less at 0 mi/hr vehicle speed is allowed. 
* * * * * 
(iii) Use a multi-axis flow meter or 
another method to verify that the fan’s 
air flow perpendicular to the axial air flow is less than 10% of the axial air flow, consistent with good engineering judgment. Demonstrate this by comparing the perpendicular air flow velocity to the mean air flow velocities determined in paragraph (c)(2)(iv) of this section at vehicle speeds of 20 and 40 mi/hr. 
* * * * * (d) Allowable cooling fans for vehicles 
above 14,000 pounds GVWR. For all 
testing, use a road-speed modulated fan system that achieves a linear speed of cooling air at the blower outlet that is within ±3.0 mi/hr (±1.3 m/s) of the 
corresponding roll speed when vehicle speeds are between 5 and 30 mi/hr, and within ±10 mi/hr (±4.5 m/s) of the 
corresponding roll speed at higher vehicle speeds. For vehicles above 19,500 pounds GVWR, we recommend that the cooling fan have a minimum opening of 2.75 m
2, a minimum flow 
rate of 60 m3/s at a fan speed of 50 mi/ 
hr, and a minimum speed profile in the free stream flow, across the duct that is ±15% of the target flow rate. 
■285. Section 1066.110 is amended as 
follows: 
■a. By revising paragraph (b)(1)(i). 
■b. By redesignating paragraphs 
(b)(1)(ii) through (vii) as paragraphs (b)(1)(iii) through (viii), respectively. 
■c. By adding a new paragraph 
(b)(1)(ii). 
■d. By revising newly redesignated 
paragraph (b)(1)(vii). 
■e. By revising paragraph (b)(2)(i)(B). 
■f. By adding paragraph (b)(2)(iii)(C). 
■g. By revising paragraph (c). 
The additions and revisions read as 
follows: 
§ 1066.110 Equipment specifications for 
emission sampling systems. 
* * * * * 
(b) * * * 
(1) * * * (i) Minimize lengths of laboratory 
exhaust tubing. You may use a total 
length of laboratory exhaust tubing up to 4 m without needing to heat or insulate the tubing. However, you may use a total length of laboratory exhaust tubing up to 10 m, or up to 15 m for samples not involving PM measurement, if you insulate and/or heat the tubing to minimize the temperature difference between the exhaust gas and the whole tubing wall over the course of the emission test. The laboratory exhaust tubing starts at the end of the vehicle’s tailpipe and ends at the first sample point or the first dilution point. The laboratory exhaust tubing may include flexible sections, but we recommend that you limit the amount of flexible tubing to the extent practicable. For multiple-tailpipe configurations where the tailpipes combine into a single flow path for emission sampling, the start of the laboratory exhaust tubing may be taken at the last joint where the exhaust flow first becomes a single, combined flow. 
(ii) For vehicles above 14,000 pounds 
GVWR, you may shorten the tailpipe up to the outlet of the last aftertreatment device or silencer, whichever is furthest downstream. 
* * * * * 
(vii) Electrically ground the entire 
exhaust system, with the exception of 
nonconductive flexible tubing, as allowed under paragraph (b)(1)(iv) of this section. 
(2) * * * 
(i) * * * (B) You may sample background PM 
from the dilution tunnel at any time 
before or after an emission test using the same sampling system used during the emission test. For this background sampling, the dilution tunnel blower must be turned on, the vehicle must be disconnected from the laboratory exhaust tubing, and the laboratory exhaust tubing must be capped. You may run this PM blank test in combination with the dilute exhaust flow verification (propane check) in 40 CFR 1065.341, as long as the exhaust tubing inlet to the CVS has a filter meeting the requirements of 40 CFR 1065.140(b)(3). 
* * * * * 
(iii) * * * 
(C) You may use a higher target filter 
face velocity as specified in 40 CFR 
1065.170(c)(1)(vi), up to 140 cm/s, if you need to increase filter loading for PM measurement. 
* * * * * 
(c) The following table summarizes 
the requirements of paragraph (b)(2) of 
this section: 
TABLE 1 OF§ 1066.110—S UMMARY OF EQUIPMENT SPECIFICATIONS FROM 40 CFR P ART1065, S UBPART B, T HAT 
APPLY FOR CHASSIS TESTING  
40 CFR part 1065 
references Applicability for chassis testing under this part 
40 CFR 1065.140 ............... Use all except as noted: 
40 CFR 1065.140(b) applies as described in this section. 
Use 40 CFR 1065.140(c)(6), with the additional allowance described in this section. Do not use 40 CFR 1065.140(d)(2)(iv). Use 40 CFR 1065.140(e)(1) as described in this section. Do not use 40 CFR 1065.140(e)(2). 
40 CFR 1065.145 ............... Use all except 40 CFR 1065.145(b). 
40 CFR 1065.150 ............... Use all. 
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TABLE 1 OF§ 1066.110—S UMMARY OF EQUIPMENT SPECIFICATIONS FROM 40 CFR P ART1065, S UBPART B, T HAT 
APPLY FOR CHASSIS TESTING —Continued 
40 CFR part 1065 
references Applicability for chassis testing under this part 
40 CFR 1065.170 ............... Use all except as noted: 
Use 40 CFR 1065.170(c)(1)(vi) as described in this section. 
40 CFR 1065.190 ............... Use all. 
■286. Section 1066.135 is amended by 
revising paragraph (d)(1) to read as 
follows: 
§ 1066.135 Linearity verification. 
* * * * * 
(d) * * * 
(1) Raw exhaust static pressure 
control. 
* * * * * 
■287. Section 1066.140 is amended as 
follows: 
■a. By revising paragraphs (e), (f)(6)(i), 
(f)(8), (f)(13), (g)(6)(i), (g)(11), (h) 
introductory text, (h)(6)(i), (h)(7), (h)(9), and (h)(10). 
■b. By redesignating paragraph (j) as 
paragraph (i). 
■c. By revising Figure 1. 
The revisions read as follows: 
§ 1066.140 Diluted exhaust flow 
calibration. 
* * * * * 
(e) Configuration. Calibrate the system 
with any upstream screens or other 
restrictions that will be used during testing and that could affect the flow ahead of the flow meter. You may not use any upstream screen or other restriction that could affect the flow ahead of the reference flow meter, unless the flow meter has been calibrated with such a restriction. 
(f) * * * (6) * * * 
(i) The mean flow rate of the reference 
flow meter, VÔ
ref. This may include 
several measurements of different 
quantities, such as reference meter pressures and temperatures, for calculating VÔ
ref. 
* * * * * 
(8) Repeat the steps in paragraphs 
(f)(6) and (7) of this section to record data at a minimum of six restrictor positions ranging from the wide-open restrictor position to the minimum expected pressure at the PDP inlet or the maximum expected differential (outlet minus inlet) pressure across the PDP during testing. 
* * * * * 
(13) During emission testing ensure 
that the PDP is not operated either 
below the lowest inlet pressure point or above the highest differential pressure point in the calibration data. 
(g) * * * 
(6) * * * (i) The mean flow rate of the reference 
flow meter, VÔ
ref. This may include 
several measurements of different 
quantities for calculating VÔ
ref, such as 
reference meter pressures and temperatures. 
* * * * * 
(11) Use the SSV only between the 
minimum and maximum calibrated Re
#. 
If you want to use the SSV at a lower or higher Re#, you must recalibrate the 
SSV. 
* * * * * 
(h) CFV calibration. The calibration 
procedure described in this paragraph 
(h) establishes the value of the calibration coefficient, K
v, at measured 
values of pressure, temperature and air flow. Calibrate the CFV up to the highest expected pressure ratio, r, according to § 1066.625. Calibrate the CFV as follows: 
(6) * * * 
(i) The mean flow rate of the reference 
flow meter, VÔ
ref. This may include 
several measurements of different 
quantities, such as reference meter pressures and temperatures, for calculating VÔ
ref. 
* * * * * 
(7) Incrementally close the restrictor 
valve or decrease the downstream pressure to decrease the differential pressure across the CFV, Dp
CFV. 
* * * * * 
(9) Determine K vand the highest 
allowable pressure ratio, r, according to § 1066.625. 
(10) Use K
vto determine CFV flow 
during an emission test. Do not use the CFV above the highest allowed r, as determined in § 1066.625. 
* * * * * 
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Subpart C—Dynamometer 
Specifications 
■288. Section 1066.210 is amended by 
revising paragraph (d)(3) to read as follows: § 1066.210 Dynamometers. 
* * * * * 
(d) * * * 
(3) The load applied by the 
dynamometer simulates forces acting on the vehicle during normal driving 
according to the following equation: 
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Where: 
FR = total road-load force to be applied at the 
surface of the roll. The total force is the 
sum of the individual tractive forces applied at each roll surface. 
i = a counter to indicate a point in time over 
the driving schedule. For a dynamometer operating at 10 Hz intervals over a 600 second driving schedule, the maximum value of i should be 6,000. 
A = a vehicle-specific constant value 
representing the vehicle’s frictional load in lbf or newtons. See subpart D of this part. 
G
i= instantaneous road grade, in percent. If 
your duty cycle is not subject to road grade, set this value to 0. 
B = a vehicle-specific coefficient representing 
load from drag and rolling resistance, 
which are a function of vehicle speed, in lbf/(mi/hr) or N·s/m. See subpart D of 
this part. 
v = instantaneous linear speed at the roll 
surfaces as measured by the dynamometer, in mi/hr or m/s. Let v
i-1= 
0 for i = 0. 
C = a vehicle-specific coefficient representing 
aerodynamic effects, which are a function of vehicle speed squared, in lbf/ (mi/hr)
2or N·s2/m2. See subpart D of this 
part. 
Me= the vehicle’s effective mass in lbm or 
kg, including the effect of rotating axles as specified in § 1066.310(b)(7). 
t = elapsed time in the driving schedule as 
measured by the dynamometer, in seconds. Let t
i-1= 0 for i = 0. 
M = the measured vehicle mass, in lbm or kg. ag= acceleration of Earth’s gravity, as 
described in 40 CFR 1065.630. 
* * * * * 
■289. Section 1066.235 is amended by 
revising paragraphs (c)(1)(i) and (c)(2)(i) 
to read as follows: 
§ 1066.235 Speed verification procedure. 
* * * * * 
(c) * * * 
(1) * * * 
(i) Set the dynamometer to speed- 
control mode. Set the dynamometer speed to a value of approximately 4.5 m/s (10 mi/hr); record the output of the frequency counter after 10 seconds. Determine the roll speed, v
act, using the 
following equation: 
Where: 
f = frequency of the dynamometer speed 
sensing device, accurate to at least four 
significant figures. droll= nominal roll diameter, accurate to the 
nearest 1.0 mm, consistent with 
§ 1066.225(d). 
n = the number of pulses per revolution from 
the dynamometer roll speed sensor. Example:  
f = 2.9231 Hz = 2.9231 s¥1 
droll= 904.40 mm = 0.90440 m 
vact= 8.3053 m/s 
* * * * * 
(2) * * * 
(i) Set the dynamometer to speed- 
control mode. Set the dynamometer 
speed to a speed value of approximately 4.5 m/s (10 mi/hr). Tune the stroboscope or photo tachometer until the signal matches the dynamometer roll speed. Record the frequency. Determine the roll speed, y
act, using Eq. 
1066.235–1, using the stroboscope or photo tachometer’s frequency for f. 
* * * * * 
■290. Section 1066.245 is amended by 
revising paragraph (c) introductory text 
to read as follows: 
§ 1066.245 Response time verification. 
* * * * * 
(c) Procedure. Use the dynamometer’s 
automated process to verify response time. You may perform this test either at two different inertia settings 
corresponding approximately to the minimum and maximum vehicle weights you expect to test or using base inertia and two acceleration rates that cover the range of acceleration rates experienced during testing (such as 0.5 and 8 (mi/hr)/s). Use good engineering judgment to select road-load coefficients representing vehicles of the appropriate weight. Determine the dynamometer’s settling response time, t
s, based on the 
point at which there are no measured results more than 10% above or below the final equilibrium value, as illustrated in Figure 1 of this section. The observed settling response time must be less than 100 milliseconds for each inertia setting. Figure 1 follows: 
* * * * * ■291. Section 1066.250 is amended by 
revising paragraphs (c)(1), (c)(2), and 
(c)(5) to read as follows: 
§ 1066.250 Base inertia verification. 
* * * * * 
(c) * * * 
(1) Warm up the dynamometer 
according to the dynamometer 
manufacturer’s instructions. Set the dynamometer’s road-load inertia to zero, turning off any electrical simulation of road load and inertia so that the base inertia of the dynamometer is the only inertia present. Motor the rolls to 5 mi/ hr. Apply a constant force to accelerate the roll at a nominal rate of 1 (mi/hr)/ s. Measure the elapsed time to accelerate from 10 to 40 mi/hr, noting the corresponding speed and time points to the nearest 0.01 mi/hr and 0.01 s. Also determine mean force over the measurement interval. 
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(2) Starting from a steady roll speed 
of 45 mi/hr, apply a constant force to 
the roll to decelerate the roll at a nominal rate of 1 mi/hr/s. Measure the elapsed time to decelerate from 40 to 10 mi/hr, noting the corresponding speed and time points to the nearest 0.01 mi/ hr and 0.01 s. Also determine mean force over the measurement interval. 
* * * * * 
(5) Determine the base inertia, I
b,for 
each measurement interval using the 
following equation: 
Where: 
F¯= mean dynamometer force over the 
measurement interval as measured by 
the dynamometer. 
vfinal= roll surface speed at the end of the 
measurement interval to the nearest 0.01 mi/hr. 
v
init= roll surface speed at the start of the 
measurement interval to the nearest 0.01 
mi/hr. 
D t= elapsed time during the measurement 
interval to the nearest 0.01 s. 
Example:  
F¯= 1.500 lbf = 48.26 ft·lbm/s2 
vfinal= 40.00 mi/hr = 58.67 ft/s 
vinit= 10.00 mi/hr = 14.67 ft/s 
D t= 30.00 s 
Ib= 32.90 lbm 
* * * * * 
■292. Section 1066.260 is amended by 
revising paragraphs (c)(3) and (4) to read 
as follows: 
§ 1066.260 Parasitic friction compensation 
evaluation. 
* * * * * 
(c) * * * 
(3) Set the dynamometer inertia to the 
base inertia with the road-load 
coefficients A, B, and C set to 0. Set the dynamometer to speed-control mode with a target speed of 50 mi/hr or a higher speed recommended by the dynamometer manufacturer. Once the speed stabilizes at the target speed, switch the dynamometer from speed- control to torque-control and allow the roll to coast for 60 seconds. Record the initial and final speeds and the corresponding start and stop times. If friction compensation is executed perfectly, there will be no change in speed during the measurement interval. 
(4) Calculate the power equivalent of 
friction compensation error, FC
error, 
using the following equation: 
Where: 
I = dynamometer inertia setting. 
t = duration of the measurement interval, 
accurate to at least 0.01 s. 
vinit= the roll speed corresponding to the 
start of the measurement interval, 
accurate to at least 0.05 mi/hr. 
vfinal= the roll speed corresponding to the 
end of the measurement interval, 
accurate to at least 0.05 mi/hr. 
Example:  
I = 2000 lbm = 62.16 lbf·s2/ft 
t = 60.0 s 
vinit= 9.2 mi/hr = 13.5 ft/s 
vfinal= 10.0 mi/hr = 14.7 ft/s 
FCerror= ¥16.5 ft·lbf/s = ¥0.031 hp 
* * * * * 
■293. Section 1066.265 is amended by 
revising paragraphs (c) and (d) to read 
as follows: 
§ 1066.265 Acceleration and deceleration 
verification. 
* * * * * 
(c) Verification of acceleration and 
deceleration rates. Activate the 
dynamometer’s function generator for measuring roll revolution frequency. If the dynamometer has no such function generator, set up a properly calibrated external function generator consistent with the verification described in this paragraph (c). Use the function generator to determine actual acceleration and deceleration rates as the dynamometer traverses speeds between 10 and 40 mi/hr at various nominal acceleration and deceleration rates. Verify the dynamometer’s acceleration and deceleration rates as follows: 
(1) Set up start and stop frequencies 
specific to your dynamometer by identifying the roll-revolution frequency, f, in revolutions per second 
(or Hz) corresponding to 10 mi/hr and 40 mi/hr vehicle speeds, accurate to at least four significant figures, using the following equation: 
Where: 
v = the target roll speed, in inches per second 
(corresponding to drive speeds of 10 mi/ 
hr or 40 mi/hr). 
n = the number of pulses from the 
dynamometer’s roll-speed sensor per roll revolution. 
d
roll= roll diameter, in inches. 
(2) Program the dynamometer to 
accelerate the roll at a nominal rate of 
1 mi/hr/s from 10 mi/hr to 40 mi/hr. Measure the elapsed time to reach the target speed, to the nearest 0.01 s. Repeat this measurement for a total of five runs. Determine the actual acceleration rate for each run, a
act, using 
the following equation: 
Where: 
aact= acceleration rate (decelerations have 
negative values). 
vfinal= the target value for the final roll speed. 
vinit= the setpoint value for the initial roll 
speed. 
t = time to accelerate from v initto vfinal. 
Example:  
vfinal= 40 mi/hr 
vinit= 10 mi/hr 
t = 30.003 s 
aact= 0.999 (mi/hr)/s 
(3) Program the dynamometer to 
decelerate the roll at a nominal rate of 
1 (mi/hr)/s from 40 mi/hr to 10 mi/hr. Measure the elapsed time to reach the target speed, to the nearest 0.01 s. Repeat this measurement for a total of five runs. Determine the actual acceleration rate, a
act,using Eq. 
1066.265–2. 
(4) Repeat the steps in paragraphs 
(c)(2) and (3) of this section for additional acceleration and deceleration rates in 1 (mi/hr)/s increments up to and including one increment above the maximum acceleration rate expected during testing. Average the five repeat runs to calculate a mean acceleration rate, 
aact, at each setting. 
(5) Compare each mean acceleration 
rate, aact, to the corresponding nominal 
acceleration rate, a ref, to determine 
values for acceleration error, a error, using 
the following equation: 
Example:  
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aact= 0.999 (mi/hr)/s 
aref= 1 (mi/hr)/s 
aerror= ¥0.100% 
(d) Verification of forces for 
controlling acceleration and 
deceleration. Program the dynamometer 
with a calculated force value and determine actual acceleration and deceleration rates as the dynamometer traverses speeds between 10 and 40 mi/ hr at various nominal acceleration and deceleration rates. Verify the dynamometer’s ability to achieve certain acceleration and deceleration rates with a given force as follows: 
(1) Calculate the force setting, F, using 
the following equation: 
Where: 
Ib= the dynamometer manufacturer’s stated 
base inertia, in lbf·s2/ft. 
a = nominal acceleration rate, in ft/s2. 
Example:  
Ib= 2967 lbm = 92.217 lbf·s2/ft 
a = 1 (mi/hr)/s = 1.4667 ft/s2 
F = 92.217 ¥ 1.4667 
F = 135.25 lbf 
(2) Set the dynamometer to road-load 
mode and program it with a calculated 
force to accelerate the roll at a nominal rate of 1 (mi/hr)/s from 10 mi/hr to 40 mi/hr. Measure the elapsed time to reach the target speed, to the nearest 0.01 s. Repeat this measurement for a total of five runs. Determine the actual acceleration rate, a
act, for each run using 
Eq. 1066.265–2. Repeat this step to determine measured ‘‘negative acceleration’’ rates using a calculated force to decelerate the roll at a nominal rate of 1 (mi/hr)/s from 40 mi/hr to 10 mi/hr. Average the five repeat runs to calculate a mean acceleration rate, 
aact, 
at each setting. 
(3) Repeat the steps in paragraph 
(d)(2) of this section for additional acceleration and deceleration rates as specified in paragraph (c)(4) of this section. 
(4) Compare each mean acceleration 
rate, 
aact, to the corresponding nominal 
acceleration rate, aref, to determine 
values for acceleration error, aerror, using 
Eq. 1066.265–3. 
* * * * * 
■294. Section 1066.270 is amended by 
revising paragraphs (c)(2), (c)(4), (c)(6) 
and (d)(1) to read as follows: § 1066.270 Unloaded coastdown 
verification. 
* * * * * 
(c) * * * 
(2) With the dynamometer in 
coastdown mode, set the dynamometer 
inertia for the smallest vehicle weight that you expect to test and set A, B, and C road-load coefficients to values typical of those used during testing. Program the dynamometer to coast down over the dynamometer 
operational speed range (typically from a speed of 80 mi/hr through a minimum speed at or below 10 mi/hr). Perform at least one coastdown run over this speed range, collecting data over each 10 mi/ hr interval. 
* * * * * 
(4) Determine the average coastdown 
force, 
F, for each speed and inertia 
setting for each of the coastdowns 
performed using the following equation: 
Where: 
F= the mean force measured during the 
coastdown for each speed interval and 
inertia setting, expressed in lbf·s2/ft and 
rounded to four significant figures. 
I = the dynamometer’s inertia setting, in 
lbf·s2/ft. 
vinit= the speed at the start of the coastdown 
interval, expressed in ft/s to at least four significant figures. 
v
final= the speed at the end of the coastdown 
interval, expressed in ft/s to at least four significant figures. 
t = coastdown time for each speed interval 
and inertia setting, accurate to at least 0.01 s. 
Example:  
I = 2000 lbm = 62.16 lbf·s
2/ft 
vinit= 25 mi/hr = 36.66 ft/s 
vfinal= 15 mi/hr = 22.0 ft/s 
t = 5.00 s 
F= 182.2 lbf 
* * * * * 
(6) Compare the mean value of the 
coastdown force measured for each 
speed interval and inertia setting, Fact, to 
the corresponding F refto determine 
values for coastdown force error, F error, 
using the following equation: 
Example:  
Fref= 192 lbf 
Fact= 191 lbf 
Ferror= 0.5% 
(d) * * * 
(1) For vehicles at or below 20,000 
pounds GVWR, the maximum allowable 
error, Ferrormax , for all speed intervals 
and inertia settings is 1.0% or the value determined from Eq. 1066.270–3, whichever is greater. 
Example:  
Fref= 192 lbf 
Ferrormax = 1.14% 
* * * * * 
■295. Section 1066.275 is amended by 
revising paragraph (c)(1) to read as follows: 
§ 1066.275 Daily dynamometer readiness 
verification. 
* * * * * 
(c) * * * 
(1) With the dynamometer in 
coastdown mode, set the dynamometer 
inertia to the base inertia with the road- 
load coefficient A set to 20 lbf (or a force that results in a coastdown time of less than 10 minutes) and coefficients B and C set to 0. Program the dynamometer to coast down for one 10 mi/hr interval from 55 mi/hr down to 45 mi/hr. If your dynamometer is not capable of performing one discrete coastdown, then coast down with preset 10 mi/hr intervals that include a 55 mi/hr to 45 mi/hr interval. 
* * * * * 
Subpart D—Coastdown 
■296. Section 1066.301 is amended by 
adding introductory text to read as 
follows: 
§ 1066.301 Overview of road-load 
determination procedures. 
Vehicle testing on a chassis 
dynamometer involves simulating the 
road-load force, which is the sum of forces acting on a vehicle from aerodynamic drag, tire rolling resistance, driveline losses, and other effects of friction. Determine dynamometer settings to simulate road- 
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load force in two stages. First, perform 
a road-load force specification by characterizing on-road operation. Second, perform a road-load derivation to determine the appropriate dynamometer load settings to simulate the road-load force specification from the on-road test. 
* * * * * 
■297. Section 1066.305 is amended by 
revising paragraph (a) to read as follows: 
§ 1066.305 Procedures for specifying road- 
load forces for motor vehicles at or below 14,000 pounds GVWR. 
(a) For motor vehicles at or below 
14,000 pounds GVWR, develop 
representative road-load coefficients to characterize each vehicle covered by a certificate of conformity. Calculate road- load coefficients by performing coastdown tests using the provisions of SAE J1263 and SAE J2263 (incorporated by reference in § 1066.1010). This protocol establishes a procedure for determination of vehicle road load force for speeds between 115 and 15 km/hr (71.5 and 9.3 mi/hr); the final result is a model of road-load force (as a function of speed) during operation on a dry, level road under reference conditions of 20 °C, 98.21 kPa, no wind, no 
precipitation, and the transmission in neutral. You may use other methods that are equivalent to SAE J2263, such as equivalent test procedures or analytical modeling, to characterize road load using good engineering judgment. Determine dynamometer settings to simulate the road-load profile represented by these road-load target coefficients as described in § 1066.315. Supply representative road-load forces for each vehicle at speeds above 15 km/ hr (9.3 mi/hr), and up to 115 km/hr (71.5 mi/hr), or the highest speed from the range of applicable duty cycles. 
* * * * * 
■298. Section 1066.310 is amended by 
revising the introductory text and 
paragraphs (b)(1)(i), (b)(2), (b)(6), (b)(7)(ii) introductory text, (b)(7)(ii)(A), (b)(7)(ii)(B), (b)(7)(ii)(D), and (b)(7)(ii)(E) to read as follows: 
§ 1066.310 Coastdown procedures for 
vehicles above 14,000 pounds GVWR. 
This section describes coastdown 
procedures that are unique to vehicles 
above 14,000 pounds GVWR. These procedures are valid for calculating 
road-load coefficients for chassis and post-transmission powerpack testing. These procedures are also valid for calculating drag area (C
dA) to 
demonstrate compliance with Phase 1 greenhouse gas emission standards under 40 CFR part 1037. 
* * * * * 
(b) * * * 
(1) * * * (i) We recommend that you do not 
perform coastdown testing on days for 
which winds are forecast to exceed 6.0 mi/hr. 
* * * * * 
(2) Operate the vehicle at a top speed 
above 70 mi/hr, or at its maximum 
achievable speed if it cannot reach 70 mi/hr. If a vehicle is equipped with a vehicle speed limiter that is set for a maximum speed below 70 mi/hr, you must disable the vehicle speed limiter. Start the test at or above 70 mi/hr, or at the vehicle’s maximum achievable speed if it cannot reach 70 mi/hr. Collect data through a minimum speed at or below 15 mi/hr. Data analysis for valid coastdown runs must include the range of vehicle speeds specified in this paragraph (b)(2). 
* * * * * 
(6) All valid coastdown run times in 
each direction must be within 2.0 
standard deviations of the mean of the valid coastdown run times (from the specified maximum speed down to 15 mi/hr) in that direction. Eliminate runs outside this range. After eliminating these runs you must have at least eight valid runs in each direction. You may use coastdown run times that do not meet these standard deviation requirements if we approve it in advance. In your request, describe why the vehicle is not able to meet the specified standard deviation requirements and propose an alternative set of requirements. 
(7) * * * 
(ii) Determine drag area, C
dA, as 
follows instead of using the procedure 
specified in Section 10 of SAE J1263: 
(A) Measure vehicle speed at fixed 
intervals over the coastdown run (generally at 10 Hz), including speeds at or above 15 mi/hr and at or below the specified maximum speed. Establish the elevation corresponding to each interval as described in SAE J2263 if you need to incorporate the effects of road grade. 
(B) Calculate the vehicle’s effective 
mass, M
e,in kg by adding 56.7 kg to the 
measured vehicle mass, M, for each tire 
making road contact. This accounts for the rotational inertia of the wheels and tires. 
* * * * * 
(D) Plot the data from all the 
coastdown runs on a single plot of F
ivs. 
vi2to determine the slope correlation, D, 
based on the following equation: 
Where: 
M = the measured vehicle mass, expressed to 
at least the nearest 0.1 kg. 
ag= acceleration of Earth’s gravity, as 
described in 40 CFR 1065.630. 
Dh = change in elevation over the 
measurement interval, in m. Assume Dh 
= 0 if you are not correcting for grade. 
Ds = distance the vehicle travels down the 
road during the measurement interval, in m. 
A
m= the calculated value of the y-intercept 
based on the curve-fit. 
(E) Calculate drag area, C dA, in m2 
using the following equation: 
Where: 
r = air density at reference conditions = 1.17 
kg/m3. 
T¯= mean ambient absolute temperature 
during testing, in K. 
P¯= mean ambient pressuring during the test, 
in kPa. 
* * * * * 
Subpart E—Preparing Vehicles and 
Running an Exhaust Emission Test 
■299. Section 1066.410 is amended by 
revising paragraphs (c) and (h) introductory text to read as follows: 
§ 1066.410 Dynamometer test procedure. 
* * * * * 
(c) Record the vehicle’s speed trace 
based on the time and speed data from the dynamometer at the recording frequencies given in Table 1 of § 1066.125. Record speed to at least the nearest 0.01 mi/hr and time to at least the nearest 0.1 s. 
* * * * * 
(h) Determine equivalent test weight 
as follows: * * * * * 
■300. Section 1066.415 is amended by 
revising paragraph (e)(6)(ii) to read as 
follows: 
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§ 1066.415 Vehicle operation. 
* * * * * 
(e) * * * 
(6) * * * (ii) For vehicles with manual 
transmission, shift gears in a way that 
represents reasonable shift patterns for in-use operation, considering vehicle speed, engine speed, and any other relevant variables. Disengage the clutch when the speed drops below 15 mi/hr, when engine roughness is evident, or when good engineering judgment indicates the engine is likely to stall. Manufacturers may recommend shift guidance in the owners manual that differs from the shift schedule used during testing, as long as both shift schedules are described in the application for certification; in this case, we may shift during testing as described in the owners manual. 
■301. Section 1066.425 is amended by 
revising paragraphs (b)(1), (2), and (3) to read as follows: 
§ 1066.425 Performing emission tests. 
* * * * * 
(b) * * * (1) The upper limit is 2.0 mi/hr higher 
than the highest point on the trace within 1.0 s of the given point in time. 
(2) The lower limit is 2.0 mi/hr lower 
than the lowest point on the trace within 1.0 s of the given time. 
(3) The same limits apply for vehicle 
operation without exhaust measurements, such as vehicle preconditioning and warm-up, except that the upper and lower limits for speed values are ±4.0 mi/hr. In addition, 
up to three occurrences of speed variations greater than the tolerance are acceptable for vehicle operation in 
which no exhaust emission standards apply, as long as they occur for less than 15 seconds on any occasion and are clearly documented as to the time and speed at that point of the driving schedule. 
* * * * * 
Subpart G—Calculations 
■302. Section 1066.605 is amended by 
revising paragraphs (c) introductory text 
and (d) through (g) and adding paragraph (h) to read as follows: 
§ 1066.605 Mass-based and molar-based 
exhaust emission calculations. 
* * * * * 
(c) Perform the following sequence of 
preliminary calculations to correct 
recorded concentration measurements 
before calculating mass emissions in paragraphs (e) and (f) of this section: 
* * * * * 
(d) Calculate g/mile emission rates 
using the following equation unless the 
standard-setting part specifies otherwise: 
Where: 
e[emission] = emission rate over the test 
interval. 
m[emission] = emission mass over the test 
interval. 
D = the measured driving distance over the 
test interval. 
Example:  
mNOx= 0.3177 g DHFET = 10.19 miles 
(e) Calculate the emission mass of 
each gaseous pollutant using the 
following equation: 
Where: 
m[emission] = emission mass over the test 
interval. 
Vmix= total dilute exhaust volume over the 
test interval, corrected to standard 
reference conditions, and corrected for any volume removed for emission sampling and for any volume change from adding secondary dilution air. 
p
[emission] = density of the appropriate 
chemical species as given in § 1066.1005(f). 
x
[emission] = measured emission concentration 
in the sample, after dry-to-wet and background corrections. 
c = 10
¥2for emission concentrations in %, 
and 10¥6for emission concentrations in 
ppm. 
Example:  
Vmix= 170.878 m3(from paragraph (f) of this 
section) 
rNOx= 1913 g/m3 
xNOx= 0.9721 ppm 
c = 10¥6 
mNOx= 170.878·1913·0.9721·10¥6= 0.3177 g 
(f) Calculation of the emission mass of 
PM, mPM,is dependent on how many 
PM filters you use, as follows: 
(1) Except as otherwise specified in 
this paragraph (f), calculate m PMusing 
the following equation: 
Where: 
mPM= mass of particulate matter emissions 
over the test interval, as described in 
§ 1066.815(b)(1), (2), and (3). 
Vmix= total dilute exhaust volume over the 
test interval, corrected to standard reference conditions, and corrected for any volume removed for emission sampling and for any volume change from adding secondary dilution air. For partial-flow dilution systems, set V
mix 
equal to the total exhaust volume over the test interval, corrected to standard 
reference conditions. 
VPMstd = total volume of dilute exhaust 
sampled through the filter over the test interval, corrected to standard reference 
conditions. 
V
sdastd = total volume of secondary dilution 
air sampled through the filter over the test interval, corrected to standard reference conditions. For partial-flow dilution systems, set V
sdastd equal to total 
dilution air volume over the test interval, corrected to standard reference conditions. m
PMfil = mass of particulate matter emissions 
on the filter over the test interval. 
mPMbkgnd = mass of particulate matter on the 
background filter. 
Example:  
Vmix= 170.878 m3(from paragraph (g) of this 
section) 
VPMstd = 0.925 m3(from paragraph (g) of this 
section) 
Vsdastd = 0.527 m3(from paragraph (g) of this 
section) 
mPMfil = 0.0000045 g 
mPMbkgnd = 0.0000014 g 
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(2) If you sample PM onto a single 
filter as described in § 1066.815(b)(4)(i) 
or (b)(4)(ii) (for constant volume samplers), calculate m PMusing the 
following equation: 
Where: 
mPM= mass of particulate matter emissions 
over the entire FTP. 
Vmix= total dilute exhaust volume over the 
test interval, corrected to standard 
reference conditions, and corrected for any volume removed for emission sampling and for any volume change from adding secondary dilution air. 
V
[interval]-PMstd = total volume of dilute exhaust 
sampled through the filter over the test 
interval (ct = cold transient, s = stabilized, ht = hot transient), corrected 
to standard reference conditions. 
V[interval]-sdastd = total volume of secondary 
dilution air sampled through the filter over the test interval (ct = cold transient, s = stabilized, ht = hot transient), corrected to standard reference conditions. 
m
PMfil = mass of particulate matter emissions 
on the filter over the test interval. 
mPMbkgnd = mass of particulate matter on the 
background filter over the test interval. Example:  
Vmix= 633.691 m3 
Vct-PMstd = 0.925 m3 
Vct-sdastd = 0.527 m3 
Vs-PMstd = 1.967 m3 
Vs-sdastd = 1.121 m3 
Vht-PMstd = 1.122 m3 
Vht-sdastd = 0.639 m3 
mPMfil = 0.0000106 g 
mPMbkgnd = 0.0000014 g 
mPM= 0.00222 g (3) If you sample PM onto a single 
filter as described in § 1066.815(b)(4)(ii) 
(for partial flow dilution systems), calculate mPMusing the following 
equation: 
Where: 
mPM= mass of particulate matter emissions 
over the entire FTP. 
V[interval]-exhstd = total engine exhaust volume 
over the test interval (ct = cold transient, 
s = stabilized, ht = hot transient), corrected to standard reference conditions, and corrected for any volume removed for emission sampling. 
V
[interval]-PMstd = total volume of dilute exhaust 
sampled through the filter over the test interval (ct = cold transient, s = stabilized, ht = hot transient), corrected 
to standard reference conditions. 
V
[interval]-dilstd = total volume of dilution air 
over the test interval (ct = cold transient, s = stabilized, ht = hot transient), corrected to standard reference conditions and for any volume removed 
for emission sampling. 
m
PMfil = mass of particulate matter emissions 
on the filter over the test interval. 
mPMbkgnd = mass of particulate matter on the 
background filter over the test interval. Example:  
Vct-exhstd = 5.55 m3 
Vct-PMstd = 0.526 m3 
Vct-dilstd = 0.481 m3 
Vs-exhstd = 9.53 m3 
Vs-PMstd = 0.903 m3 
Vs-dilstd = 0.857 m3 
Vht-exhstd = 5.54 m3 
Vht-PMstd = 0.527 m3 
Vht-dilstd = 0.489 m3 
mPMfil = 0.0000106 g 
mPMbkgnd = 0.0000014 g 
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mPM= 0.00269 g (4) If you sample PM onto a single 
filter as described in § 1066.815(b)(5)(i) 
or (b)(5)(ii) (for constant volume samplers), calculate m PMusing the 
following equation: 
Where: 
mPM= mass of particulate matter emissions 
over the entire FTP. 
Vmix= total dilute exhaust volume over the 
test interval, corrected to standard 
reference conditions, and corrected for any volume removed for emission 
sampling and for any volume change from secondary dilution air. 
V
[interval]-PMstd = total volume of dilute exhaust 
sampled through the filter over the test interval (ct = cold transient, cs = cold stabilized, ht = hot transient, hs = hot 
stabilized), corrected to standard reference conditions. 
V
[interval]-sdastd = total volume of secondary 
dilution air sampled through the filter over the test interval (ct = cold transient, cs = cold stabilized, ht = hot transient, hs = hot stabilized), corrected to standard reference conditions. 
m
PMfil = mass of particulate matter emissions 
on the filter over the test interval. 
mPMbkgnd = mass of particulate matter on the 
background filter over the test interval. Example:  
Vmix= 972.121 m3 
Vct-PMstd = 0.925 m3 
Vct-sdastd = 0.529 m3 
Vcs-PMstd = 1.968 m3 
Vcs-sdastd = 1.123 m3 
Vht-PMstd = 1.122 m3 
Vht-sdastd = 0.641 m3 
Vhs-PMstd = 1.967 m3 
Vhs-sdastd = 1.121 m3 
mPMfil = 0.0000229 g 
mPMbkgnd = 0.0000014 g 
mPM= 0.00401 g (5) If you sample PM onto a single 
filter as described in § 1066.815(b)(5)(ii) 
(for partial flow dilution systems), calculate mPMusing the following 
equation: 
Where: 
mPM= mass of particulate matter emissions 
over the entire FTP. 
V[interval]-exhstd = total engine exhaust volume 
over the test interval (ct = cold transient, cs = cold stabilized, ht = hot transient, 
hs = hot stabilized), corrected to standard reference conditions, and corrected for any volume removed for emission sampling. V
[interval]-PMstd = total volume of dilute exhaust 
sampled through the filter over the test 
interval (ct = cold transient, cs = cold stabilized, ht = hot transient, hs = hot stabilized), corrected to standard reference conditions. 
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V[interval]-dilstd = total volume of dilution air 
over the test interval (ct = cold transient, 
cs = cold stabilized, ht = hot transient, hs = hot stabilized), corrected to standard reference conditions and for any volume removed for emission sampling. 
m
PMfil = mass of particulate matter emissions 
on the filter over the test interval. mPMbkgnd = mass of particulate matter on the 
background filter over the test interval. 
Example:  
Vct-exhstd = 5.55 m3 
Vct-PMstd = 0.526 m3 
Vct-dilstd = 0.481 m3 
Vcs-exhstd = 9.53 m3 
Vcs-PMstd = 0.903 m3 Vcs-dilstd = 0.857 m3 
Vht-exhstd = 5.54 m3 
Vht-PMstd = 0.527 m3 
Vht-dilstd = 0.489 m3 
Vhs-exhstd = 9.54 m3 
Vhs-PMstd = 0.902 m3 
Vhs-dilstd = 0.856 m3 
mPMfil = 0.0000229 g 
mPMbkgnd = 0.0000014 g 
mPM= 0.00266 g 
(g) This paragraph (g) describes how 
to correct flow and flow rates to 
standard reference conditions and provides an example for determining 
Vmixbased on CVS total flow and the 
removal of sample flow from the dilute exhaust gas. You may use predetermined nominal values for removed sample volumes, except for flows used for batch sampling. 
(1) Correct flow and flow rates to 
standard reference conditions as needed using the following equation: 
Where: 
V[flow]std = total flow volume at the flow 
meter, corrected to standard reference 
conditions. 
V[flow]act = total flow volume at the flow meter 
at test conditions. 
pin= absolute static pressure at the flow 
meter inlet, measured directly or calculated as the sum of atmospheric pressure plus a differential pressure referenced to atmospheric pressure. 
T
std= standard temperature. 
pstd= standard pressure. 
Tin= temperature of the dilute exhaust 
sample at the flow meter inlet. 
Example:  VPMact = 1.071 m3 
pin= 101.7 kPa 
Tstd= 293.15 K 
pstd= 101.325 kPa 
Tin= 340.5 K 
(2) The following example provides a 
determination of V mixbased on CVS 
total flow and the removal of sample 
flow from one dilute exhaust gas analyzer and one PM sampling system that is utilizing secondary dilution. Note that your V
mixdetermination may vary 
from Eq. 1066.605–7 based on the number of flows that are removed from your dilute exhaust gas and whether your PM sampling system is using 
secondary dilution. For this example, V
mixis governed by the following 
equation: 
Where: 
VCVSstd = total dilute exhaust volume over the 
test interval at the flow meter, corrected 
to standard reference conditions. 
Vgasstd = total volume of sample flow through 
the gaseous emission bench over the test 
interval, corrected to standard reference conditions. 
V
PMstd = total volume of dilute exhaust 
sampled through the filter over the test interval, corrected to standard reference 
conditions. 
Vsdastd = total volume of secondary dilution 
air flow sampled through the filter over the test interval, corrected to standard reference conditions. 
Example:  Using Eq. 1066.605–8: V
CVSstd = 170.451 m3, where V CVSact = 
170.721 m3, pin= 101.7 kPa, and T in= 
294.7 K 
Using Eq. 1066.605–8: 
Vgasstd = 0.028 m3, where V gasact = 0.033 m3, 
pin= 101.7 kPa, and T in= 340.5 K 
Using Eq. 1066.605–8: 
VPMstd = 0.925 m3, where V PMact = 1.071 m3, 
pin= 101.7 kPa, and T in= 340.5 K 
Using Eq. 1066.605–8: 
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Vsdastd = 0.527 m3, where V sdaact = 0.531 m3, 
pin= 101.7 kPa, and T in= 296.3 K 
Vmix= 170.451 + 0.028 + 0.925 ¥ 0.527 = 
170.878 m3 
(h) Calculate total flow volume over a 
test interval, V [flow], for a CVS or exhaust 
gas sampler as follows: 
(1) Varying versus constant flow rates. 
The calculation methods depend on 
differentiating varying and constant 
flow, as follows: 
(i) We consider the following to be 
examples of varying flows that require a continuous multiplication of 
concentration times flow rate: raw exhaust, exhaust diluted with a constant flow rate of dilution air, and CVS dilution with a CVS flow meter that does not have an upstream heat exchanger or electronic flow control. 
(ii) We consider the following to be 
examples of constant exhaust flows: CVS diluted exhaust with a CVS flow meter that has an upstream heat exchanger, an electronic flow control, or 
both. 
(2) Continuous sampling. For 
continuous sampling, you must 
frequently record a continuously updated flow signal. This recording requirement applies for both varying and constant flow rates. 
(i) Varying flow rate. If you 
continuously sample from a varying exhaust flow rate, calculate V
[flow] using 
the following equation: 
Where: 
Example:  
N = 505 
Q˙CVS1 = 0.276 m3/s 
Q˙CVS2 = 0.294 m3/s 
frecord = 1 Hz 
Using Eq. 1066.605–11, 
Dt = 1/1 = 1 s 
VCVS= (0.276 + 0.294 + ... + Q ˙CVS505 )·1 
VCVS= 170.721 m3 
(ii) Constant flow rate. If you 
continuously sample from a constant exhaust flow rate, use the same calculation described in paragraph (h)(2)(i) of this section or calculate the mean flow recorded over the test interval and treat the mean as a batch sample, as described in paragraph (h)(3)(ii) of this section. 
(3) Batch sampling. For batch 
sampling, calculate total flow by integrating a varying flow rate or by determining the mean of a constant flow rate, as follows: 
(i) Varying flow rate. If you 
proportionally collect a batch sample from a varying exhaust flow rate, integrate the flow rate over the test interval to determine the total flow from which you extracted the proportional sample, as described in paragraph (h)(2)(i) of this section. 
(ii) Constant flow rate. If you batch 
sample from a constant exhaust flow rate, extract a sample at a proportional or constant flow rate and calculate V
[flow] from the flow from which you 
extract the sample by multiplying the mean flow rate by the time of the test interval using the following equation: 
Example:  
QÔ
CVS= 0.338 m3/s 
Dt = 505 s 
VCVS= 0.338·505 
VCVS= 170.69 m3 ■303. Section 1066.615 is amended by 
revising paragraph (a)(1) to read as follows: 
§ 1066.615 NO Xintake-air humidity 
correction. 
* * * * * (a) * * * 
(1) Calculate a humidity correction 
using a time-weighted mean value for 
ambient humidity over the test interval. Calculate absolute ambient humidity, H, using the following equation: 
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Where: 
MH2O= molar mass of H 2O. 
pd= saturated vapor pressure at the ambient 
dry bulb temperature. RH = relative humidity of ambient air 
Mair= molar mass of air. 
patmos = atmospheric pressure. 
Example:  MH2O= 18.01528 g/mol 
pd= 2.93 kPa 
RH = 37.5% = 0.375 
Mair= 28.96559 g/mol 
patmos = 96.71 kPa 
* * * * * 
■304. Section 1066.625 is amended by 
revising the introductory text and 
paragraphs (a)(1), (b) introductory text, (b)(1), (b)(2)(i), (b)(2)(iv)(A) and (D), (b)(2)(v), (vi), and (vii), (b)(2)(xiii), and (c)(1)(i), (ii), and (iii) to read as follows: § 1066.625 Flow meter calibration 
calculations. 
This section describes the 
calculations for calibrating various flow 
meters based on mass flow rates. Calibrate your flow meter according to 40 CFR 1065.640 instead if you calculate emissions based on molar flow rates. 
(a) * * * 
(1) Calculate PDP volume pumped per 
revolution, V
rev,for each restrictor 
position from the mean values 
determined in § 1066.140: 
Where: 
VÔ
ref= mean flow rate of the reference flow 
meter. 
Tin= mean temperature at the PDP inlet. 
pstd= standard pressure = 101.325 kPa. 
f¯nPDP = mean PDP speed. Pin= mean static absolute pressure at the PDP 
inlet. 
Tstd= standard temperature = 293.15 K. 
Example:  
VÔ
ref= 0.1651 m3/s 
Tin= 299.5 K pstd= 101.325 kPa 
f¯nPDP = 1205.1 r/min = 20.085 r/s 
Pin= 98.290 kPa 
Tstd= 293.15 K 
Vrev= 0.00866 m3/r 
* * * * * 
(b) SSV calibration. The equations 
governing SSV flow assume one- 
dimensional isentropic inviscid flow of an ideal gas. Paragraph (b)(2)(iv) of this section describes other assumptions that may apply. If good engineering judgment dictates that you account for gas compressibility, you may either use 
an appropriate equation of state to determine values of Z as a function of 
measured pressure and temperature, or 
you may develop your own calibration equations based on good engineering judgment. Note that the equation for the flow coefficient, C
f, is based on the ideal 
gas assumption that the isentropic exponent, g, is equal to the ratio of 
specific heats, C
p/Cv.If good engineering 
judgment dictates using a real gas 
isentropic exponent, you may either use an appropriate equation of state to 
determine values of g as a function of 
measured pressure and temperature, or you may develop your own calibration equations based on good engineering judgment. 
(1) Calculate volume flow rate at 
standard reference conditions, VÔ
std, as 
follows 
Where: 
Cd= discharge coefficient, as determined in 
paragraph (b)(2)(i) of this section. 
Cf= flow coefficient, as determined in 
paragraph (b)(2)(ii) of this section. 
At= cross-sectional area at the venturi throat. R = molar gas constant. 
pin= static absolute pressure at the venturi 
inlet. 
Tstd= standard temperature. 
pstd= standard pressure. 
Z = compressibility factor. 
Mmix= molar mass of gas mixture. Tin= absolute temperature at the venturi 
inlet. 
(2) * * * 
(i) Using the data collected in 
§ 1066.140, calculate C dfor each flow 
rate using the following equation: 
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Where: 
VÔ
ref= measured volume flow rate from the 
reference flow meter. 
* * * * * 
(iv) * * * (A) For raw exhaust, diluted exhaust, 
and dilution air, you may assume that 
the gas mixture behaves as an ideal gas 
(Z = 1). 
* * * * * (D) For diluted exhaust and dilution 
air, you may assume the molar mass of 
the mixture, M mix, is a function only of 
the amount of water in the dilution air or calibration air, as follows: 
Where: 
Mair= molar mass of dry air.x H2O= amount 
of H 2O in the dilution air or calibration 
air, determined as described in 40 CFR 
1065.645. 
MH2O= molar mass of water. 
Example:  
Mair= 28.96559 g/mol 
xH2O= 0.0169 mol/mol 
MH2O= 18.01528 g/mol Mmix= 28.96559 · (1 ¥ 0.0169) + 18.01528 
· 0.0169 M mix= 28.7805 g/mol 
* * * * * 
(v) The following example illustrates 
the use of the governing equations to 
calculate Cdof an SSV flow meter at one 
reference flow meter value: 
VÔ
ref= 2.395 m3/s 
Z = 1 
Mmix= 28.7805 g/mol = 0.0287805 kg/ 
mol R = 8.314472 J/(mol·K) = 8.314472 
(m2·kg)/(s2·mol·K) 
Tin= 298.15 K 
At= 0.01824 m2 
pin= 99.132 kPa = 99132 Pa = 99132 kg/ 
(m·s2) 
g = 1.399 
b = 0.8 
Dp = 7.653 kPa 
Cf= 0.472 
Cd= 0.985 
(vi) Calculate the Reynolds number, 
Re#, for each reference flow rate at 
standard conditions, VÔ
refstd, using the 
throat diameter of the venturi, d t, and the air density at standard conditions, 
rstd. Because the dynamic viscosity, m, is 
needed to compute Re#, you may use 
your own fluid viscosity model to determine m for your calibration gas 
(usually air), using good engineering judgment. Alternatively, you may use 
the Sutherland three-coefficient viscosity model to approximate m, as shown in the following sample calculation for Re
#: 
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Where, using the Sutherland three- 
coefficient viscosity model: 
Where: 
m0= Sutherland reference viscosity. T0= Sutherland reference temperature. 
S = Sutherland constant. 
TABLE 3 OF§ 1066.625—S UTHERLAND THREE -COEFFICIENT VISCOSITY MODEL PARAMETERS  
Gas1 μ0 T0 S Temperature range 
within ±2% error2 Pressure limit2 
kg/(m·s) K K K kPa 
Air .............................. 1.716·10¥5................ 273 ............................ 111 ............................ 170 to 1900 ............... ≤1800. 
CO 2............................ 1.370·10¥5................ 273 ............................ 222 ............................ 190 to 1700 ............... ≤3600. 
H2O ............................ 1.12·10¥5.................. 350 ............................ 1064 .......................... 360 to 1500 ............... ≤10000. 
O2.............................. 1.919·10¥5................ 273 ............................ 139 ............................ 190 to 2000 ............... ≤2500. 
N2............................... 1.663·10¥5................ 273 ............................ 107 ............................ 100 to 1500 ............... ≤1600. 
1Use tabulated parameters only for the pure gases, as listed. Do not combine parameters in calculations to calculate viscosities of gas mix-
tures. 
2The model results are valid only for ambient conditions in the specified ranges. 
Example:  
m0= 1.716·10¥5kg/(m·s) 
T0= 273 K S = 111 K 
Tin= 298.15 K 
dt= 152.4 mm = 0.1524 m rstd= 1.1509 kg/m3 
Re#= 1.3027·106 (vii) Calculate r using the following 
equation: 
Example:  
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rstd= 1.1964 kg/m3 
* * * * * 
(xiii) Once you have an equation that 
meets the specified statistical criterion, you may use the equation only for the 
corresponding range of Re#. 
* * * * * 
(c) * * * (1) * * * 
(i) Calculate an individual K vfor each 
calibration set point for each restrictor 
position using the following equation: 
Where: 
VÔ
refstd= mean flow rate from the reference 
flow meter, corrected to standard 
reference conditions. 
T¯in= mean temperature at the venturi inlet. 
P¯in= mean static absolute pressure at the 
venturi inlet. 
(ii) Calculate the mean and standard 
deviation of all the K vvalues (see 40 CFR 1065.602). Verify choked flow by plotting K v 
as a function of p in. Kvwill have a relatively 
constant value for choked flow; as vacuum 
pressure increases, the venturi will become unchoked and K
vwill decrease. Paragraphs 
(c)(1)(iii) through (viii) of this section describe how to verify your range of choked flow. (iii) If the standard deviation of all the 
Kvvalues is less than or equal to 0.3% 
of the mean K v, use the mean K vin Eq. 
1066.630–7, and use the CFV only up to 
the highest venturi pressure ratio, r, 
measured during calibration using the following equation: 
Where: 
DpCFV= differential static pressure; venturi 
inlet minus venturi outlet. 
pin= mean static absolute pressure at the 
venturi inlet. 
* * * * * 
■305. Section 1066.630 is revised to 
read as follows: § 1066.630 PDP, SSV, and CFV flow rate 
calculations. 
This section describes the equations 
for calculating flow rates from various 
flow meters. After you calibrate a flow meter according to § 1066.625, use the calculations described in this section to calculate flow during an emission test. 
Calculate flow according to 40 CFR 1065.642 instead if you calculate 
emissions based on molar flow rates. 
(a) PDP. (1) Based on the speed at 
which you operate the PDP for a test interval, select the corresponding slope, a
1,and intercept, a 0,as determined in 
§ 1066.625(a), to calculate PDP flow rate, v˙, as follows: 
Where: 
fnPDP = pump speed. Vrev= PDP volume pumped per revolution, 
as determined in paragraph (a)(2) of this 
section. 
Tstd= standard temperature = 293.15 K. 
pin= static absolute pressure at the PDP inlet. Tin= absolute temperature at the PDP inlet. 
pstd= standard pressure = 101.325 kPa. 
(2) Calculate V revusing the following 
equation: 
pout= static absolute pressure at the PDP 
outlet. 
Example:  a1= 0.8405 m3/s 
fnPDP = 12.58 r/s 
pout= 99.950 kPa pin= 98.575 kPa 
a0= 0.056 m3/r 
Tin= 323.5 K 
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Vrev= 0.063 m3/r 
v˙= 0.7079 m3/s (b) SSV. Calculate SSV flow rate, v ˙, as 
follows: 
Where: 
Cd= discharge coefficient, as determined 
based on the C dversus Re#equation in 
§ 1066.625(b)(2)(viii). 
Cf= flow coefficient, as determined in 
§ 1066.625(b)(2)(ii). 
At= venturi throat cross-sectional area. 
R = molar gas constant. 
pin= static absolute pressure at the venturi 
inlet. Tstd= standard temperature. 
pstd= standard pressure. 
Z = compressibility factor. 
Mmix= molar mass of gas mixture. 
Tin= absolute temperature at the venturi 
inlet. 
Example:  
Cd= 0.890 
Cf= 0.472 
At= 0.01824 m2 R = 8.314472 J/(mol·K) = 8.314472 (m2·kg)/ 
(s2·mol·K) 
pin= 98.496 kPa 
Tstd= 293.15 K 
pstd= 101.325 kPa 
Z = 1 
Mmix= 28.7789 g/mol = 0.0287789 kg/mol 
Tin= 296.85 K 
V˙= 2.155 m3/s 
(c) CFV. If you use multiple venturis 
and you calibrated each venturi 
independently to determine a separate calibration coefficient, K
v,for each 
venturi, calculate the individual volume flow rates through each venturi and sum 
all their flow rates to determine CFV flow rate, V ˙. If you use multiple venturis 
and you calibrated venturis in combination, calculate V ˙using the K
v that was determined for that 
combination of venturis. 
(1) To calculate V ˙through one venturi 
or a combination of venturis, use the mean K
vyou determined in 
§ 1066.625(c) and calculate V ˙as follows: 
Where: 
Kv= flow meter calibration coefficient. 
Tin= temperature at the venturi inlet. pin= absolute static pressure at the venturi 
inlet. 
Example:  Kv= 0.074954 m3·K0.5/(kPa·s) 
pin= 99.654 kPa 
Tin= 353.15 K 
V˙= 0.39748 m3/s 
(2) [Reserved] ■306. Section 1066.635 is amended by 
revising paragraphs (a) and (c) 
introductory text to read as follows: § 1066.635 NMOG determination. 
* * * * * 
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(a) Determine NMOG by 
independently measuring alcohols and 
carbonyls as described in 40 CFR 1065.805 and 1065.845. Use good engineering judgment to determine which alcohols and carbonyls you need to measure. This would typically require you to measure all alcohols and carbonyls that you expect to contribute 1% or more of total NMOG. Calculate the mass of NMOG in the exhaust, 
m
NMOG, with the following equation, 
using density values specified in § 1066.1005(f): 
Where: 
mNMHC = the mass of NMHC and all 
oxygenated hydrocarbon (OHC) in the 
exhaust, as determined using Eq. 1066.605–2. Calculate NMHC mass based on r
NMHC.  
rNMHC = the effective C 1-equivalent density of 
NMHC as specified in § 1066.1005(f). 
mOHCi = the mass of oxygenated species i in 
the exhaust calculated using Eq. 1066.605– 2. 
r
OCHi = the C 1-equivalent density of 
oxygenated species i. 
RFOHCi[THC-FID] = the response factor of a 
THC-FID to oxygenated species i relative to 
propane on a C 1-equivalent basis as 
determined in 40 CFR 1065.845. 
* * * * * 
(c) For gasoline containing less than 
25% ethanol by volume, you may calculate NMOG from measured NMHC emissions as follows: 
* * * * * 
■307. Section 1066.695 is amended by 
revising paragraph (f) to read as follows: 
§ 1066.695 Data requirements. 
* * * * * 
(f) Vehicle information as applicable, 
including identification number, model 
year, applicable emission standards (including bin standards or family emission limits, as applicable), vehicle model, vehicle class, test group, durability group, engine family, evaporative/refueling emission family, basic engine description (including displacement, number of cylinders, turbocharger/supercharger used, and 
catalyst type), fuel system (type of fuel injection and fuel tank capacity and location), engine code, GVWR, applicable test weight, inertia weight class, actual curb weight at zero miles, actual road load at 50 mi/hr, transmission class and configuration, axle ratio, odometer reading, idle rpm, and measured drive wheel tire pressure. 
* * * * * 
Subpart H—Cold Temperature Test 
Procedures 
■308. Section 1066.710 is amended by 
revising paragraphs (a)(5) and (d)(3) introductory text to read as follows: § 1066.710 Cold temperature testing 
procedures for measuring CO and NMHC emissions and determining fuel economy. 
* * * * * 
(a) * * * 
(5) Adjust the dynamometer to 
simulate vehicle operation on the road 
at ¥7 °C as described in § 1066.305(b). 
* * * * * 
(d) * * * 
(3) You may start the preconditioning 
drive once the fuel in the fuel tank 
reaches (¥12.6 to ¥1.4) °C. 
Precondition the vehicle as follows: 
* * * * * 
Subpart I—Exhaust Emission Test 
Procedures for Motor Vehicles 
■309. Section 1066.801 is amended by 
revising paragraphs (c)(2) and (3) to read as follows: 
§ 1066.801 Applicability and general 
provisions. 
* * * * * 
(c) * * * 
(2) The Supplemental Federal Test 
Procedure (SFTP) measures the 
emission effects from aggressive driving and operation with the vehicle’s air conditioner. The SFTP is based on a composite of three different test elements. In addition to the FTP, vehicles generally operate over the US06 and SC03 driving schedules as specified in paragraphs (g) and (h) of Appendix I of 40 CFR part 86, respectively. In the case of heavy-duty vehicles above 10,000 pounds GVWR and at or below 14,000 pounds GVWR, SFTP testing involves additional driving over the Hot LA–92 driving schedule as specified in paragraph (c) of 40 CFR part 86, Appendix I, instead of the US06 driving schedule. Note that the US06 driving schedule represents about 8.0 miles of relatively aggressive driving; the SC03 driving schedule represents about 3.6 miles of urban driving with the air conditioner operating; and the hot portion of the LA–92 driving schedule represents about 9.8 miles of relatively aggressive driving for commercial trucks. See § 1066.830. (3) The Highway Fuel Economy Test 
(HFET) is specified in Appendix I of 40 CFR part 600. Note that the HFET represents about 10.2 miles of rural and freeway driving with an average speed of 48.6 mi/hr and a maximum speed of 60.0 mi/hr. See § 1066.840. 
* * * * * 
■310. Section 1066.805 is amended by 
revising paragraph (c) to read as follows: 
§ 1066.805 Road-load power, test weight, 
and inertia weight class determination. 
* * * * * 
(c) For FTP, SFTP, New York City 
Cycle, HFET, and LA–92 testing, 
determine road-load forces for each test vehicle at speeds between 9.3 and 71.5 miles per hour. The road-load force must represent vehicle operation on a smooth, level road with no wind or calm winds, no precipitation, an ambient temperature of approximately 20 °C, and atmospheric pressure of 
98.21 kPa. You may extrapolate road- load force for speeds below 9.3 mi/hr. 
■311. Section 1066.815 is amended by 
revising paragraphs (b) introductory text and (b)(4) and (5) to read as follows: 
§ 1066.815 Exhaust emission test 
procedures for FTP testing. 
* * * * * 
(b) PM sampling options. Collect PM 
using any of the procedures specified in 
paragraphs (b)(1) through (5) of this section and use the corresponding equation in § 1066.820 to calculate FTP composite emissions. Testing must meet the requirements related to filter face velocity as described in § 1066.110(b)(2)(iii)(C), except as specified in paragraphs (b)(4) and (5) of this section. For procedures involving flow weighting, set the filter face velocity to a weighting target of 1.0 to meet the requirements of § 1066.110(b)(2)(iii)(C). Allow filter face velocity to decrease as a percentage of the weighting factor if the weighting factor is less than 1.0 and do not change the nominal CVS flowrates or secondary dilution ratios between FTP or UDDS test intervals. Use the appropriate 
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equations in § 1066.610 to show that 
you meet the dilution factor requirements of § 1066.110(b)(2)(iii)(B). If you collect PM using the procedures specified in paragraph (b)(4) or (5) of this section, the residence time requirements in 40 CFR 1065.140(e)(3) apply, except that you may exceed an overall residence time of 5.5 s for sample flow rates below the highest expected sample flow rate. 
* * * * * 
(4) You may collect PM on a single 
filter over the cold-start UDDS and the 
first 505 seconds of the hot-start UDDS using one of the following methods: 
(i) Adjust your sampling system flow 
rate over the filter to weight the filter face velocity over the three intervals of the FTP based on weighting targets of 0.43 for bag 1, 1.0 for bag 2, and 0.57 for bag 3. 
(ii) Maintain a constant sampling 
system flow rate over the filter for all three intervals of the FTP by increasing 
overall dilution ratios for bag 1 and bag 3. To do this, reduce the sample flow rate from the exhaust (or diluted exhaust) such that the value is reduced to 43% and 57%, respectively, of the bag 2 values. For constant-volume samplers, this requires that you decrease the dilute exhaust sampling rate from the CVS and compensate for that by increasing the amount of secondary dilution air. 
(5) You may collect PM on a single 
filter over the cold-start UDDS and the full hot-start UDDS using one of the following methods: 
(i) Adjust your sampling system flow 
rate over the filter to weight the filter face velocity based on weighting targets of 0.75 for the cold-start UDDS and 1.0 for the hot-start UDDS. 
(ii) Maintain a constant sampling 
system flow rate over the filter for both the cold-start and hot-start UDDS by 
increasing the overall dilution ratio for the cold-start UDDS. To do this, reduce the sample flow rate from the exhaust (or diluted exhaust) such that the value is reduced to 75% of the hot-start UDDS value. For constant-volume samplers, this requires that you decrease the dilute exhaust sampling rate from the CVS and compensate for that by increasing the amount of secondary dilution air. 
* * * * * 
■312. Section 1066.820 is amended by 
revising paragraph (c) to read as follows: 
§ 1066.820 Composite calculations for FTP 
exhaust emissions. 
* * * * * 
(c) Calculate the final composite PM 
test results as a mass-weighted value, 
ePM–FTPcomp, in grams per mile as 
follows: 
(1) Use the following equation for PM 
measured as described in § 1066.815(b)(1), (2), or (3): 
Where: 
mPM-cUDDS = the combined PM mass 
emissions determined from the cold-start 
UDDS test interval (bag 1 and bag 2), in grams, as calculated using Eq. 1066.605– 
3. m
PM-hUDDS = the combined PM mass 
emissions determined from the hot-start 
UDDS test interval (bag 3 and bag 4), in grams, as calculated using Eq. 1066.605– 3. This is the hot-stabilized portion from either the first or second UDDS (bag 2, unless you measure bag 4), in addition 
to the hot transient portion (bag 3). 
(2) Use the following equation for PM 
measured as described in 
§ 1066.815(b)(4): 
Where: 
mPM= the combined PM mass emissions 
determined from the cold-start UDDS test interval and the first 505 seconds of 
the hot-start UDDS test interval (bag 1, 
bag 2, and bag 3), in grams, as calculated using Eqs. 1066.605–4 and 1066.605–5. (3) Use the following equation for PM 
measured as described in 
§ 1066.815(b)(5): 
Where: 
mPM= the combined PM mass emissions 
determined from the cold-start UDDS 
test interval and the hot-start UDDS test interval (bag 1, bag 2, bag 3, and bag 4), in grams, as calculated using Eqs. 1066.605–6 and 1066.605–7. 
■313. Section 1066.835 is amended by 
revising paragraph (f)(3)(iv) to read as 
follows: § 1066.835 Exhaust emission test 
procedure for SC03 emissions. 
* * * * * 
(f) * * * 
(3) * * * 
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(iv) Check the uniformity of radiant 
energy intensity at least every 500 hours 
of emitter usage or every 6 months, whichever is sooner, and after any major modifications affecting the solar simulation. Determine uniformity by measuring radiant energy intensity using instruments that meet the specifications described in paragraph (f)(3)(iii) of this section at each point of a 0.5 m grid over the vehicle’s full footprint, including the edges of the 
footprint, at an elevation 1 m above the floor. Measured values of radiant energy intensity must be between (722 and 978) W/m
2at all points. 
Subpart J—Evaporative Emission Test Procedures 
■314. Section 1066.985 is amended by 
revising paragraph (d)(8) to read as follows: § 1066.985 Fuel storage system leak test 
procedure. 
* * * * * 
(d) * * * 
(8) Use the following equation, or a 
different equation you develop based on 
good engineering judgment, to calculate the effective leak diameter, d
eff: 
Where: 
deff= effective leak diameter, in inches, 
expressed to at least two decimal places. 
Q˙N2= volumetric flow of nitrogen, in m3/s. 
pin= inlet pressure to orifice, in kPa. patmos = atmospheric pressure, in kPa. 
SGN2= specific gravity of N 2relative to air 
at 101.325 kPa and 15.5 °C = 0.967. 
T = temperature of flowing medium, in K. 
Example:  Q˙N2= 0.8·10¥5m3/s 
pin= 104.294 kPa 
patmos = 101.332 kPa 
SGN2= 0.967 
T = 298.15 K 
deff= 0.017 inches 
* * * * * Subpart K—Definitions and Other 
Reference Material 
■315. Section 1066.1005 is amended by 
revising paragraph (a) to read as follows: § 1066.1005 Symbols, abbreviations, 
acronyms, and units of measure. 
* * * * * 
(a) Symbols for quantities. This part 
uses the following symbols and units of 
measure for various quantities: 
Symbol Quantity Unit Unit symbol Unit in terms of SI base 
units 
α................................ atomic hydrogen to carbon ratio .... mole per mole ................................ mol/mol ........ ...... 1. 
A............................... area ................................................ square meter ................................ .. m2....................... m2. 
A............................... vehicle frictional load ...................... pound force or newton ................... lbf or N ............... m·kg·s¥2. 
ag.............................. acceleration of Earth’s gravity ........ meters per second squared ........... m/s2.................... m·s¥2. 
Am............................. calculated vehicle frictional load .... pound force or newton ................... lbf or N ............ ... m·kg·s¥2. 
a0.............................. intercept of least squares regres-
sion.
a1.............................. slope of least squares regression ..
a................................ acceleration .................................... feet per second squared or meters 
per second squared.ft/s2or m/s2........ m·s¥2. 
B............................... vehicle load from drag and rolling 
resistance.pound force per mile per hour or 
newton second per meter.lbf/(mi/hr) or N·s/ 
m.kg·s¥1. 
β................................ ratio of diameters ........................... meter per meter .............................. m/m .. .................. 1. 
β................................ atomic oxygen to carbon ratio ........ mole per mole ................................ mol/mol ...... ........ 1. 
c................................ conversion factor ............................
C............................... vehicle-specific aerodynamic ef-
fects.pound force per mile per hour 
squared or newton-second 
squared per meter squared.lbf/(mi/hr)2or 
N·s2/m2.m¥1·kg. 
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Symbol Quantity Unit Unit symbol Unit in terms of SI base 
units 
C#.............................. number of carbon atoms in a mol-
ecule.C#.................................................... number of carbon 
atoms in a mol-
ecule.C#. 
Cd.............................. discharge coefficient .......................
CdA ........................... drag area ........................................ meter squared ................................ m2....................... m2. 
Cf.............................. flow coefficient ................................
Cp.............................. heat capacity at constant pressure joule per kelvin ............................... J/K ............ .......... m2·kg·s¥2·K¥1. 
Cv.............................. heat capacity at constant volume .. joule per kelvin ............................... J/K ............. ......... m2·kg·s¥2·K¥1. 
d................................ diameter .......................................... meters ............................................. m ........................ m. 
D............................... distance .......................................... miles or meters ............................... mi or m ............... m. 
D............................... slope correlation ............................. pound force per mile per hour 
squared or newton second squared per meter squared.lbf/(mi/hr)
2or 
N·s2/m2.m¥2·kg. 
DF............................. dilution factor .................................. 1. 
e................................ mass weighted emission result ...... grams/mile ...................................... g/mi ........ ............
F................................ force ................................................ pound force or newton ................... lbf or N ............... kg·s¥2. 
f................................. frequency ........................................ hertz ................................................ Hz ....................... s¥1. 
fn............................... angular speed (shaft) ..................... revolutions per minute .................... r/min ....... ............ π·30·s¥1. 
FC............................. friction compensation error ............. horsepower or watt ......................... W .............. .......... m2·kg·s¥3. 
FR............................. road-load force ............................... pound force or newton ................... lbf or N .... ........... kg·s¥2. 
γ................................ ratio of specific heats ..................... (joule per kilogram kelvin) per 
(joule per kilogram kelvin).(J/(kg·K))/(J/ 
(kg·K)).1. 
H............................... ambient humidity ............................ grams water vapor per kilogram 
dry air.g H 2O vapor/kg 
dry air.g H 2O vapor/kg dry air. 
Δh.............................. change in height ............................. meters ............................................. m ........................ m. 
I................................. inertia .............................................. pound mass or kilogram ................. lbm or kg ............ kg. 
I................................. current ............................................ ampere ........................................... A ......................... A. 
i................................. indexing variable ............................
IR.............................. inertia work rating ...........................
K............................... correction factor .............................. 1. 
Kv.............................. calibration coefficient ...................... m4·s·K0.5/kg ........ m4·kg¥1·s·K0.5. 
μ................................ viscosity, dynamic .......................... pascal second ................................ Pa·s .. .................. m¥1·kg·s¥1. 
M............................... molar mass ..................................... gram per mole ................................ g/mo l .................. 10¥3·kg·mol¥1. 
Me.............................. effective mass ................................ kilogram .......................................... k g ....................... kg. 
m............................... mass ............................................... pound mass or kilogram ................. lbm or kg ............ kg. 
N............................... total number in series .....................
n................................ total number of pulses in a series ..
p................................ pressure .......................................... pascal ............................................. Pa ....................... m¥1·kg·s¥2. 
Δp.............................. differential static pressure .............. pascal ............................................. Pa .. ..................... m¥1·kg·s¥2. 
pd.............................. saturated vapor pressure at ambi-
ent dry bulb temperature.kilopascal ........................................ kPa ..................... m¥1·kg·s¥2. 
PF............................. penetration fraction .........................
r................................ mass density .................................. kilogram per cubic meter ................ kg/m3.................. m¥3·kg. 
R............................... dynamometer roll revolutions ......... revolutions per minute .................... rpm .............. ....... π·30¥1·s¥1. 
r................................. ratio of pressures ........................... pascal per pascal ........................... Pa/Pa ................. 1. 
r2............................... coefficient of determination ............
Re#............................ Reynolds number ...........................
RF............................. response factor ...............................
RH............................. relative humidity .............................
S............................... Sutherland constant ....................... kelvin .............................................. K . ........................ K. 
SEE ........................... standard estimate of error ..............
SG............................. specific gravity ................................
Δs.............................. distance traveled during measure-
ment interval.meters ............................................. m ........................ m. 
T................................ absolute temperature ..................... kelvin .............................................. K . ........................ K. 
T................................ Celsius temperature ....................... degree Celsius ............................... °C ....................... K¥273.15. 
T................................ torque (moment of force) ............... newton meter .................................. N·m ....... ............. m2·kg·s¥2. 
t................................. time ................................................. hour or second ............................... hr or s ................ s. 
Δt............................... time interval, period, 1/frequency ... second ............................................ s ........ ................. s. 
U............................... voltage ............................................ volt .................................................. V ......................... m2·kg·s¥3·A¥1. 
v................................ speed .............................................. miles per hour or meters per sec-
ond.mi/hr or m/s ........ m · s¥1. 
V............................... volume ............................................ cubic meter ................................... .. m3....................... m3. 
V˙............................... flow volume rate ............................. cubic feet per minute or cubic 
meter per second.ft3min or ms3...... m3· s1. 
VP............................. volume percent ...............................
x................................ concentration of emission over a 
test interval.part per million ................................ ppm ....................
y................................ generic variable ..............................
Z................................ compressibility factor ......................
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* * * * * 
■316. Section 1066.1010 is amended by 
removing the undesignated paragraph 
after paragraph (a) introductory text and revising paragraph (b)(1) to read as follows: 
§ 1066.1010 Incorporation by reference. 
* * * * * 
(b) * * * 
(1) SAE J1263, Road Load 
Measurement and Dynamometer 
Simulation Using Coastdown Techniques, revised March 2010, IBR approved for §§ 1066.301(b), 1066.305(a), and 1066.310(b). 
* * * * * 
PART 1068—GENERAL COMPLIANCE 
PROVISIONS FOR HIGHWAY, STATIONARY, AND NONROAD PROGRAMS 
■317. The authority citation for part 
1068 continues to read as follows: 
Authority: 42 U.S.C. 7401–7671q. 
Subpart A—Applicability and Miscellaneous Provisions 
■318. Section 1068.1 is revised to read 
as follows: 
§ 1068.1 Does this part apply to me? 
(a) The provisions of this part apply 
to everyone with respect to the engine and equipment categories as described in this paragraph (a). They apply to everyone, including owners, operators, parts manufacturers, and persons performing maintenance. Where we identify an engine category, the provisions of this part also apply with respect to the equipment using such engines. This part 1068 applies to different engine and equipment categories as follows: 
(1) This part 1068 applies to motor 
vehicles we regulate under 40 CFR part 86, subpart S, to the extent and in the manner specified in 40 CFR parts 85 and 86. 
(2) This part 1068 applies for heavy- 
duty motor vehicles we regulate under 40 CFR part 1037, subject to the provisions of 40 CFR parts 85 and 1037. This includes trailers. This part 1068 applies to other heavy-duty motor 
vehicles and motor vehicle engines to the extent and in the manner specified in 40 CFR parts 85, 86, and 1036. 
(3) This part 1068 applies to highway 
motorcycles we regulate under 40 CFR part 86, subparts E and F, to the extent and in the manner specified in 40 CFR parts 85 and 86. 
(4) This part 1068 applies to aircraft 
we regulate under 40 CFR part 87 to the extent and in the manner specified in 40 CFR part 87. (5) This part 1068 applies for 
locomotives that are subject to the provisions of 40 CFR part 1033. This part 1068 does not apply for locomotives or locomotive engines that were originally manufactured before July 7, 2008, and that have not been remanufactured on or after July 7, 2008. 
(6) This part 1068 applies for land- 
based nonroad compression-ignition engines that are subject to the provisions of 40 CFR part 1039. This part 1068 does not apply for engines certified under 40 CFR part 89. 
(7) This part 1068 applies for 
stationary compression-ignition engines certified using the provisions of 40 CFR parts 89, 94, 1039, and 1042 as described in 40 CFR part 60, subpart IIII. 
(8) This part 1068 applies for marine 
compression-ignition engines that are subject to the provisions of 40 CFR part 1042. This part 1068 does not apply for marine compression-ignition engines certified under 40 CFR part 94. 
(9) This part 1068 applies for marine 
spark-ignition engines that are subject to the provisions of 40 CFR part 1045. This part 1068 does not apply for marine spark-ignition engines certified under 40 CFR part 91. 
(10) This part 1068 applies for large 
nonroad spark-ignition engines that are subject to the provisions of 40 CFR part 1048. 
(11) This part 1068 applies for 
stationary spark-ignition engines certified using the provisions of 40 CFR part 1048 or part 1054, as described in 40 CFR part 60, subpart JJJJ. 
(12) This part 1068 applies for 
recreational engines and vehicles, including snowmobiles, off-highway motorcycles, and all-terrain vehicles that are subject to the provisions of 40 CFR part 1051. 
(13) This part applies for small 
nonroad spark-ignition engines that are subject to the provisions of 40 CFR part 1054. This part 1068 does not apply for nonroad spark-ignition engines certified under 40 CFR part 90. 
(14) This part applies for fuel-system 
components installed in nonroad equipment powered by volatile liquid fuels that are subject to the provisions of 40 CFR part 1060. 
(b) [Reserved] 
(c) Paragraph (a) of this section 
identifies the parts of the CFR that 
define emission standards and other requirements for particular types of engines and equipment. This part 1068 refers to each of these other parts generically as the ‘‘standard-setting part.’’ For example, 40 CFR part 1051 is always the standard-setting part for snowmobiles. Follow the provisions of the standard-setting part if they are different than any of the provisions in this part. 
(d) Specific provisions in this part 
1068 start to apply separate from the schedule for certifying engines/ equipment to new emission standards, as follows: 
(1) The provisions of §§ 1068.30 and 
1068.310 apply for stationary spark- ignition engines built on or after January 1, 2004, and for stationary compression- ignition engines built on or after January 1, 2006. 
(2) The provisions of §§ 1068.30 and 
1068.235 apply for the types of nonroad engines/equipment listed in paragraph (a) of this section beginning January 1, 2004, if they are used solely for competition. 
(3) The standard-setting part may 
specify how the provisions of this part 1068 apply for uncertified engines/ equipment. 
■319. Section 1068.10 is amended by 
revising the section heading to read as follows: 
§ 1068.10 Confidential information. 
* * * * * 
■320. Section 1068.15 is amended by 
revising the section heading and paragraph (a) to read as follows: 
§ 1068.15 General provisions for EPA 
decision-making. 
(a) Not all EPA employees may 
represent the Agency with respect to 
EPA decisions under this part or the standard-setting part. Only the Administrator of the Environmental Protection Agency or an official to whom the Administrator has delegated specific authority may represent the Agency. For more information, ask for a copy of the relevant sections of the EPA Delegations Manual from the Designated Compliance Officer. 
* * * * * 
§ 1068.20 [Amended] 
■321. Section 1068.20 is amended by 
removing paragraphs (b) and (c) and 
redesignating paragraphs (d) through (f) as paragraphs (b) through (d), respectively. 
■322. Section 1068.27 is revised to read 
as follows: 
§ 1068.27 May EPA conduct testing with 
my engines/equipment? 
(a) As described in the standard- 
setting part, we may perform testing on 
your engines/equipment before we issue a certificate of conformity. This is generally known as confirmatory testing. 
(b) If we request it, you must make a 
reasonable number of production-line engines or pieces of production-line 
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equipment available for a reasonable 
time so we can test or inspect them for compliance with the requirements of this chapter. 
(c) If your emission-data engine/ 
equipment or production engine/ equipment requires special components for proper testing, you must promptly provide any such components to us if we ask for them. 
■323. Section 1068.30 is revised to read 
as follows: 
§ 1068.30 Definitions. 
The following definitions apply to 
this part. The definitions apply to all subparts unless we note otherwise. All undefined terms have the meaning the Clean Air Act gives to them. The definitions follow: 
Affiliated companies or affiliates 
means one of the following: 
(1) For determinations related to small 
manufacturer allowances or other small business provisions, these terms mean all entities considered to be affiliates with your entity under the Small Business Administration’s regulations in 13 CFR 121.103. 
(2) For all other provisions, these 
terms mean all of the following: 
(i) Parent companies (as defined in 
this section). 
(ii) Subsidiaries (as defined in this 
section). 
(iii) Subsidiaries of your parent 
company. 
Aftertreatment means relating to a 
catalytic converter, particulate filter, or any other system, component, or technology mounted downstream of the exhaust valve (or exhaust port) whose design function is to reduce emissions in the engine exhaust before it is exhausted to the environment. Exhaust gas recirculation (EGR) is not aftertreatment. 
Aircraft means any vehicle capable of 
sustained air travel more than 100 feet above the ground. 
Certificate holder means a 
manufacturer (including importers) with a valid certificate of conformity for at least one family in a given model year, or the preceding model year. Note that only manufacturers may hold certificates. Your applying for or accepting a certificate is deemed to be your agreement that you are a manufacturer. 
Clean Air Act means the Clean Air 
Act, as amended, 42 U.S.C. 7401– 7671q. 
Date of manufacture means one of the 
following: 
(1) For engines, the date on which the 
crankshaft is installed in an engine block, with the following exceptions: 
(i) For engines produced by secondary 
engine manufacturers under § 1068.262, date of manufacture means the date the 
engine is received from the original engine manufacturer. You may assign an earlier date up to 30 days before you received the engine, but not before the crankshaft was installed. You may not assign an earlier date if you cannot demonstrate the date the crankshaft was installed. 
(ii) Manufacturers may assign a date 
of manufacture at a point in the assembly process later than the date otherwise specified under this definition. For example, a manufacturer may use the build date printed on the label or stamped on the engine as the date of manufacture. 
(2) For equipment, the date on which 
the engine is installed, unless otherwise specified in the standard-setting part. Manufacturers may alternatively assign a date of manufacture later in the assembly process. 
Days means calendar days, including 
weekends and holidays. 
Defeat device has the meaning given 
in the standard-setting part. 
Designated Compliance Officer means 
one of the following: 
(1) For motor vehicles regulated under 
40 CFR part 86, subpart S: Director, Light-Duty Vehicle Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; complianceinfo@epa.gov; 
epa.gov/otaq/verify. 
(2) For compression-ignition engines 
used in heavy-duty highway vehicles regulated under 40 CFR part 86, subpart A, and 40 CFR parts 1036 and 1037, and for nonroad and stationary compression- ignition engines or equipment regulated under 40 CFR parts 60, 1033, 1039, and 1042: Director, Diesel Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; complianceinfo@epa.gov; epa.gov/otaq/ verify. 
(3) Director, Gasoline Engine 
Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; nonroad- si-cert@epa.gov ; epa.gov/otaq/verify, for 
all the following engines and vehicles: 
(i) For spark-ignition engines used in 
heavy-duty highway vehicles regulated under 40 CFR part 86, subpart A, and 40 CFR parts 1036 and 1037, 
(ii) For highway motorcycles 
regulated under 40 CFR part 86, subpart E. 
(iii) For nonroad and stationary spark- 
ignition engines or equipment regulated under 40 CFR parts 60, 1045, 1048, 1051, 1054, and 1060. 
Engine means an engine block with an 
installed crankshaft, or a gas turbine engine. The term engine does not include engine blocks without an installed crankshaft, nor does it include any assembly of reciprocating engine components that does not include the engine block. (Note: For purposes of this 
definition, any component that is the primary means of converting an engine’s energy into usable work is considered a crankshaft, whether or not it is known commercially as a crankshaft.) This includes complete and partially complete engines as follows: 
(1) A complete engine is a fully 
assembled engine in its final configuration. In the case of equipment- based standards, an engine is not considered complete until it is installed in the equipment, even if the engine itself is fully assembled. 
(2) A partially complete engine is an 
engine that is not fully assembled or is not in its final configuration. Except where we specify otherwise in this part or the standard-setting part, partially complete engines are subject to the same standards and requirements as complete engines. The following would be considered examples of partially complete engines: 
(i) An engine that is missing certain 
emission-related components. 
(ii) A new engine that was originally 
assembled as a motor-vehicle engine that will be recalibrated for use as a nonroad engine. 
(iii) A new engine that was originally 
assembled as a land-based engine that will be modified for use as a marine propulsion engine. 
(iv) A short block consisting of a 
crankshaft and other engine components connected to the engine block, but missing the head assembly. 
(v) A long block consisting of all 
engine components except the fuel system and an intake manifold. 
(vi) In the case of equipment-based 
standards, a fully functioning engine that is not yet installed in the equipment. For example, a fully functioning engine that will be installed in an off-highway motorcycle or a locomotive is considered partially complete until it is installed in the equipment. 
Engine-based standard means an 
emission standard expressed in units of grams of pollutant per kilowatt-hour (or grams of pollutant per horsepower-hour) that applies to the engine. Emission standards are either engine-based or equipment-based. Note that engines may be subject to additional standards such as smoke standards. 
Engine-based test means an emission 
test intended to measure emissions in units of grams of pollutant per kilowatt- hour (or grams of pollutant per horsepower-hour), without regard to 
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whether the standard applies to the 
engine or equipment. Note that some products that are subject to engine- based testing are subject to additional test requirements such as for smoke. 
Engine configuration means a unique 
combination of engine hardware and calibration within an engine family. Engines within a single engine configuration differ only with respect to normal production variability or factors unrelated to emissions. 
Engine/equipment and engines/ 
equipment mean engine(s) and/or 
equipment depending on the context. Specifically these terms mean the following: 
(1) Engine(s) when only engine-based 
standards apply. 
(2) Engine(s) for testing issues when 
engine-based testing applies. 
(3) Engine(s) and equipment when 
both engine-based and equipment-based standards apply. 
(4) Equipment when only equipment- 
based standards apply. 
(5) Equipment for testing issues when 
equipment-based testing applies. 
Equipment means one of the 
following things: 
(1) Any vehicle, vessel, or other type 
of equipment that is subject to the requirements of this part or that uses an engine that is subject to the requirements of this part. An installed engine is part of the equipment. Motor vehicle trailers are a type of equipment that is subject to the requirements of this part. 
(2) Fuel-system components that are 
subject to an equipment-based standard under this chapter. Installed fuel-system components are also considered part of the engine/equipment to which they are attached. 
Equipment-based standard means an 
emission standard that applies to the equipment in which an engine is used or to fuel-system components associated with an engine, without regard to how the emissions are measured. If equipment-based standards apply, we require that the equipment or fuel- system components be certified rather than just the engine. Emission standards are either engine-based or equipment- based. For example, recreational vehicles we regulate under 40 CFR part 1051 are subject to equipment-based standards even if emission measurements are based on engine operation alone. 
Excluded means relating to engines/ 
equipment that are not subject to emission standards or other requirements because they do not meet the definitions or other regulatory provisions that define applicability. For example, a non-stationary engine that is used solely for off-highway competition 
is excluded from the requirements of this part because it meets neither the definition of ‘‘motor vehicle engine’’ nor ‘‘nonroad engine’’ under section 216 of the Clean Air Act. 
Exempted means relating to engines/ 
equipment that are subject to certain standards or other requirements, but are not required to meet those standards or requirements, subject to one or more qualifying conditions. Exempted engines/equipment must conform to regulatory conditions specified for an exemption in this part 1068 or in the standard-setting part. Engines/ equipment exempted with respect to a certain tier of standards may be required to comply with an earlier tier of standards as a condition of the exemption; for example, engines exempted with respect to Tier 3 standards may be required to comply with Tier 1 or Tier 2 standards. 
Family means engine family or 
emission family, as applicable, under the standard-setting part. 
Final deteriorated test result has the 
meaning given in the standard-setting 
part. If it is not defined in the standard- setting part, it means the emission level that results from applying all appropriate adjustments (such as deterioration factors) to the measured emission result of the emission-data engine. 
Gas turbine engine means anything 
commercially known as a gas turbine engine or any collection of assembled engine components that is substantially similar to engines commercially known as gas turbine engines. For example, a jet engine is a gas turbine engine. Gas turbine engines may be complete or partially complete. Turbines that rely on external combustion such as steam engines are not gas turbine engines. 
Good engineering judgment means 
judgments made consistent with generally accepted scientific and engineering principles and all available relevant information. See § 1068.5. 
Manufacturer has the meaning given 
in section 216(1) of the Clean Air Act (42 U.S.C. 7550(1)). In general, this term includes any person who manufactures or assembles an engine or piece of equipment for sale in the United States or otherwise introduces a new engine or piece of equipment into U.S. commerce. This includes importers that import new engines or new equipment into the United States for resale. It also includes secondary engine manufacturers. 
Model year has the meaning given in 
the standard-setting part. Unless the standard-setting part specifies otherwise, model year for individual engines/equipment is based on the date of manufacture or a later stage in the assembly process determined by the manufacturer, subject to the limitations described in §§ 1068.103 and 1068.360. The model year of a new engine that is neither certified nor exempt is deemed to be the calendar year in which it is sold, offered for sale, imported, or delivered or otherwise introduced into U.S. commerce. 
Motor vehicle has the meaning given 
in 40 CFR 85.1703. 
New has the meaning we give it in the 
standard-setting part. Note that in certain cases, used and remanufactured engines/equipment may be ‘‘new’’ engines/equipment. 
Nonroad engine means: 
(1) Except as discussed in paragraph 
(2) of this definition, a nonroad engine 
is an internal combustion engine that meets any of the following criteria: 
(i) It is (or will be) used in or on a 
piece of equipment that is self-propelled or serves a dual purpose by both propelling itself and performing another function (such as garden tractors, off- highway mobile cranes and bulldozers). 
(ii) It is (or will be) used in or on a 
piece of equipment that is intended to be propelled while performing its function (such as lawnmowers and string trimmers). 
(iii) By itself or in or on a piece of 
equipment, it is portable or transportable, meaning designed to be and capable of being carried or moved from one location to another. Indicia of transportability include, but are not limited to, wheels, skids, carrying handles, dolly, trailer, or platform. 
(2) An internal combustion engine is 
not a nonroad engine if it meets any of the following criteria: 
(i) The engine is used to propel a 
motor vehicle, an aircraft, or equipment used solely for competition. 
(ii) The engine is regulated under 40 
CFR part 60, (or otherwise regulated by a federal New Source Performance Standard promulgated under section 111 of the Clean Air Act (42 U.S.C. 7411)). Note that this criterion does not apply for engines meeting any of the criteria of paragraph (1) of this definition that are voluntarily certified under 40 CFR part 60. 
(iii) The engine otherwise included in 
paragraph (1)(iii) of this definition remains or will remain at a location for more than 12 consecutive months or a shorter period of time for an engine located at a seasonal source. A location is any single site at a building, structure, facility, or installation. For any engine (or engines) that replaces an engine at a location and that is intended to perform the same or similar function as the engine replaced, include the time period 
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of both engines in calculating the 
consecutive time period. An engine located at a seasonal source is an engine that remains at a seasonal source during the full annual operating period of the seasonal source. A seasonal source is a stationary source that remains in a single location on a permanent basis (i.e., at least two years) and that operates 
at that single location approximately three months (or more) each year. See § 1068.31 for provisions that apply if the engine is removed from the location. 
Operating hours means: 
(1) For engine and equipment storage 
areas or facilities, times during which 
people other than custodians and security personnel are at work near, and can access, a storage area or facility. 
(2) For other areas or facilities, times 
during which an assembly line operates or any of the following activities occurs: 
(i) Testing, maintenance, or service 
accumulation. 
(ii) Production or compilation of 
records. 
(iii) Certification testing. 
(iv) Translation of designs from the 
test stage to the production stage. 
(v) Engine or equipment manufacture 
or assembly. 
Parent company means any entity that 
has a controlling ownership of another 
company. Note that the standard-setting part may treat a partial owner as a parent company even if it does not have controlling ownership of a company. 
Piece of equipment means any 
vehicle, vessel, locomotive, aircraft, or other type of equipment equipped with engines to which this part applies. 
Placed into service means used for its 
intended purpose. Engines/equipment do not qualify as being ‘‘placed into service’’ based on incidental use by a manufacturer or dealer. 
Reasonable technical basis means 
information that would lead a person familiar with engine design and function to reasonably believe a conclusion related to compliance with the requirements of this part. For example, it would be reasonable to believe that parts performing the same function as the original parts (and to the same degree) would control emissions to the same degree as the original parts. Note that what is a reasonable basis for a person without technical training might not qualify as a reasonable technical basis. 
Relating to as used in this section 
means relating to something in a specific, direct manner. This expression is used in this section only to define terms as adjectives and not to broaden the meaning of the terms. Note that ‘‘relating to’’ is used in the same manner as in the standard-setting parts. Replacement engine means an engine 
exempted as a replacement engine 
under § 1068.240. 
Revoke means to terminate the 
certificate or an exemption for a family. If we revoke a certificate or exemption, you must apply for a new certificate or exemption before continuing to introduce the affected engines/ equipment into U.S. commerce. This 
does not apply to engines/equipment you no longer possess. 
Secondary engine manufacturer 
means anyone who produces a new engine by modifying a complete or partially complete engine that was made by a different company. For the purpose of this definition, ‘‘modifying’’ does not include making changes that do not remove an engine from its original certified configuration. Secondary engine manufacturing includes, for example, converting automotive engines for use in industrial applications, or land-based engines for use in marine applications. This applies whether it involves a complete or partially complete engine and whether the engine was previously certified to emission standards or not. 
(1) Manufacturers controlled by the 
manufacturer of the base engine (or by an entity that also controls the manufacturer of the base engine) are not secondary engine manufacturers; rather, both entities are considered to be one manufacturer for purposes of this part. 
(2) This definition applies equally to 
equipment manufacturers that modify engines. Also, equipment manufacturers that certify to equipment-based standards using engines produced by another company are deemed to be secondary engine manufacturers. 
(3) Except as specified in paragraph 
(2) of this definition, companies importing complete engines into the United States are not secondary engine manufacturers regardless of the procedures and relationships between companies for assembling the engines. 
Small business means either of the 
following: 
(1) A company that qualifies under 
the standard-setting part for special provisions for small businesses or small- volume manufacturers. 
(2) A company that qualifies as a 
small business under the regulations adopted by the Small Business Administration at 13 CFR 121.201 if the standard-setting part does not establish such qualifying criteria. 
Standard-setting part means a part in 
the Code of Federal Regulations that defines emission standards for a particular engine and/or piece of equipment (see § 1068.1(a)). For example, the standard-setting part for marine spark-ignition engines is 40 CFR 
part 1045. For provisions related to evaporative emissions, the standard- setting part may be 40 CFR part 1060, as specified in 40 CFR 1060.1. 
Subsidiary means an entity that is 
owned or controlled by a parent company. 
Sulfur-sensitive technology means an 
emission control technology that experiences a significant drop in emission control performance or emission-system durability when an engine is operated on low-sulfur diesel fuel (i.e., fuel with a sulfur 
concentration of 300 to 500 ppm) as compared to when it is operated on ultra low-sulfur diesel fuel (i.e., fuel 
with a sulfur concentration less than 15 ppm). Exhaust gas recirculation is not a sulfur-sensitive technology. 
Suspend means to temporarily 
discontinue the certificate or an exemption for a family. If we suspend a certificate, you may not sell, offer for sale, or introduce or deliver into commerce in the United States or import into the United States engines/ 
equipment from that family unless we reinstate the certificate or approve a new one. This also applies if we suspend an exemption, unless we reinstate the exemption. 
Ultimate purchaser means the first 
person who in good faith purchases a new engine or new piece of equipment for purposes other than resale. 
United States, in a geographic sense, 
means the States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, Guam, American Samoa, and the U.S. Virgin Islands. 
U.S.-directed production volume has 
the meaning given in the standard- setting part. 
Void means to invalidate a certificate 
or an exemption ab initio (‘‘from the beginning’’). If we void a certificate, all the engines/equipment introduced into U.S. commerce under that family for that model year are considered uncertified (or nonconforming) and are therefore not covered by a certificate of conformity, and you are liable for all engines/equipment introduced into U.S. commerce under the certificate and may face civil or criminal penalties or both. This applies equally to all engines/ equipment in the family, including engines/equipment introduced into U.S. commerce before we voided the certificate. If we void an exemption, all the engines/equipment introduced into U.S. commerce under that exemption are considered uncertified (or nonconforming), and you are liable for engines/equipment introduced into U.S. 
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commerce under the exemption and 
may face civil or criminal penalties or both. You may not sell, offer for sale, or introduce or deliver into commerce in the United States or import into the United States any additional engines/ equipment using the voided exemption. 
Voluntary emission recall means a 
repair, adjustment, or modification program voluntarily initiated and conducted by a manufacturer to remedy any emission-related defect for which engine owners have been notified. 
We (us, our) means the Administrator 
of the Environmental Protection Agency and any authorized representatives. 
■324. Section 1068.31 is amended by 
revising the section heading, the introductory text, and paragraph (c) to read as follows: 
§ 1068.31 Changing the status of nonroad 
or stationary engines under the definition of ‘‘nonroad engine’’. 
This section specifies the provisions 
that apply when an engine previously 
used in a nonroad application is subsequently used in an application other than a nonroad application, or when an engine previously used in a stationary application (i.e., an engine 
that was not used as a nonroad engine and that was not used to propel a motor vehicle, an aircraft, or equipment used solely for competition) is moved. 
* * * * * 
(c) A stationary engine does not 
become a new nonroad engine if it is 
moved but continues to meet the criteria specified in paragraph (2)(iii) in the definition of ‘‘nonroad engine’’ in § 1068.30 in its new location. For example, a transportable engine that is used in a single specific location for 18 months and is later moved to a second specific location where it will remain for at least 12 months is considered to be a stationary engine in both locations. Note that for stationary engines that are neither portable nor transportable in actual use, the residence-time restrictions in the definition of ‘‘nonroad engine’’ generally do not apply. 
* * * * * 
■325. Section 1068.32 is added to read 
as follows: 
§ 1068.32 Explanatory terms. 
This section explains how certain 
phrases and terms are used in 40 CFR 
parts 1000 through 1099, especially those used to clarify and explain regulatory provisions. 
(a) Types of provisions. The term 
‘‘provision’’ includes all aspects of the regulations in this subchapter U. As described in this section, regulatory provisions include standards, 
requirements, prohibitions, and allowances, along with a variety of other types of provisions. In certain cases, we may use these terms to apply to some but not all of the provisions of a part or section. For example, we may apply the allowances of a section for certain engines, but not the requirements. We may also apply all provisions except the requirements and prohibitions. 
(1) A standard is a requirement 
established by regulation that limits the emissions of air pollutants. Examples of standards include numerical emission standards (such as 0.01 g/kW-hr) and design standards (such as a closed crankcase standard). Compliance with or conformance to a standard is a specific type of requirement, and in some cases a standard may be discussed as a requirement. Thus, a statement about the requirements of a part or section also applies with respect to the standards of the part or section. 
(2) The regulations in subchapter U of 
this chapter apply other requirements in 
addition to standards. For example, manufacturers are required to keep records and provide reports to EPA. 
(3) While requirements state what 
someone must do, prohibitions state what someone may not do. Prohibitions are often referred to as prohibited acts or prohibited actions. Most penalties apply for violations of prohibitions. A list of prohibitions may therefore include the failure to meet a requirement as a prohibited action. 
(4) Allowances provide some form of 
relief from requirements. This may include provisions delaying implementation, establishing exemptions or test waivers, or creating alternative compliance options. Allowances may be conditional. For example, we may exempt you from certain requirements on the condition that you meet certain other requirements. 
(5) The regulations in subchapter U of 
this chapter also include important provisions that are not standards, requirements, prohibitions, or allowances, such as definitions. 
(6) Engines/equipment are generally 
considered ‘‘subject to’’ a specific provision if that provision applies, or if it does not apply because of an exemption authorized under the regulation. For example, locomotives are subject to the provisions of 40 CFR part 1033 even if they are exempted from the standards of part 1033. 
(b) Singular and plural. Unless stated 
otherwise or unless it is clear from the regulatory context, provisions written in singular form include the plural form and provisions written in plural form include the singular form. For example, 
the statement ‘‘The manufacturer must keep this report for three years’’ is equivalent to ‘‘The manufacturers must keep these reports for three years.’’ 
(c) Inclusive lists. Lists in the 
regulations in subchapter U of this chapter prefaced by ‘‘including’’ or ‘‘this includes’’ are not exhaustive. The terms ‘‘including’’ and ‘‘this includes’’ should be read to mean ‘‘including but not limited to’’ and ‘‘this includes but is not limited to’’. For example, the phrase ‘‘including small manufacturers’’ does not exclude large manufacturers. However, prescriptive statements to ‘‘include’’ specific items (such as those related to recordkeeping and reporting requirements) may be exhaustive. 
(d) Notes. Statements that begin with 
‘‘Note:’’ or ‘‘Note that’’ are intended to clarify specific regulatory provisions stated elsewhere in the regulations in subchapter U of this chapter. By themselves, such statements are not intended to specify regulatory requirements. Such statements are typically used for regulatory text that, while legally sufficient to specify a requirement, may be misunderstood by some readers. For example, the regulations might note that a word is defined elsewhere in the regulations to have a specific meaning that may be either narrower or broader than some readers might assume. 
(e) Examples. Examples provided in 
the regulations in subchapter U of this chapter are typically introduced by either ‘‘for example’’ or ‘‘such as’’. Specific examples given in the regulations do not necessarily represent the most common examples. The regulations may specify examples 
conditionally (that is, specifying that they are applicable only if certain criteria or conditions are met). Lists of examples cannot be presumed to be exhaustive lists. 
(f) Generally and typically. Statements 
that begin with ‘‘generally’’, ‘‘in general’’, or ‘‘typically’’ should not be read to apply universally or absolutely. Rather they are intended to apply for the most common circumstances. ‘‘Generally’’ and ‘‘typically’’ statements may be identified as notes as described in paragraph (d) of this section. 
(g) Unusual circumstances. The 
regulations in subchapter U of this chapter specify certain allowances that apply ‘‘in unusual circumstances’’. While it is difficult to precisely define what ‘‘unusual circumstances’’ means, this generally refers to specific circumstances that are both rare and unforeseeable. For example, a severe hurricane in the northeastern United States may be considered to be an 
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unusual circumstance, while a less 
severe hurricane in the southeastern United States may not be. Where the regulations limit an allowance to unusual circumstances, manufacturers and others should not presume that such an allowance will be available to them. Provisions related to unusual circumstances may be described using the phrase ‘‘normal circumstances’’, which are those circumstances that are not unusual circumstances. 
(h) Exceptions and other 
specifications. Regulatory provisions 
may be expressed as a general prohibition, requirement, or allowance that is modified by other regulatory text. Such provisions may include phrases such as ‘‘unless specified otherwise’’, ‘‘except as specified’’, or ‘‘as specified in this section’’. It is important that the exceptions and the more general statement be considered together. This regulatory construct is intended to allow the core requirement or allowance to be stated in simple, clear sentences, rather than more precise and comprehensive sentences that may be misread. For example, where an action is prohibited in most but not all circumstances, the provision may state that you may not take the action, ‘‘except as specified in this section.’’ The exceptions could then be stated in subsequent regulatory text. 
■326. Revise the section heading for 
§ 1068.35 to read as follows: 
§ 1068.35 Symbols, acronyms, and 
abbreviations. 
* * * * * 
■327. Section 1068.40 is amended by 
revising the section heading and 
paragraph (a) and removing paragraph (c). 
The revisions read as follows: 
§ 1068.40 Special provisions for 
implementing changes in the regulations in this part. 
(a) During the 12 months following 
the effective date of any change in the 
provisions of this part, you may ask to apply the previously applicable provisions. Note that the effective date is generally 30 or 60 days after publication in the Federal Register, as noted in the final rule. We will generally approve your request if you can demonstrate that it would be impractical to comply with the new requirements. We may consider the potential for adverse environmental impacts in our decision. Similarly, in unusual circumstances, you may ask for relief under this paragraph (a) from new requirements that apply under the standard-setting part. 
* * * * * ■328. Section 1068.45 is amended by 
revising paragraph (e) and adding 
paragraphs (g) and (h) to read as follows: 
§ 1068.45 General labeling provisions. 
* * * * * 
(e) Prohibitions against removing 
labels. As specified in § 1068.101(b)(7), 
removing permanent labels is prohibited except for certain circumstances. Removing temporary or removable labels prematurely is also prohibited by § 1068.101(b)(7). 
* * * * * 
(g) Date format. If you use a coded 
approach to identify the engine/ 
equipment’s date of manufacture, describe or interpret the code in your application for certification. 
(h) Branding. The following 
provisions apply if you identify the name and trademark of another company instead of your own on your emission control information label, as provided in the standard-setting part: 
(1) You must have a contractual 
agreement with the other company that obligates that company to take the following steps: 
(i) Meet the emission warranty 
requirements that apply under the standard-setting part. This may involve a separate agreement involving reimbursement of warranty-related expenses. 
(ii) Report all warranty-related 
information to the certificate holder. 
(2) In your application for 
certification, identify the company whose trademark you will use. 
(3) You remain responsible for 
meeting all the requirements of this chapter, including warranty and defect- reporting provisions. 
■329. Section 1068.95 is revised to read 
as follows: 
§ 1068.95 Incorporation by reference. 
(a) Certain material is incorporated by 
reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, the Environmental Protection Agency must publish a document in the Federal Register and the material must be 
available to the public. All approved materials are available for inspection at the Air and Radiation Docket and Information Center (Air Docket) in the EPA Docket Center (EPA/DC) at Rm. 3334, EPA West Bldg., 1301 Constitution Ave. NW., Washington, DC The EPA/DC Public Reading Room hours of operation are 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number of the EPA/DC Public Reading Room is (202) 566–1744, and the telephone number for the Air Docket is (202) 566– 1742. These approved materials are also available for inspection at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call (202) 741–6030 or go to http://www.archives.gov/federal_ register/ 
code_ of_federal_ regulations/ibr_
locations.html. In addition, these materials are available from the sources listed below. 
(b) SAE International, 400 
Commonwealth Dr., Warrendale, PA 15096–0001, (724) 776–4841, or http:// 
www.sae.org: 
(1) SAE J1930, Electrical/Electronic 
Systems Diagnostic Terms, Definitions, Abbreviations, and Acronyms, revised October 2008 (‘‘SAE J1930’’), IBR approved for § 1068.45(f). 
(2) [Reserved] 
Subpart B—Prohibited Actions and Related Requirements 
■330. Section 1068.101 is amended by 
revising the introductory text and paragraphs (a)(1) through (3), (b)(1) introductory text, (b)(2), (b)(3), (b)(4), (b)(5) introductory text, (b)(6), and (h) introductory text to read as follows: 
§ 1068.101 What general actions does this 
regulation prohibit? 
This section specifies actions that are 
prohibited and the maximum civil 
penalties that we can assess for each violation in accordance with 42 U.S.C. 7522 and 7524. The maximum penalty values listed in paragraphs (a) and (b) of this section and in § 1068.125 apply as of August 1, 2016. As described in paragraph (h) of this section, these maximum penalty limits are different for earlier violations and they may be adjusted as set forth in 40 CFR part 19. 
(a) * * * 
(1) Introduction into commerce. You 
may not sell, offer for sale, or introduce 
or deliver into commerce in the United States or import into the United States any new engine/equipment after emission standards take effect for the engine/equipment, unless it is covered by a valid certificate of conformity for its model year and has the required label or tag. You also may not take any of the actions listed in the previous sentence with respect to any equipment containing an engine subject to this part’s provisions unless the engine is covered by a valid certificate of conformity for its model year and has the required engine label or tag. We may assess a civil penalty up to $44,539 for each engine or piece of equipment in violation. 
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(i) For purposes of this paragraph 
(a)(1), a valid certificate of conformity is 
one that applies for the same model year as the model year of the equipment (except as allowed by § 1068.105(a)), covers the appropriate category or subcategory of engines/equipment (such as locomotive or sterndrive/inboard Marine SI or nonhandheld Small SI), and conforms to all requirements specified for equipment in the standard- setting part. Engines/equipment are considered not covered by a certificate unless they are in a configuration described in the application for certification. 
(ii) The prohibitions of this paragraph 
(a)(1) also apply for new engines you produce to replace an older engine in a piece of equipment, except that the engines may qualify for the replacement-engine exemption in § 1068.240. 
(iii) The prohibitions of this 
paragraph (a)(1) also apply for new engines that will be installed in equipment subject to equipment-based standards, except that the engines may qualify for an exemption under § 1068.260(c) or § 1068.262. 
(iv) Where the regulations specify that 
you are allowed to introduce engines/ equipment into U.S. commerce without a certificate of conformity, you may take any of the otherwise prohibited actions specified in this paragraph (a)(1) with respect to those engines/equipment. 
(2) Reporting and recordkeeping. This 
chapter requires you to record certain types of information to show that you meet our standards. You must comply with these requirements to make and maintain required records (including those described in § 1068.501). You may not deny us access to your records or 
the ability to copy your records if we have the authority to see or copy them. Also, you must give us complete and accurate reports and information without delay as required under this chapter. Failure to comply with the requirements of this paragraph is prohibited. We may assess a civil penalty up to $44,539 for each day you are in violation. In addition, knowingly submitting false information is a violation of 18 U.S.C. 1001, which may involve criminal penalties and up to five years imprisonment. 
(3) Testing and access to facilities. 
You may not keep us from entering your facility to test engines/equipment or inspect if we are authorized to do so. Also, you must perform the tests we require (or have the tests done for you). Failure to perform this testing is prohibited. We may assess a civil penalty up to $44,539 for each day you are in violation. (b) * * * (1) Tampering. You may not remove 
or render inoperative any device or element of design installed on or in engines/equipment in compliance with the regulations prior to its sale and delivery to the ultimate purchaser. You also may not knowingly remove or render inoperative any such device or element of design after such sale and delivery to the ultimate purchaser. This includes, for example, operating an engine without a supply of appropriate quality urea if the emission control system relies on urea to reduce NO
X 
emissions or the use of incorrect fuel or engine oil that renders the emission control system inoperative. Section 1068.120 describes how this applies to rebuilding engines. See the standard- setting part, which may include additional provisions regarding actions prohibited by this requirement. For a manufacturer or dealer, we may assess a civil penalty up to $44,539 for each engine or piece of equipment in violation. For anyone else, we may assess a civil penalty up to $4,454 for each engine or piece of equipment in violation. This prohibition does not apply in any of the following situations: 
* * * * * 
(2) Defeat devices. You may not 
knowingly manufacture, sell, offer to 
sell, or install, any component that bypasses, impairs, defeats, or disables the control of emissions of any regulated pollutant, except as explicitly allowed by the standard-setting part. We may assess a civil penalty up to $4,454 for each component in violation. 
(3) Stationary engines. For an engine 
that is excluded from any requirements of this chapter because it is a stationary engine, you may not move it or install it in any mobile equipment except as allowed by the provisions of this chapter. You may not circumvent or attempt to circumvent the residence- time requirements of paragraph (2)(iii) of the nonroad engine definition in § 1068.30. Anyone violating this paragraph (b)(3) is deemed to be a manufacturer in violation of paragraph (a)(1) of this section. We may assess a civil penalty up to $44,539 for each engine or piece of equipment in violation. 
(4) Competition engines/equipment. 
(i) For uncertified engines/equipment that are excluded or exempted as new engines/equipment from any requirements of this chapter because they are to be used solely for competition, you may not use any of them in a manner that is inconsistent with use solely for competition. Anyone violating this paragraph (b)(4)(i) is deemed to be a manufacturer in violation of paragraph (a)(1) of this section. We may assess a civil penalty up to $44,539 for each engine or piece of equipment in violation. (ii) For certified nonroad engines/equipment that qualify for exemption from the tampering prohibition as described in § 1068.235 because they are to be used solely for competition, you may not use any of them in a manner that is inconsistent with use solely for competition. Anyone violating this paragraph (b)(4)(ii) is in violation of paragraph (b)(1) or (2) of this section. 
(5) Importation. You may not import 
an uncertified engine or piece of equipment if it is defined to be new in the standard-setting part with a model year for which emission standards applied. Anyone violating this paragraph (b)(5) is deemed to be a manufacturer in violation of paragraph (a)(1) of this section. We may assess a civil penalty up to $44,539 for each engine or piece of equipment in violation. Note the following: 
* * * * * 
(6) Warranty, recall, and maintenance 
instructions. You must meet your 
obligation to honor your emission- 
related warranty under § 1068.115, including any commitments you identify in your application for certification. You must also fulfill all applicable requirements under subpart F of this part related to emission-related defects and recalls. You must also provide emission-related installation and maintenance instructions as described in the standard-setting part. Failure to meet these obligations is prohibited. Also, except as specifically provided by regulation, you are prohibited from directly or indirectly communicating to the ultimate purchaser or a later purchaser that the emission-related warranty is valid only if the owner has service performed at authorized facilities or only if the owner uses authorized parts, components, or systems. We may assess a civil penalty up to $44,539 for each engine or piece of equipment in violation. 
* * * * * 
(h) The maximum penalty values 
listed in paragraphs (a) and (b) of this 
section and in § 1068.125 apply as of August 1, 2016. Maximum penalty values for earlier violations are published in 40 CFR part 19. Maximum penalty limits may be adjusted after August 1, 2016 based on the Consumer Price Index. The specific regulatory provisions for changing the maximum penalties, published in 40 CFR part 19, reference the applicable U.S. Code citation on which the prohibited action 
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is based. The following table is shown 
here for informational purposes: 
* * * * * 
■331. Section 1068.103 is revised to 
read as follows: 
§ 1068.103 Provisions related to the 
duration and applicability of certificates of conformity. 
(a) Engines/equipment covered by a 
certificate of conformity are limited to 
those that are produced during the period specified in the certificate and conform to the specifications described in the certificate and the associated application for certification. For the purposes of this paragraph (a), ‘‘specifications’’ includes the emission control information label and any conditions or limitations identified by the manufacturer or EPA. For example, if the application for certification specifies certain engine configurations, the certificate does not cover any configurations that are not specified. We may ignore any information provided in the application that we determine is not relevant to a demonstration of compliance with applicable regulations, such as your projected production volumes in many cases. 
(b) Unless the standard-setting part 
specifies otherwise, determine the production period corresponding to each certificate of conformity as specified in this paragraph (b). In general, the production period is the manufacturer’s annual production period identified as a model year. 
(1) For engines/equipment subject to 
emission standards based on model years, the first day of the annual production period can be no earlier than January 2 of the calendar year preceding 
the year for which the model year is named, or the earliest date of manufacture for any engine/equipment in the engine family, whichever is later. The last day of the annual production period can be no later than December 31 of the calendar year for which the model year is named or the latest date of manufacture for any engine/equipment in the engine family, whichever is sooner. Note that this approach limits how you can designate a model year for your engines/equipment; however, it does not limit your ability to meet more stringent emission standards early where this is permitted in the regulation. 
(2) For fuel-system components 
certified to evaporative emission standards based on production periods rather than model years, the production period is either the calendar year or a longer period we specify consistent with the manufacturer’s normal production practices. (c) A certificate of conformity will not 
cover engines/equipment you produce 
with a date of manufacture earlier than the date you submit the application for certification for the family. You may start to produce engines/equipment after you submit an application for certification and before the effective date of a certificate of conformity, subject to the following conditions: 
(1) The engines/equipment must 
conform in all material respects to the engines/equipment described in your application. Note that if we require you to modify your application, you must ensure that all engines/equipment conform to the specifications of the modified application. 
(2) The engines/equipment may not 
be sold, offered for sale, introduced into U.S. commerce, or delivered for introduction into U.S. commerce before the effective date of the certificate of conformity. 
(3) You must notify us in your 
application for certification that you plan to use the provisions of this paragraph (c) and when you intend to start production. If the standard-setting part specifies mandatory testing for production-line engines, you must start testing as directed in the standard- setting part based on your actual start of production, even if that occurs before we approve your certification. You must also agree to give us full opportunity to 
inspect and/or test the engines/ equipment during and after production. For example, we must have the opportunity to specify selective enforcement audits as allowed by the standard-setting part and the Clean Air Act as if the engines/equipment were produced after the effective date of the certificate. 
(4) See § 1068.262 for special 
provisions that apply for secondary engine manufacturers receiving shipment of partially complete engines before the effective date of a certificate. 
(d) The prohibition in § 1068.101(a)(1) 
against offering to sell engines/ equipment without a valid certificate of conformity generally does not apply for engines/equipment that have not yet been produced. You may contractually agree to produce engines/equipment before obtaining the required certificate of conformity. This is intended to allow manufacturers of low-volume products to establish a sufficient market for engines/equipment before going through the effort to certify. 
(e) Engines/equipment with a date of 
manufacture after December 31 of the calendar year for which a model year is named are not covered by the certificate of conformity for that model year. You must submit an application for a new certificate of conformity demonstrating 
compliance with applicable standards even if the engines/equipment are identical to those with a date of manufacture before December 31. 
(f) The flexible approach to naming 
the annual production period described in paragraph (b)(1) of this section is intended to allow you to introduce new products at any point during the year. This is based on the expectation that production periods generally run on consistent schedules from year to year. You may not use this flexibility to arrange your production periods such that you can avoid annual certification. 
(g) An engine is generally assigned a 
model year based on its date of manufacture, which is typically based on the date the crankshaft is installed in the engine (see § 1068.30). You may not circumvent the provisions of § 1068.101(a)(1) by stockpiling engines with a date of manufacture before new or changed emission standards take effect by deviating from your normal production and inventory practices. (For purposes of this paragraph (g), normal production and inventory practices means those practices you typically use for similar families in years in which emission standards do not change. We may require you to provide us routine production and inventory records that document your normal practices for the preceding eight years.) For most engines you should plan to complete the assembly of an engine of a given model year into its certified configuration within the first week after the end of the model year if new emission standards start to apply in that model year. For special circumstances it may be appropriate for your normal business practice to involve more time. For engines with per-cylinder displacement below 2.5 liters, if new emission standards start to apply in a given year, we would consider an engine not to be covered by a certificate of conformity for the preceding model year if the engine is not assembled in a compliant configuration within 30 days after the end of the model year for that engine family. (Note: an engine is considered 
‘‘in a compliant configuration’’ without being fully assembled if § 1068.260(a) or (b) authorizes shipment of the engine without certain components.) For example, in the case where new standards apply in the 2010 model year, and your normal production period is based on the calendar year, you must complete the assembly of all your 2009 model year engines before January 31, 2010, or an earlier date consistent with your normal production and inventory 
practices. For engines with per-cylinder displacement at or above 2.5 liters, this 
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time may not exceed 60 days. Note that 
for the purposes of this paragraph (g), an engine shipped under § 1068.261 is deemed to be a complete engine. Note also that § 1068.245 allows flexibility for additional time in unusual circumstances. Note finally that disassembly of complete engines and reassembly (such as for shipment) does not affect the determination of model year; the provisions of this paragraph (g) apply based on the date on which initial assembly is complete. 
(h) This paragraph (h) describes the 
effect of suspending, revoking, or voiding a certificate of conformity. See the definitions of ‘‘suspend,’’ ‘‘revoke,’’ and ‘‘void’’ in § 1068.30. Engines/ equipment produced at a time when the otherwise applicable certificate of conformity has been suspended or revoked are not covered by a certificate of conformity. Where a certificate of conformity is void, all engines/ equipment produced under that certificate of conformity are not and were not covered by a certificate of conformity. In cases of suspension, engines/equipment will be covered by a certificate only if they are produced after the certificate is reinstated or a new certificate is issued. In cases of revocation and voiding, engines/ equipment will be covered by a certificate only if they are produced after we issue a new certificate. 42 U.S.C. 7522(a)(1) and § 1068.101(a)(1) prohibit selling, offering for sale, introducing into commerce, delivering for introduction into commerce, and importing engines/equipment that are not covered by a certificate of conformity, and they prohibit anyone from causing another to violate these prohibitions. 
(i) You may transfer a certificate to 
another entity only in the following cases: 
(1) You may transfer a certificate to a 
parent company, including a parent company that purchases your company after we have issued your certificate. 
(2) You may transfer a certificate to a 
subsidiary including a subsidiary you purchase after we have issued your certificate. 
(3) You may transfer a certificate to a 
subsidiary of your parent company. 
■332. Section 1068.105 is amended by 
revising paragraphs (a) and (c)(2) to read as follows: 
§ 1068.105 What other provisions apply to 
me specifically if I manufacture equipment needing certified engines? 
* * * * * 
(a) Transitioning to new engine-based 
standards. If new engine-based emission 
standards apply in a given model year, your equipment produced in that 
calendar year (or later) must have engines that are certified to the new standards, except that you may continue to use up normal inventories of engines that were built before the date of the new or changed standards. For purposes of this paragraph (a), normal inventory applies for engines you possess and engines from your engine supplier’s normal inventory. (Note: this paragraph 
(a) does not apply in the case of new remanufacturing standards.) We may require you and your engine suppliers to provide us routine production and/or inventory records that document your normal practices for the preceding eight years. For example, if you have records documenting that your normal inventory practice is to keep on hand a one-month supply of engines based on your upcoming production schedules, and a new tier of standards starts to apply for the 2015 model year, you may order engines consistent with your normal inventory requirements late in the engine manufacturer’s 2014 model year and install those engines in your equipment consistent with your normal production schedule. Also, if your model year starts before the end of the calendar year preceding new standards, you may use engines from the previous model year for those units you completely assemble before January 1 of the year that new standards apply. If emission standards for the engine do not change in a given model year, you may continue to install engines from the previous model year without restriction (or any earlier model year for which the same standards apply). You may not circumvent the provisions of § 1068.101(a)(1) by stockpiling engines that were built before new or changed standards take effect. Similarly, you may not circumvent the provisions of § 1068.101(a)(1) by knowingly installing engines that were stockpiled by engine suppliers in violation of § 1068.103(f). Note that this allowance does not apply for equipment subject to equipment- based standards. See 40 CFR 1060.601 for similar provisions that apply for equipment subject to evaporative emission standards. Note that the standard-setting part may impose further restrictions on using up inventories of engines from an earlier model year under this paragraph (a). 
* * * * * 
(c) * * * 
(2) Permanently attach the duplicate 
label to your equipment by securing it to a part needed for normal operation and not normally requiring replacement. Make sure an average person can easily read it. Note that attaching an inaccurate duplicate label may be a violation of 
§ 1068.101(b)(7). 
* * * * * 
■333. Section 1068.110 is amended by 
revising the section heading and 
paragraph (d) to read as follows: 
§ 1068.110 Other provisions for engines/ 
equipment in service. 
* * * * * 
(d) Defeat devices. We may test 
components, engines, and equipment to 
investigate potential defeat devices. We may also require the manufacturer to do this testing. If we choose to investigate one of your designs, we may require you to show us that a component is not a defeat device, and that an engine/ equipment does not have a defeat device. To do this, you may have to share with us information regarding test programs, engineering evaluations, design specifications, calibrations, on- board computer algorithms, and design strategies. It is a violation of the Clean 
Air Act for anyone to make, install or use defeat devices as described in § 1068.101(b)(2) and the standard- setting part. 
* * * * * 
■334. Section 1068.115 is amended by 
revising the section heading to read as 
follows: 
§ 1068.115 What are manufacturers’ 
emission-related warranty requirements? 
* * * * * 
■335. Section 1068.120 is amended by 
revising the section heading and 
paragraph (f) to read as follows: 
§ 1068.120 Requirements for rebuilding 
engines. 
* * * * * 
(f) A rebuilt engine or other used 
engine may replace a certified engine in 
a piece of equipment only if the engine was built and/or rebuilt to a certified configuration meeting equivalent or more stringent emission standards. Note that a certified configuration would generally include more than one model year. A rebuilt engine being installed that is from the same model year or a newer model year than the engine being replaced meets this requirement. The following examples illustrate the provisions of this paragraph (f): 
(1) In most cases, you may use a 
rebuilt Tier 2 engine to replace a Tier 1 engine or another Tier 2 engine. 
(2) You may use a rebuilt Tier 1 
engine to replace a Tier 2 engine if the two engines differ only with respect to model year or other characteristics unrelated to emissions since such engines would be considered to be in the same configuration. This may occur if the Tier 1 engine had emission levels 
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below the Tier 2 standards or if the Tier 
2 engine was certified with a Family Emission Limit for calculating emission credits. 
(3) You may use a rebuilt engine that 
originally met the Tier 1 standards without certification, as provided under § 1068.265, to replace a certified Tier 1 engine. This may occur for engines produced under a Transition Program for Equipment Manufacturers such as that described in 40 CFR 1039.625. 
(4) You may never replace a certified 
engine with an engine rebuilt to a configuration that does not meet EPA emission standards. Note that, for purposes of this paragraph (f)(4), a configuration is considered to meet EPA emission standards if it was previously certified or was otherwise shown to meet emission standards (see § 1068.265). 
(5) The standard-setting part may 
apply further restrictions to situations involving installation of used engines to repower equipment. For example, see 40 CFR part 1037 for provisions that apply for glider vehicles. 
* * * * * 
■336. Section 1068.125 is amended by 
revising paragraph (b) introductory text 
to read as follows: 
§ 1068.125 What happens if I violate the 
regulations? 
* * * * * 
(b) Administrative penalties. Instead 
of bringing a civil action, we may assess 
administrative penalties if the total is less than $356,312 against you individually. This maximum penalty may be greater if the Administrator and the Attorney General jointly determine that a greater administrative penalty assessment is appropriate, or if the limit is adjusted under 40 CFR part 19. No court may review this determination. Before we assess an administrative penalty, you may ask for a hearing as described in subpart G of this part. The Administrator may compromise or remit, with or without conditions, any administrative penalty that may be imposed under this section. 
* * * * * 
Subpart C—Exemptions and 
Exclusions 
■337. Section 1068.201 is amended by 
revising the section heading, introductory text, and paragraphs (a) and (c) to read as follows: 
§ 1068.201 General exemption and 
exclusion provisions. 
We may exempt new engines/ 
equipment from some or all of the 
prohibited acts or requirements of this part under provisions described in this subpart. We may exempt nonroad engines/equipment already placed in service in the United States from the prohibition in § 1068.101(b)(1) if the exemption for nonroad engines/ equipment used solely for competition applies (see § 1068.235). In addition, see § 1068.1 and the standard-setting parts to determine if other engines/equipment are excluded from some or all of the regulations in this chapter. 
(a) This subpart identifies which 
engines/equipment qualify for exemptions and what information we need. We may require more information. 
* * * * * 
(c) If you use an exemption under this 
subpart, we may require you to add a 
permanent or removable label to your exempted engines/equipment. You may ask us to modify these labeling requirements if it is appropriate for your engine/equipment. 
* * * * * 
■338. Section 1068.210 is amended by 
revising the section heading and 
paragraph (e) to read as follows: 
§ 1068.210 Exempting test engines/ 
equipment. 
* * * * * 
(e) If we approve your request for a 
testing exemption, we will send you a 
letter or a memorandum describing the basis and scope of the exemption. It will also include any necessary terms and conditions, which normally require you to do the following: 
(1) Stay within the scope of the 
exemption. 
(2) Create and maintain adequate 
records that we may inspect. 
(3) Add a permanent label to all 
engines/equipment exempted under this section, consistent with § 1068.45, with at least the following items: 
(i) The label heading ‘‘EMISSION 
CONTROL INFORMATION’’. 
(ii) Your corporate name and 
trademark. 
(iii) Engine displacement, family 
identification, and model year of the engine/equipment (as applicable), or whom to contact for further information. 
(iv) The statement: ‘‘THIS [engine, 
equipment, vehicle, etc.] IS EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.’’ 
(4) Tell us when the test program is 
finished. 
(5) Tell us the final disposition of the 
engines/equipment. 
■339. Section 1068.215 is amended by 
revising the section heading and paragraphs (a) and (c)(3)(iv) to read as follows: § 1068.215 Exempting manufacturer- 
owned engines/equipment. 
(a) You are eligible for this exemption 
for manufacturer-owned engines/ 
equipment only if you are a certificate holder. Any engine for which you meet all applicable requirements under this section is exempt without request. 
* * * * * 
(c) * * * 
(3) * * * (iv) The statement: ‘‘THIS [engine, 
equipment, vehicle, etc.] IS EXEMPT 
UNDER 40 CFR 1068.210 OR 1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.’’ 
■340. Section 1068.220 is revised to 
read as follows: 
§ 1068.220 Exempting display engines/ 
equipment. 
(a) Anyone may request an exemption 
for display engines/equipment. 
(b) Nonconforming display engines/ 
equipment will be exempted if they are 
used only for displays in the interest of a business or the general public. This exemption does not apply to engines/ equipment displayed for private use, private collections, or any other purpose we determine is inappropriate for a display exemption. 
(c) You may operate the exempted 
engine/equipment, but only if we approve specific operation that is part of the display, or is necessary for the display (possibly including operation that is indirectly necessary for the display). We may consider any relevant factor in our approval process, including the extent of the operation, the overall emission impact, and whether the engine/equipment meets emission requirements of another country. 
(d) You may sell or lease the 
exempted engine/equipment only with our advance approval. 
(e) To use this exemption, you must 
add a permanent label to all engines/ equipment exempted under this section, consistent with § 1068.45, with at least the following items: 
(1) The label heading ‘‘EMISSION 
CONTROL INFORMATION’’. 
(2) Your corporate name and 
trademark. 
(3) Engine displacement, family 
identification, and model year of the engine/equipment (as applicable), or whom to contact for further information. 
(4) The statement: ‘‘THIS [engine, 
equipment, vehicle, etc.] IS EXEMPT UNDER 40 CFR 1068.220 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.’’ 
(f) We may set other conditions for 
approval of this exemption. 
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■341. Section 1068.225 is revised to 
read as follows: 
§ 1068.225 Exempting engines/equipment 
for national security. 
The standards and requirements of 
the standard-setting part and the 
prohibitions in § 1068.101(a)(1) and (b) do not apply to engines exempted under this section. 
(a) An engine/equipment is exempt 
without a request if it will be owned by an agency of the Federal Government responsible for national defense and it meets at least one of the following criteria: 
(1) An engine is automatically exempt 
in cases where the equipment in which it will be installed has armor, permanently attached weaponry, or other substantial features typical of military combat. Similarly, equipment subject to equipment-based standards is automatically exempt if it has any of these same features. 
(2) In the case of marine vessels with 
compression-ignition engines, an engine is automatically exempt if the vessel in which it will be installed has specialized electronic warfare systems, unique stealth performance requirements, or unique combat maneuverability requirements. 
(3) Gas turbine engines installed in 
marine vessels are automatically exempt. 
(4) An engine/equipment is 
automatically exempt if it would need sulfur-sensitive technology to comply with emission standards, and it is intended to be used in areas outside the United States where ultra low-sulfur fuel is unavailable. 
(b) For the circumstances described in 
paragraphs (a)(1) and (2) of this section, an engine/equipment is also exempt without a request if it will be used, but not owned, by an agency of the Federal Government responsible for national defense. 
(c) Manufacturers may produce and 
ship engines/equipment under an automatic exemption as described in paragraph (a) or (b) of this section if they receive a written request for such engines/equipment from the appropriate federal agency. 
(d) Manufacturers may request a 
national security exemption for engines/ equipment not meeting the conditions of paragraphs (a) and (b) of this section as long as the request is endorsed by an agency of the Federal Government responsible for national defense. In your request, explain why you need the exemption. 
(e) Add a permanent label to all 
engines/equipment exempted under this section, consistent with § 1068.45, with at least the following items: 
(1) The label heading ‘‘EMISSION 
CONTROL INFORMATION’’. 
(2) Your corporate name and 
trademark. 
(3) Engine displacement, family 
identification, and model year of the engine/equipment (as applicable), or whom to contact for further information. 
(4) The statement: ‘‘THIS [engine, 
equipment, vehicle, etc.] HAS AN EXEMPTION FOR NATIONAL SECURITY UNDER 40 CFR 1068.225.’’ 
■342. Section 1068.230 is amended by 
revising the section heading and paragraphs (b) and (c) to read as follows: 
§ 1068.230 Exempting engines/equipment 
for export. 
* * * * * 
(b) Engines/equipment exported to a 
country not covered by paragraph (a) of 
this section are exempt from the prohibited acts in this part without a request. If you produce exempt engines/ equipment for export and any of them are sold or offered for sale to an ultimate purchaser in the United States, the exemption is automatically void for those engines/equipment, except as specified in § 1068.201(i). You may operate engines/equipment in the United States only as needed to prepare and deliver them for export. 
(c) Except as specified in paragraph 
(d) of this section, label exempted engines/equipment (including shipping containers if the label on the engine/ equipment will be obscured by the container) with a label showing that they are not certified for sale or use in the United States. This label may be permanent or removable. See § 1068.45 for provisions related to the use of removable labels and applying labels to containers without labeling individual engines/equipment. The label must include your corporate name and trademark and the following statement: ‘‘THIS [engine, equipment, vehicle, etc.] IS SOLELY FOR EXPORT AND IS THEREFORE EXEMPT UNDER 40 CFR 1068.230 FROM U.S. EMISSION STANDARDS AND RELATED REQUIREMENTS.’’ 
* * * * * 
■343. Section 1068.235 is revised to 
read as follows: 
§ 1068.235 Exempting nonroad engines/ 
equipment used solely for competition. 
The following provisions apply for 
nonroad engines/equipment, but not for 
motor vehicles or for stationary applications: 
(a) New nonroad engines/equipment 
you produce that are used solely for competition are excluded from emission standards. We may exempt (rather than 
exclude) new nonroad engines/ equipment you produce that you intend to be used solely for competition, where we determine that such engines/ equipment are unlikely to be used contrary to your intent. See the standard-setting parts for specific provisions where applicable. Note that the definitions in the standard-setting part may deem uncertified engines/ equipment to be new upon importation. 
(b) If you modify any nonroad 
engines/equipment after they have been placed into service in the United States so they will be used solely for competition, they are exempt without request. This exemption applies only to the prohibitions in § 1068.101(b)(1) and (2) and are valid only as long as the engine/equipment is used solely for competition. You may not use the provisions of this paragraph (b) to circumvent the requirements that apply to the sale of new competition engines under the standard-setting part. 
(c) If you modify any nonroad 
engines/equipment under paragraph (b) of this section, you must destroy the original emission labels. If you loan, lease, sell, or give any of these engines/ 
equipment to someone else, you must tell the new owner (or operator, if applicable) in writing that they may be used only for competition. 
■344. Section 1068.240 is amended by 
revising the section heading and paragraphs (b)(3), (c)(1), (c)(3), (d)(2)(ii), and (e) introductory text to read as follows: 
§ 1068.240 Exempting new replacement 
engines. 
* * * * * 
(b) * * * 
(3) An old engine block replaced by 
a new engine exempted under this 
paragraph (b) may be reintroduced into U.S. commerce as part of an engine that meets either the current standards for new engines, the provisions for new replacement engines in this section, or another valid exemption. Otherwise, you must destroy the old engine block (or confirm that it has been destroyed), or export the engine block without its emission label. 
* * * * * 
(c) * * * 
(1) You may produce a limited 
number of replacement engines under 
this paragraph (c) representing 0.5 percent of your annual production volumes for each category and subcategory of engines identified in Table 1 to this section (1.0 percent through 2013). Calculate this number by multiplying your annual U.S.-directed production volume by 0.005 (or 0.01 
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through 2013) and rounding to the 
nearest whole number. Determine the appropriate production volume by identifying the highest total annual U.S.-directed production volume of engines from the previous three model years for all your certified engines from each category or subcategory identified in Table 1 to this section, as applicable. In unusual circumstances, you may ask us to base your production limits on U.S.-directed production volume for a model year more than three years prior. You may include stationary engines and exempted engines as part of your U.S.- directed production volume. Include U.S.-directed engines produced by any affiliated companies and those from any other companies you license to produce engines for you. 
* * * * * 
(3) Send the Designated Compliance 
Officer a report by September 30 of the 
year following any year in which you produced exempted replacement engines under this paragraph (c). In your report include the total number of replacement engines you produce under this paragraph (c) for each category or subcategory, as appropriate, and the corresponding total production volumes determined under paragraph (c)(1) of this section. If you send us a report under this paragraph (c)(3), you must also include the total number of replacement engines you produced under paragraphs (b), (d), and (e) of this section (including any replacement marine engines subject to reporting under 40 CFR 1042.615). Count exempt engines as tracked under paragraph (b) of this section only if you meet all the requirements and conditions that apply under paragraph (b) of this section by the due date for the annual report. You may include the information required under this paragraph (c)(3) in production reports required under the standard-setting part. 
* * * * * 
(d) * * * 
(2) * * * (ii) If you do not qualify for using a 
removable label in paragraph (d)(2)(i) of 
this section, you must add a permanent label in a readily visible location, though it may be obscured after installation in a piece of equipment. Include on the permanent label your corporate name and trademark, the engine’s part number (or other identifying information), and the statement: ‘‘THIS REPLACEMENT ENGINE IS EXEMPT UNDER 40 CFR 1068.240. THIS ENGINE MAY NOT BE INSTALLED IN EQUIPMENT THAT IS MORE THAN 40 YEARS OLD AT THE TIME OF INSTALLATION.’’ If there is not enough space for this statement, you may alternatively add: ‘‘REPLACEMENT’’ or ‘‘SERVICE ENGINE.’’ For purposes of this paragraph (d)(2), engine part numbers permanently stamped or engraved on the engine are considered to be included on the label. 
(e) Partially complete current-tier 
replacement engines. The provisions of paragraph (d) of this section apply for engines you produce from a current line of certified engines or vehicles if you ship them as partially complete engines for replacement purposes. This applies for engine-based and equipment-based standards as follows: 
* * * * * 
■345. Section 1068.245 is amended by 
revising the section heading and 
paragraph (g)(4) to read as follows: 
§ 1068.245 Temporary provisions 
addressing hardship due to unusual circumstances. 
* * * * * 
(g) * * * 
(4) A statement describing the 
engine’s status as an exempted engine: 
(i) If the engine/equipment does not 
meet any emission standards, add the 
following statement: ‘‘THIS [engine, equipment, vehicle, etc.] IS EXEMPT UNDER 40 CFR 1068.245 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.’’ 
(ii) If the engines/equipment meet 
alternate emission standards as a condition of an exemption under this section, we may specify a different statement to identify the alternate emission standards. 
■346. Section 1068.250 is amended by 
revising the section heading and paragraphs (c) introductory text and (k)(4) and removing and reserving paragraph (h). 
The revisions read as follows: 
§ 1068.250 Extending compliance 
deadlines for small businesses under hardship. 
* * * * * 
(c) Send the Designated Compliance 
Officer a written request for an 
extension as soon as possible before you are in violation. In your request, show that all the following conditions and requirements apply: 
* * * * * 
(k) * * * 
(4) A statement describing the 
engine’s status as an exempted engine: 
(i) If the engine/equipment does not 
meet any emission standards, add the 
following statement:‘‘THIS [engine, equipment, vehicle, etc.] IS EXEMPT UNDER 40 CFR 1068.250 FROM EMISSION STANDARDS AND 
RELATED REQUIREMENTS.’’ 
(ii) If the engine/equipment meets 
alternate emission standards as a 
condition of an exemption under this section, we may specify a different statement to identify the alternate emission standards. 
■347. Section 1068.255 is amended by 
revising the section heading and paragraph (a) introductory text to read as follows: 
§ 1068.255 Exempting engines and fuel- 
system components for hardship for equipment manufacturers and secondary engine manufacturers. 
* * * * * 
(a) Equipment exemption. As an 
equipment manufacturer, you may ask 
for approval to produce exempted equipment for up to 12 months. We will generally limit this to a single interval up to 12 months in the first year that new or revised emission standards apply. Exemptions under this section are not limited to small businesses. Send the Designated Compliance Officer a written request for an exemption before you are in violation. In your request, you must show you are not at fault for the impending violation and that you would face serious economic hardship if we do not grant the exemption. This exemption is not available under this paragraph (a) if you manufacture the engine or fuel-system components you need for your own equipment, or if complying engines or fuel-system components are available from other manufacturers that could be used in your equipment, unless we allow it elsewhere in this chapter. We may impose other conditions, including provisions to use products meeting less stringent emission standards or to recover the lost environmental benefit. In determining whether to grant the exemptions, we will consider all relevant factors, including the following: 
* * * * * 
■348. Section 1068.260 is revised to 
read as follows: 
§ 1068.260 General provisions for selling 
or shipping engines that are not yet in their certified configuration. 
Except as specified in paragraph (e) of 
this section, all new engines in the 
United States are presumed to be subject to the prohibitions of § 1068.101, which generally require that all new engines be in a certified configuration before being sold, offered for sale, or introduced or delivered into commerce in the United States or imported into the United States. All emission-related components generally need to be installed on an 
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engine for such an engine to be in its 
certified configuration. This section specifies clarifications and exemptions related to these requirements for engines. Except for paragraph (c) of this section, the provisions of this section generally apply for engine-based standards but not for equipment-based exhaust emission standards. 
(a) The provisions of this paragraph 
(a) apply for emission-related components that cannot practically be assembled before shipment because they depend on equipment design parameters. 
(1) You do not need an exemption to 
ship an engine that does not include installation or assembly of certain emission-related components if those components are shipped along with the engine. For example, you may generally ship aftertreatment devices along with engines rather than installing them on the engine before shipment. We may require you to describe how you plan to use this provision. 
(2) You may ask us at the time of 
certification for an exemption to allow 
you to ship your engines without emission-related components. If we allow this, we may specify conditions that we determine are needed to ensure that shipping the engine without such components will not result in the engine being operated outside of its certified configuration. You must identify unshipped parts by specific part numbers if they cannot be properly characterized by performance specification. For example, electronic control units, turbochargers, and EGR coolers must generally be identified by part number. Parts that we believe can be properly characterized by performance specification include air filters, noncatalyzed mufflers, and charge air coolers. See paragraph (d) of this section for additional provisions that apply in certain circumstances. 
(b) You do not need an exemption to 
ship engines without specific components if they are not emission- related components identified in Appendix I of this part. For example, you may generally ship engines without the following parts: 
(1) Radiators needed to cool the 
engine. 
(2) Exhaust piping between the engine 
and an aftertreatment device, between two aftertreatment devices, or downstream of the last aftertreatment device. 
(c) If you are a certificate holder, 
partially complete engines/equipment shipped between two of your facilities are exempt, subject to the provisions of this paragraph (c), as long as you maintain ownership and control of the engines/equipment until they reach 
their destination. We may also allow this where you do not maintain actual ownership and control of the engines/ equipment (such as hiring a shipping company to transport the engines) but only if you demonstrate that the engines/equipment will be transported only according to your specifications. See § 1068.261(b) for the provisions that apply instead of this paragraph (c) for the special case of integrated manufacturers using the delegated- assembly exemption. Notify us of your intent to use this exemption in your application for certification, if applicable. Your exemption is effective when we grant your certificate. You may alternatively request an exemption in a separate submission; for example, this would be necessary if you will not be the certificate holder for the engines in question. We may require you to take specific steps to ensure that such engines/equipment are in a certified configuration before reaching the ultimate purchaser. Note that since this is a temporary exemption, it does not allow you to sell or otherwise distribute to ultimate purchasers an engine/ equipment in an uncertified configuration with respect to exhaust emissions. Note also that the exempted engine/equipment remains new and subject to emission standards (see definition of ‘‘exempted’’ in § 1068.30) until its title is transferred to the ultimate purchaser or it otherwise ceases to be new. 
(d) See § 1068.261 for delegated- 
assembly provisions in which certificate-holding manufacturers ship engines that are not yet equipped with certain emission-related components. See § 1068.262 for provisions related to manufacturers shipping partially complete engines for which a secondary engine manufacturer holds the certificate of conformity. 
(e) Engines used in hobby vehicles are 
not presumed to be engines subject to the prohibitions of § 1068.101. Hobby vehicles are reduced-scale models of vehicles that are not capable of transporting a person. Some gas turbine engines are subject to the prohibitions of § 1068.101, but we do not presume that all gas turbine engines are subject to these prohibitions. Other engines that do not have a valid certificate of conformity or exemption when sold, offered for sale, or introduced or delivered into commerce in the United States or imported into the United States are presumed to be engines subject to the prohibitions of § 1068.101 unless we determine that such engines 
are excluded from the prohibitions of § 1068.101. (f) While we presume that new non- 
hobby engines are subject to the prohibitions of § 1068.101, we may determine that a specific engine is not subject to these prohibitions based on information you provide or other information that is available to us. For example, the provisions of this part 1068 and the standard-setting parts provide for exemptions in certain circumstances. Also, some engines may be subject to separate prohibitions under subchapter C instead of the prohibitions of § 1068.101. 
■349. Section 1068.261 is amended by 
revising the section heading and paragraph (a) to read as follows: 
§ 1068.261 Delegated assembly and other 
provisions related to engines not yet in the certified configuration. 
* * * * * 
(a) Shipping an engine separately 
from an aftertreatment component that 
you have specified as part of its certified configuration will not be a violation of the prohibitions in § 1068.101(a)(1) subject to the provisions in this section. We may also require that you apply some or all of the provisions of this section for other components if we determine it is necessary to ensure that shipping the engine without such components will not result in the engine being operated outside of its certified configuration. In making this determination, we will consider the importance of the component for controlling emissions and the likelihood that equipment manufacturers will have an incentive to disregard your emission- related installation instructions based on any relevant factors, such as the cost of the component and any real or perceived expectation of a negative impact on engine or equipment performance. 
* * * * * 
■350. Section 1068.262 is revised to 
read as follows: 
§ 1068.262 Shipment of engines to 
secondary engine manufacturers. 
This section specifies how 
manufacturers may introduce into U.S. 
commerce partially complete engines that have an exemption or a certificate of conformity held by a secondary engine manufacturer and are not yet in a certified configuration. See the standard-setting part to determine whether and how the provisions of this section apply. (Note: See § 1068.261 for provisions related to manufacturers introducing into U.S. commerce partially complete engines for which they hold the certificate of conformity.) This exemption is temporary as 
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described in paragraph (g) of this 
section. 
(a) The provisions of this section 
generally apply where the secondary engine manufacturer has substantial control over the design and assembly of emission controls. In unusual circumstances we may allow other secondary engine manufacturers to use these provisions. In determining whether a manufacturer has substantial control over the design and assembly of emission controls, we would consider the degree to which the secondary engine manufacturer would be able to ensure that the engine will conform to the regulations in its final configuration. Such secondary engine manufacturers may finish assembly of partially complete engines in the following cases: 
(1) You obtain an engine that is not 
fully assembled with the intent to manufacture a complete engine. 
(2) You obtain an engine with the 
intent to modify it before it reaches the ultimate purchaser. 
(3) You obtain an engine with the 
intent to install it in equipment that will be subject to equipment-based 
standards. 
(b) Manufacturers may introduce into 
U.S. commerce partially complete engines as described in this section if they have a written request for such engines from a secondary engine manufacturer that has certified the engine and will finish the engine assembly. The written request must include a statement that the secondary engine manufacturer has a certificate of conformity for the engine and identify a valid engine family name associated with each engine model ordered (or the basis for an exemption if applicable, as specified in paragraph (e) of this section). The original engine manufacturer must apply a removable label meeting the requirements of § 1068.45 that identifies the corporate name of the original manufacturer and states that the engine is exempt under the provisions of § 1068.262. The name of the certifying manufacturer must also be on the label or, alternatively, on the bill of lading that accompanies the engines during shipment. The original engine manufacturer may not apply a permanent emission control information label identifying the engine’s eventual status as a certified engine. 
(c) If you are the secondary engine 
manufacturer and you will hold the certificate, you must include the following information in your application for certification: 
(1) Identify the original engine 
manufacturer of the partially complete engine or of the complete engine you will modify. (2) Describe briefly how and where 
final assembly will be completed. 
Specify how you have the ability to ensure that the engines will conform to the regulations in their final configuration. (Note: Paragraph (a) of this section prohibits using the provisions of this section unless you have substantial control over the design and assembly of emission controls.) 
(3) State unconditionally that you will 
not distribute the engines without conforming to all applicable regulations. 
(d) If you are a secondary engine 
manufacturer and you are already a certificate holder for other families, you may receive shipment of partially complete engines after you apply for a certificate of conformity but before the certificate’s effective date. In this case, all the provisions of § 1068.103(c)(1) through (3) apply. This exemption allows the original manufacturer to ship engines after you have applied for a certificate of conformity. Manufacturers may introduce into U.S. commerce partially complete engines as described in this paragraph (d) if they have a written request for such engines from a secondary engine manufacturer stating that the application for certification has been submitted (instead of the information we specify in paragraph (b) of this section). We may set additional conditions under this paragraph (d) to prevent circumvention of regulatory requirements. Consistent with § 1068.103(c), we may also revoke an exemption under this paragraph (d) if we have reason to believe that the application for certification will not be approved or that the engines will otherwise not reach a certified configuration before reaching the ultimate purchaser. This may require that you export the engines. 
(e) The provisions of this section also 
apply for shipping partially complete engines if the engine is covered by a valid exemption and there is no valid engine family name that could be used to represent the engine model. Unless 
we approve otherwise in advance, you may do this only when shipping engines to secondary engine manufacturers that are certificate holders. In this case, the secondary engine manufacturer must identify the regulatory cite identifying the applicable exemption instead of a valid engine family name when ordering engines from the original engine manufacturer. 
(f) If secondary engine manufacturers 
determine after receiving an engine under this section that the engine will not be covered by a certificate or exemption as planned, they may ask us to allow for shipment of the engines back to the original engine manufacturer or to another secondary engine manufacturer. This might occur in the case of an incorrect shipment or excess inventory. We may modify the provisions of this section as appropriate to address these cases. 
(g) Both original and secondary 
engine manufacturers must keep the records described in this section for at least five years, including the written request for engines and the bill of lading for each shipment (if applicable). The written request is deemed to be a submission to EPA and is thus subject to the reporting requirements of § 1068.101(a)(2). 
(h) These provisions are intended 
only to allow secondary engine manufacturers to obtain or transport engines in the specific circumstances identified in this section so any exemption under this section expires when the engine reaches the point of final assembly identified in paragraph (c)(2) of this section. 
(i) For purposes of this section, an 
allowance to introduce partially complete engines into U.S. commerce includes a conditional allowance to sell, introduce, or deliver such engines into commerce in the United States or import them into the United States. It does not include a general allowance to offer such partially complete engines for sale because this exemption is intended to apply only for cases in which the certificate holder already has an arrangement to purchase the engines from the original engine manufacturer. This exemption does not allow the original engine manufacturer to subsequently offer the engines for sale to a different manufacturer who will hold the certificate unless that second manufacturer has also complied with the requirements of this part. The exemption does not apply for any individual engines that are not labeled as specified in this section or which are shipped to someone who is not a certificate holder. 
(j) We may suspend, revoke, or void 
an exemption under this section, as follows: 
(1) We may suspend or revoke your 
exemption if you fail to meet the requirements of this section. We may suspend or revoke an exemption related to a specific secondary engine manufacturer if that manufacturer sells engines that are in not in a certified configuration in violation of the regulations. We may disallow this exemption for future shipments to the affected secondary engine manufacturer or set additional conditions to ensure that engines will be assembled in the certified configuration. 
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(2) We may void an exemption for all 
the affected engines if you intentionally 
submit false or incomplete information or fail to keep and provide to EPA the records required by this section. 
(3) The exemption is void for an 
engine that is shipped to a company that is not a certificate holder or for an engine that is shipped to a secondary engine manufacturer that is not in compliance with the requirements of this section. 
(4) The secondary engine 
manufacturer may be liable for causing a prohibited act if voiding the exemption is due to its own actions. 
(k) No exemption is needed to import 
equipment that does not include an engine. No exemption from exhaust emission standards is available under this section for equipment subject to equipment-based standards if the engine has been installed. 
■351. Section 1068.265 is amended by 
revising the section heading to read as follows: 
§ 1068.265 Provisions for engines/ 
equipment conditionally exempted from certification. 
* * * * * 
Subpart D—Imports 
■352. Section 1068.301 is amended by 
revising the section heading and 
paragraphs (b) and (d) and adding paragraph (e) to read as follows: 
§ 1068.301 General provisions for 
importing engines/equipment. 
* * * * * 
(b) In general, engines/equipment that 
you import must be covered by a 
certificate of conformity unless they were built before emission standards started to apply. This subpart describes the limited cases where we allow importation of exempt or excluded engines/equipment. If an engine has an exemption from exhaust emission standards, this allows you to import the equipment under the same exemption. 
* * * * * 
(d) Complete the appropriate EPA 
declaration before importing any 
engines or equipment. These forms may be submitted and stored electronically and are available on the Internet at http://www.epa.gov/OTAQ/imports/ or 
by phone at 734–214–4100. Importers must keep these records for five years and make them available promptly upon request. 
(e) The standard-setting part may 
define uncertified engines/equipment to be ‘‘new’’ upon importation, whether or not they have already been placed into service. This may affect how the provisions of this subpart apply for your engines/equipment. (See the definition of ‘‘new’’ and other relevant terms in the standard-setting part.) 
■353. Section 1068.305 is amended by 
revising paragraphs (b)(1) and (2) to read as follows: 
§ 1068.305 How do I get an exemption or 
exclusion for imported engines/equipment? 
* * * * * 
(b) * * * 
(1) Give your name, address, and 
telephone number. 
(2) Give the engine/equipment 
owner’s name, address, and telephone 
number. 
* * * * * 
■354. Section 1068.310 is amended by 
revising the section heading and 
paragraph (a) to read as follows: 
§ 1068.310 Exclusions for imported 
engines/equipment. 
* * * * * 
(a) Nonroad engines/equipment used 
solely for competition. Nonroad 
engines/equipment that you demonstrate will be used solely for competition are excluded from the restrictions on imports in § 1068.301(b), but only if they are properly labeled. See the standard-setting part for provisions related to this demonstration that may apply. Section 1068.101(b)(4) prohibits anyone from using these excluded engines/equipment for purposes other than competition. We may waive the labeling requirement or allow a removable label for engines/ equipment that are being temporarily imported for one or more specific competition events. 
* * * * * 
■355. Section 1068.315 is amended by 
revising the section heading and 
paragraph (i) to read as follows: 
§ 1068.315 Permanent exemptions for 
imported engines/equipment. 
* * * * * 
(i) Ancient engine/equipment 
exemption. If you are not the original 
engine/equipment manufacturer, you 
may import nonconforming engines/ equipment that are subject to a standard-setting part and were first manufactured at least 21 years earlier, as long as they are still substantially in their original configurations. 
■356. Section 1068.325 is amended by 
revising the section heading, introductory text, and paragraphs (a), (c), (d), and (j)(5) to read as follows: 
§ 1068.325 Temporary exemptions for 
imported engines/equipment. 
You may import engines/equipment 
under certain temporary exemptions, subject to the conditions in this section. 
We may ask U.S. Customs and Border Protection to require a specific bond amount to make sure you comply with the requirements of this subpart. You may not sell or lease one of these engines/equipment while it is in the United States except as specified in this section or § 1068.201(i). You must eventually export the engine/equipment as we describe in this section unless it conforms to a certificate of conformity or it qualifies for one of the permanent exemptions in § 1068.315 or the standard-setting part. 
(a) Exemption for repairs or 
alterations. You may temporarily import 
nonconforming engines/equipment under bond solely for repair or alteration, subject to our advance approval as described in paragraph (j) of this section. You may operate the engine/equipment in the United States only as necessary to repair it, alter it, or ship it to or from the service location. Export the engine/equipment directly after servicing is complete, or confirm that it has been destroyed. 
* * * * * 
(c) Display exemption. You may 
temporarily import nonconforming 
engines/equipment under bond for display if you follow the requirements of § 1068.220, subject to our advance approval as described in paragraph (j) of this section. This exemption expires one year after you import the engine/ equipment, unless we approve your request for an extension. The engine/ equipment must be exported (or destroyed) by the time the exemption expires or directly after the display concludes, whichever comes first. 
(d) Export exemption. You may 
temporarily import nonconforming engines/equipment to export them, as described in § 1068.230. Label the engine/equipment as described in § 1068.230. You may sell or lease the engines/equipment for operation outside the United States consistent with the provisions of § 1068.230. 
* * * * * 
(j) * * * 
(5) Acknowledge that EPA 
enforcement officers may conduct 
inspections or testing as allowed under the Clean Air Act. 
* * * * * 
■357. Section 1068.335 is amended by 
revising the section heading to read as 
follows: 
§ 1068.335 Penalties for violations. 
* * * * * 
■358. Section 1068.360 is amended by 
revising the section heading and paragraph (b) to read as follows: 
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§ 1068.360 Restrictions for assigning a 
model year to imported engines and equipment. 
* * * * * 
(b) This paragraph (b) applies for the 
importation of engines and equipment 
that have not been placed into service, where the importation occurs in any calendar year that is more than one year after the named model year of the engine or equipment when emission control requirements applying to current engines are different than for engines or equipment in the named model year, unless they are imported under special provisions for Independent Commercial Importers as allowed under the standard-setting part. Regardless of what other provisions of this subchapter U specify for the model year of the engine or equipment, such engines and equipment are deemed to have an applicable model year no more than one year earlier than the calendar year in which they are imported. For example, a new engine identified as a 2007 model-year product that is imported on January 31, 2010 will be treated as a 2009 model-year engine; the same engine will be treated as a 2010 model-year engine if it is imported any time in calendar year 2011. 
* * * * * 
Subpart E—Selective Enforcement 
Auditing 
■359. Section 1068.401 is revised to 
read as follows: 
§ 1068.401 What is a selective 
enforcement audit? 
(a) We may conduct or require you as 
a certificate holder to conduct emission 
tests on production engines/equipment in a selective enforcement audit. This requirement is independent of any requirement for you to routinely test production-line engines/equipment. Where there are multiple entities meeting the definition of manufacturer, we may require manufacturers other than the certificate holder to conduct or participate in the audit as necessary. For products subject to equipment-based standards, but tested using engine-based test procedures, this subpart applies to the engines and/or the equipment, as applicable. Otherwise this subpart applies to engines for products subject to engine-based standards and to equipment for products subject to equipment-based standards. 
(b) If we send you a signed test order, 
you must follow its directions and the provisions of this subpart. We may tell you where to test the engines/ equipment. This may be where you produce the engines/equipment or any other emission testing facility. You are responsible for all testing costs whether the testing is conducted at your facility or another facility. 
(c) If we select one or more of your 
families for a selective enforcement audit, we will send the test order to the person who signed the application for certification or we will deliver it in person. 
(d) If we do not select a testing 
facility, notify the Designated Compliance Officer within one working day of receiving the test order where you will test your engines/equipment. 
(e) You must do everything we require 
in the audit without delay. We may suspend or revoke your certificate of conformity for the affected engine families if you do not fulfill your obligations under this subpart. 
■360. Section 1068.405 is amended by 
revising paragraph (a)(1) to read as follows: 
§ 1068.405 What is in a test order? 
(a) * * * 
(1) The family we have identified for 
testing. We may also specify individual 
configurations. 
* * * * * 
■361. Section 1068.415 is amended by 
revising paragraphs (c) and (d) to read 
as follows: 
§ 1068.415 How do I test my engines/ 
equipment? 
* * * * * 
(c) Test at least two engines/ 
equipment in each 24-hour period 
(including void tests). However, for engines with maximum engine power above 560 kW, you may test one engine per 24-hour period. If you request and justify it, we may approve a lower testing rate. 
(d) For exhaust emissions, accumulate 
service on test engines/equipment at a minimum rate of 6 hours per engine or piece of equipment during each 24-hour period; however, service accumulation to stabilize an engine’s emission levels may not take longer than eight days. The first 24-hour period for service accumulation begins when you finish preparing an engine or piece of equipment for testing. The minimum service accumulation rate does not apply on weekends or holidays. We may approve a longer stabilization period or a lower service accumulation rate if you request and justify it. We may require you to accumulate hours more rapidly than the minimum rate, as appropriate. Plan your service accumulation to allow testing at the rate specified in paragraph (c) of this section. Select operation for accumulating operating hours on your test engines/equipment to represent normal in-use operation for the family. 
* * * * * 
■362. Section 1068.420 is amended by 
revising paragraphs (b) and (e) to read 
as follows: 
§ 1068.420 How do I know when my engine 
family fails an SEA? 
* * * * * 
(b) Continue testing engines/ 
equipment until you reach a pass 
decision for all pollutants or a fail decision for one pollutant, as described in paragraph (c) of this section. 
* * * * * 
(e) If you reach a pass decision for one 
pollutant, but need to continue testing 
for another pollutant, we will not use these later test results for the pollutant with the pass decision as part of the SEA. 
* * * * * 
■363. Section 1068.425 is amended by 
revising paragraph (b) to read as follows: 
§ 1068.425 What happens if one of my 
production-line engines/equipment exceeds the emission standards? 
* * * * * 
(b) You may ask for a hearing relative 
to the suspended certificate of 
conformity for the failing engine/ equipment as specified in subpart G of this part. 
■364. Section 1068.430 is amended by 
revising paragraph (c) to read as follows: 
§ 1068.430 What happens if a family fails 
an SEA? 
* * * * * 
(c) You may ask for a hearing as 
described in subpart G of this part up to 
15 days after we suspend the certificate for a family. If we agree that we used erroneous information in deciding to suspend the certificate before a hearing is held, we will reinstate the certificate. 
■365. Section 1068.450 is amended by 
revising paragraph (b) to read as follows: 
§ 1068.450 What records must I send to 
EPA? 
* * * * * 
(b) We may ask you to add 
information to your written report, so 
we can determine whether your new engines/equipment conform to the requirements of this subpart. 
* * * * * 
Subpart F—Reporting Defects and 
Recalling Engines/Equipment 
■366. Section 1068.501 is amended by 
revising paragraphs (a)(1)(iv), (a)(8), and (b)(1)(iii) to read as follows: 
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§ 1068.501 How do I report emission- 
related defects? 
* * * * * 
(a) * * * 
(1) * * * (iv) Any other component whose 
failure would commonly increase 
emissions of any regulated pollutant without significantly degrading engine/ equipment performance. 
* * * * * 
(8) Send all reports required by this 
section to the Designated Compliance 
Officer. 
* * * * * 
(b) * * * 
(1) * * * (iii) You receive any other 
information for which good engineering 
judgment would indicate the component or system may be defective, such as information from dealers, field- service personnel, equipment manufacturers, hotline complaints, in- use testing, or engine diagnostic systems. 
* * * * * 
■367. Section 1068.505 is amended by 
revising paragraphs (a), (c), and (g) to 
read as follows: 
§ 1068.505 How does the recall program 
work? 
(a) If we make a determination that a 
substantial number of properly 
maintained and used engines/ equipment within a given class or category do not conform to the regulations of this chapter during their useful life, you must submit a plan to remedy the nonconformity of your engines/equipment. We will notify you of our determination in writing. Our notice will identify the class or category of engines/equipment affected and describe how we reached our conclusion. If this happens, you must meet the requirements and follow the instructions in this subpart. You must remedy at your expense all engines/ equipment that experienced the nonconformity during the useful life in spite of being properly maintained and used, as described in § 1068.510(a)(7), regardless of their age or extent of service accumulation at the time of repair. You may not transfer this expense to a dealer (or equipment manufacturer for engine-based standards) through a franchise or other agreement. 
* * * * * 
(c) Unless we withdraw the 
determination of noncompliance, you 
must respond to it by sending a remedial plan to the Designated Compliance Officer. We will designate a date by which you must send us the remedial plan; the designated date will be no sooner than 45 days after we notify you, and no sooner than 30 days after a hearing. 
* * * * * 
(g) For purposes of recall, ‘‘owner’’ 
means someone who owns an engine or 
piece of equipment affected by a remedial plan. 
■368. Section 1068.510 is amended by 
revising paragraphs (a)(6), (b), and (h) to read as follows: 
§ 1068.510 How do I prepare and apply my 
remedial plan? 
(a) * * * 
(6) How you will notify owners; 
include a copy of any notification 
letters. 
* * * * * 
(b) We may require you to add 
information if it is needed to evaluate 
your remedial plan. 
* * * * * 
(h) Begin notifying owners within 15 
days after we approve your remedial 
plan. If we hold a hearing, but do not change our position about the noncompliance, you must begin notifying owners within 60 days after we complete the hearing unless we specify a later deadline. 
■369. Section 1068.515 is amended by 
revising paragraphs (a) and (c) to read as follows: 
§ 1068.515 How do I mark or label repaired 
engines/equipment? 
(a) Attach a label to engines/ 
equipment you repair under the 
remedial plan. At your discretion, you may label or mark engines/equipment you inspect but do not repair. Designate the specific recall campaign on the label. 
* * * * * 
(c) Identify the facility where you 
repaired or inspected the engine/ 
equipment on the label, or keep records of this information for each vehicle and give it to us if we ask for it. 
* * * * * 
■370. Section 1068.520 is amended by 
revising paragraph (b) to read as follows: 
§ 1068.520 How do I notify affected 
owners? 
* * * * * 
(b) We may require you to add 
information to your notice or to send 
more notices if we determine this is reasonable and necessary to ensure an effective recall. 
* * * * * 
■371. Section 1068.530 is amended by 
revising the introductory text to read as 
follows: § 1068.530 What records must I keep? 
We may review your records at any 
time so it is important that you keep required information readily available. Keep records associated with your recall campaign for five years after you send the last report we require under § 1068.525(b). Organize and maintain your records as described in this section. 
* * * * * 
■372. Subpart G is revised to read as 
follows: 
Subpart G—Hearings 
Sec. 
1068.601 Overview. 1068.610 Request for hearing—suspending, 
revoking, or voiding a certificate of conformity. 
1068.615 Request for hearing—denied 
application for certification, automatically suspended certificate, and determinations related to certification. 
1068.620 Request for hearing—recall. 1068.625 Request for hearing— 
nonconformance penalties. 
1068.650 Procedures for informal hearings. 
Subpart G—Hearings 
§ 1068.601 Overview. 
The regulations of this chapter 
involve numerous provisions that may 
result in EPA making a decision or judgment that you may consider adverse to your interests and that either limits your business activities or requires you to pay penalties. As specified in the regulations in this chapter, this might involve an opportunity for an informal hearing or a formal hearing that follows specific procedures and is directed by a Presiding Officer. The regulations in this chapter generally specify when we would hold a hearing. In limited circumstances, we may grant a request for a hearing related to adverse decisions regarding regulatory provisions for which we do not specifically describe the possibility of asking for a hearing. 
(a) If you request a hearing regarding 
our decision to assess administrative penalties under § 1068.125, we will hold a formal hearing according to the provisions of 40 CFR 22.1 through 22.32 and 22.34. 
(b) For other issues where the 
regulation allows for a hearing in response to an adverse decision, you may request an informal hearing as described in § 1068.650. Sections 1068.610 through 1068.625 describe when and how to request an informal hearing under various circumstances. 
(c) The time limits we specify are 
calendar days and include weekends and holidays, except that a deadline falling on a Saturday, Sunday, or a 
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federal holiday is understood to move to 
the next business day. Your filing will be considered timely based on the following criteria relative to the specified deadline: 
(1) The postmarked date for items sent 
by U.S. mail must be on or before the specified date. 
(2) The ship date for items sent from 
any location within the United States by commercial carriers must be on or before the specified date. 
(3) Items sent by mail or courier from 
outside the United States must be received by the specified date. 
(4) The time and date stamp on an 
email message must be at or before 5:00 p.m. on the specified date (in either the source or destination time zone). 
(5) The time and date stamp on faxed 
pages must be at or before 5:00 p.m. on the specified date (in either the source or destination time zone). 
(6) Hand-delivered items must be 
received by the appropriate personnel by 3:00 p.m. on the specified date. 
(d) See the standard-setting part for 
additional information. If the standard- setting part specifies any provisions that are contrary to those described in this subpart, the provisions of the standard- setting part apply instead of those described in this subpart. 
§ 1068.610 Request for hearing— 
suspending, revoking, or voiding a certificate of conformity. 
(a) You may request an informal 
hearing as described in § 1068.650 if 
you disagree with our decision to suspend, revoke, or void a certificate of conformity. 
(b) If you request a hearing regarding 
the outcome of a testing regimen with established evaluation criteria, such as selective enforcement audits or routine production-line testing, we will hold a hearing limited to the following issues that are relevant to your circumstances: 
(1) Whether tests were conducted in 
accordance with applicable regulations. 
(2) Whether test equipment was 
properly calibrated and functioning. 
(3) Whether specified sampling 
procedures were followed to select engines/equipment for testing. 
(4) Whether there is a basis for 
determining that the problems identified do not apply for engines/ equipment produced at plants other than the one from which engines/ equipment were selected for testing. 
(c) You must send your hearing 
request in writing to the Designated Compliance Officer no later than 30 days after we notify you of our decision to suspend, revoke, or void your certificate, or by some later deadline we specify. If the deadline passes, we may nevertheless grant you a hearing at our discretion. 
(d) Your hearing request must include 
the following information: 
(1) Identify the classes or categories of 
engines/equipment that will be the subject of the hearing. 
(2) State briefly which issues you will 
raise at the hearing for each affected class or category of engines/equipment. 
(3) Specify why you believe the 
hearing will conclude in your favor for each of the issues you will raise. 
(4) Summarize the evidence 
supporting your position on each of the issues you will raise and include any supporting data. 
(e) We will approve your request for 
an informal hearing if we find that your request raises a substantial factual issue in the decision we made that, if addressed differently, could alter the outcome of that decision. 
§ 1068.615 Request for hearing—denied 
application for certification, automatically suspended certificate, and determinations related to certification. 
(a) You may request an informal 
hearing as described in § 1068.650 if we 
deny your application for a certificate of conformity, if your certificate of conformity is automatically suspended under the regulations, or if you disagree with determinations we make as part of the certification process. For example, you might disagree with our determinations regarding adjustable parameters under § 1068.50 or regarding your good engineering judgment under § 1068.5. 
(b) You must send your hearing 
request in writing to the Designated Compliance Officer no later than 30 days after we notify you of our decision, or by some later deadline we specify. If the specified deadline passes, we may nevertheless grant you a hearing at our discretion. 
(c) Your hearing request must include 
the information specified in § 1068.610(d). 
(d) We will approve your request for 
an informal hearing if we find that your request raises a substantial factual issue in the decision we made that, if addressed differently, could alter the outcome of that decision. 
§ 1068.620 Request for hearing—recall. 
(a) You may request an informal 
hearing as described in § 1068.650 if you disagree with our decision to order a recall. 
(b) You must send your hearing 
request in writing to the Designated Compliance Officer no later than 45 days after we notify you of our decision, or by some later deadline we specify. If the specified deadline passes, we may nevertheless grant you a hearing at our discretion. 
(c) Your hearing request must include 
the information specified in § 1068.610(d). 
(d) We will approve your request for 
an informal hearing if we find that your request raises a substantial factual issue in the decision we made that, if addressed differently, could alter the outcome of that decision. 
§ 1068.625 Request for hearing— 
nonconformance penalties. 
(a) You may request an informal 
hearing as described in § 1068.650 if 
you disagree with our determination of compliance level or penalty calculation or both. The hearing will address only whether the compliance level or penalty was determined in accordance with the regulations. 
(b) Send a request for a hearing in 
writing to the Designated Compliance Officer within the following time frame, as applicable: 
(1) No later than 15 days after we 
notify you that we have approved a nonconformance penalty under this subpart if the compliance level is in the allowable range of nonconformity. 
(2) No later than 15 days after 
completion of the Production Compliance Audit if the compliance level exceeds the upper limit. 
(3) No later than 15 days after we 
notify you of an adverse decision for all other cases. 
(c) If you miss the specified deadline 
in paragraph (b) of this section, we may nevertheless grant youa hearing at our discretion. 
(d) Your hearing request must include 
the information specified in § 1068.610(d). 
(e) We will approve your request for 
an informal hearing if we find that your request raises a substantial factual issue in the decision we made that, if addressed differently, could alter the outcome of that decision. 
§ 1068.650 Procedures for informal 
hearings. 
(a) The following provisions apply for 
arranging the hearing: 
(1) After granting your request for an 
informal hearing, we will designate a 
Presiding Officer for the hearing. 
(2) The Presiding Officer will select 
the time and place for the hearing. The hearing must be held as soon as practicable for all parties involved. 
(3) The Presiding Officer may require 
that all argument and presentation of evidence be concluded by a certain date after commencement of the hearing. 
(b) The Presiding Officer will 
establish a paper or electronic hearing 
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record, which may be made available for 
inspection. The hearing record includes, but is not limited to, the following materials: 
(1) All documents relating to the 
application for certification, including the certificate of conformity itself, if applicable. 
(2) Your request for a hearing and the 
accompanying supporting data. 
(3) Correspondence and other data 
relevant to the hearing. 
(4) The Presiding Officer’s written 
decision regarding the subject of the hearing, together with any accompanying material. 
(c) You may appear in person or you 
may be represented by counsel or by any other representative you designate. 
(d) The Presiding Officer may arrange 
for a prehearing conference, either in response to a request from any party or at his or her own discretion. The Presiding Officer will select the time and place for the prehearing conference. The Presiding Officer will summarize the results of the conference and include the written summary as part of the record. The prehearing conference may involve consideration of the following items: 
(1) Simplification of the issues. 
(2) Stipulations, admissions of fact, 
and the introduction of documents. 
(3) Limitation of the number of expert 
witnesses. 
(4) Possibility of reaching an 
agreement to resolve any or all of the 
issues in dispute. 
(5) Any other matters that may aid in 
expeditiously and successfully concluding the hearing. 
(e) Hearings will be conducted as 
follows: 
(1) The Presiding Officer will conduct 
informal hearings in an orderly and expeditious manner. The parties may offer oral or written evidence; however, the Presiding Officer may exclude evidence that is irrelevant, immaterial, or repetitious. 
(2) Witnesses will not be required to 
testify under oath; however, the Presiding Officer must make clear that 18 U.S.C. 1001 specifies civil and criminal penalties for knowingly making false statements or representations or using false documents in any matter within the 
jurisdiction of EPA or any other department or agency of the United States. 
(3) Any witness may be examined or 
cross-examined by the Presiding Officer, by you, or by any other parties. 
(4) Written transcripts must be made 
for all hearings. Anyone may purchase copies of transcripts from the reporter. 
(f) The Presiding Officer will make a 
final decision with written findings, conclusions and supporting rationale on 
all the substantial factual issues presented in the record. The findings, conclusions, and written decision must be provided to the parties and made a part of the record. 
■373. Appendix I to part 1068 is 
amended by revising paragraph IV to read as follows: 
Appendix I to Part 1068—Emission- 
Related Components 
* * * * * 
IV. Emission-related components also 
include any other part whose primary 
purpose is to reduce emissions or whose failure would commonly increase emissions without significantly degrading engine/ equipment performance. 
Department of Transportation 
National Highway Traffic Safety 
Administration 
49 CFR Chapter V 
In consideration of the foregoing, 
under the authority of 49 U.S.C. 322, 5 
U.S.C. 552, 49 U.S.C. 30166, 49 U.S.C. 30167, 49 U.S.C. 32307, 49 U.S.C. 32505, 49 U.S.C. 32708, 49 U.S.C. 32910, 49 U.S.C. 33116, 49 U.S.C. 32901, 49 U.S.C. 32902, 49 U.S.C. 30101, 49 U.S.C. 32905, 49 U.S.C. 32906, and delegation of authority at 49 CFR 1.95, NHTSA amends 49 CFR 
chapter V as follows: 
PART 523—VEHICLE CLASSIFICATION 
■374. Revise the authority citation for 
part 523 to read as follows: 
Authority: 49 U.S.C. 32901; delegation of 
authority at 49 CFR 1.95. 
■375. Revise § 523.2 to read as follows: 
§ 523.2 Definitions. 
As used in this part: 
Ambulance has the meaning given in 
40 CFR 86.1803. 
Approach angle means the smallest 
angle, in a plane side view of an 
automobile, formed by the level surface on which the automobile is standing and a line tangent to the front tire static loaded radius arc and touching the underside of the automobile forward of the front tire. 
Axle clearance means the vertical 
distance from the level surface on which an automobile is standing to the lowest point on the axle differential of the automobile. 
Base tire (for passenger automobiles, 
light trucks, and medium duty passenger vehicles) means the tire size specified as standard equipment by the manufacturer on each unique combination of a vehicle’s footprint and model type. Standard equipment is defined in 40 CFR 86.1803. Basic vehicle frontal area is used as 
defined in 40 CFR 86.1803 for passenger automobiles, light trucks, medium duty passenger vehicles and Class 2b through 3 pickup trucks and vans. For heavy- duty tracts and vocational vehicles, it has the meaning given in 40 CFR 1037.801. 
Breakover angle means the 
supplement of the largest angle, in the plan side view of an automobile that can be formed by two lines tangent to the front and rear static loaded radii arcs and intersecting at a point on the underside of the automobile. 
Bus has the meaning given in 49 CFR 
571.3. 
Cab-complete vehicle means a vehicle 
that is first sold as an incomplete vehicle that substantially includes the vehicle cab section as defined in 40 CFR 1037.801. For example, vehicles known commercially as chassis-cabs, cab- chassis, box-deletes, bed-deletes, and cut-away vans are considered cab- complete vehicles. A cab includes a steering column and a passenger compartment. Note that a vehicle lacking some components of the cab is a cab-complete vehicle if it substantially includes the cab. 
Cargo-carrying volume means the 
luggage capacity or cargo volume index, as appropriate, and as those terms are defined in 40 CFR 600.315–08, in the case of automobiles to which either of these terms apply. With respect to automobiles to which neither of these terms apply, ‘‘cargo-carrying volume’’ means the total volume in cubic feet, rounded to the nearest 0.1 cubic feet, of either an automobile’s enclosed nonseating space that is intended primarily for carrying cargo and is not accessible from the passenger compartment, or the space intended primarily for carrying cargo bounded in the front by a vertical plane that is perpendicular to the longitudinal centerline of the automobile and passes through the rearmost point on the rearmost seat and elsewhere by the automobile’s interior surfaces. 
Class 2b vehicles are vehicles with a 
gross vehicle weight rating (GVWR) ranging from 8,501 to 10,000 pounds. 
Class 3 through Class 8 vehicles are 
vehicles with a gross vehicle weight rating (GVWR) of 10,001 pounds or more as defined in 49 CFR 565.15. 
Coach bus has the meaning given in 
40 CFR 1037.801. 
Commercial medium- and heavy-duty 
on-highway vehicle means an on- highway vehicle with a gross vehicle weight rating of 10,000 pounds or more as defined in 49 U.S.C. 32901(a)(7). 
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Complete vehicle has the meaning 
given to completed vehicle as defined in 
49 CFR 567.3. 
Concrete mixer has the meaning given 
in 40 CFR 1037.801. 
Curb weight has the meaning given in 
49 CFR 571.3. 
Dedicated vehicle has the same 
meaning as dedicated automobile as defined in 49 U.S.C. 32901(a)(8). 
Departure angle means the smallest 
angle, in a plane side view of an automobile, formed by the level surface on which the automobile is standing and a line tangent to the rear tire static loaded radius arc and touching the underside of the automobile rearward of the rear tire. 
Dual-fueled vehicle (multi-fuel, or 
flexible-fuel vehicle) has the same meaning as dual fueled automobile as defined in 49 U.S.C. 32901(a)(9). 
Electric vehicle means a vehicle that 
does not include an engine, and is powered solely by an external source of electricity and/or solar power. Note that this does not include electric hybrid or fuel-cell vehicles that use a chemical fuel such as gasoline, diesel fuel, or hydrogen. Electric vehicles may also be referred to as all-electric vehicles to distinguish them from hybrid vehicles. 
Emergency vehicle means one of the 
following: 
(1) For passenger cars, light trucks 
and medium duty passenger vehicles, emergency vehicle has the meaning given in 49 U.S.C. 32902(e). 
(2) For heavy-duty vehicles, 
emergency vehicle has the meaning given in 40 CFR 1037.801. 
Engine code has the meaning given in 
40 CFR 86.1803. 
Final stage manufacturer has the 
meaning given in 49 CFR 567.3. 
Fire truck has the meaning given in 40 
CFR 86.1803. 
Footprint is defined as the product of 
track width (measured in inches, calculated as the average of front and rear track widths, and rounded to the nearest tenth of an inch) times wheelbase (measured in inches and rounded to the nearest tenth of an inch), divided by 144 and then rounded to the nearest tenth of a square foot. For purposes of this definition, track width is the lateral distance between the centerlines of the base tires at ground, including the camber angle. For purposes of this definition, wheelbase is the longitudinal distance between front and rear wheel centerlines. 
Full-size pickup truck means a light 
truck or medium duty passenger vehicle that meets the requirements specified in 40 CFR 86.1866–12(e). 
Gross axle weight rating (GAWR) has 
the meaning given in 49 CFR 571.3. Gross combination weight rating 
(GCWR) has the meaning given in 49 
CFR 571.3. 
Gross vehicle weight rating (GVWR) 
has the meaning given in 49 CFR 571.3. 
Heavy-duty engine means any engine 
used for (or for which the engine manufacturer could reasonably expect to be used for) motive power in a heavy- duty vehicle. For purposes of this definition in this part, the term ‘‘engine’’ includes internal combustion engines and other devices that convert chemical fuel into motive power. For example, a fuel cell and motor used in a heavy-duty vehicle is a heavy-duty engine. Heavy duty-engines include those engines subject to the standards in 49 CFR part 535. 
Heavy-duty vehicle means a vehicle as 
defined in § 523.6. 
Hitch means a device attached to the 
chassis of a vehicle for towing. 
Incomplete vehicle has the meaning 
given in 49 CFR 567.3. 
Light truck means a non-passenger 
automobile meeting the criteria in § 523.5. 
Manufacturer has the meaning given 
in 49 U.S.C. 32901(a)(14). 
Medium duty passenger vehicle 
means a vehicle which would satisfy the criteria in § 523.5 (relating to light trucks) but for its gross vehicle weight rating or its curb weight, which is rated at more than 8,500 lbs GVWR or has a vehicle curb weight of more than 6,000 pounds or has a basic vehicle frontal area in excess of 45 square feet, and which is designed primarily to transport passengers, but does not include a vehicle that— 
(1) Is an ‘‘incomplete vehicle’’ ’ as 
defined in this subpart; or 
(2) Has a seating capacity of more 
than 12 persons; or 
(3) Is designed for more than 9 
persons in seating rearward of the driver’s seat; or 
(4) Is equipped with an open cargo 
area (for example, a pick-up truck box or bed) of 72.0 inches in interior length or more. A covered box not readily accessible from the passenger compartment will be considered an open cargo area for purposes of this definition. 
Mild hybrid gasoline-electric vehicle 
means a vehicle as defined by EPA in 40 CFR 86.1866–12(e). 
Motor home has the meaning given in 
49 CFR 571.3. 
Motor vehicle has the meaning given 
in 49 U.S.C. 30102. 
Passenger-carrying volume means the 
sum of the front seat volume and, if any, rear seat volume, as defined in 40 CFR 600.315–08, in the case of automobiles to which that term applies. With respect to automobiles to which that term does not apply, ‘‘passenger-carrying volume’’ means the sum in cubic feet, rounded to the nearest 0.1 cubic feet, of the volume of a vehicle’s front seat and seats to the rear of the front seat, as applicable, calculated as follows with the head room, shoulder room, and leg room dimensions determined in accordance with the procedures outlined in Society of Automotive Engineers Recommended Practice J1100, Motor Vehicle Dimensions (Report of Human Factors Engineering Committee, Society of Automotive Engineers, approved November 2009). 
(1) For front seat volume, divide 1,728 
into the product of the following SAE dimensions, measured in inches to the nearest 0.1 inches, and round the quotient to the nearest 0.001 cubic feet. 
(i) H61-Effective head room—front. 
(ii) W3-Shoulder room—front. (iii) L34-Maximum effective leg room- 
accelerator. 
(2) For the volume of seats to the rear 
of the front seat, divide 1,728 into the 
product of the following SAE dimensions, measured in inches to the nearest 0.1 inches, and rounded the quotient to the nearest 0.001 cubic feet. 
(i) H63-Effective head room—second. 
(ii) W4-Shoulder room—second. (iii) L51-Minimum effective leg 
room—second. 
Pickup truck means a non-passenger 
automobile which has a passenger 
compartment and an open cargo area (bed). 
Pintle hooks means a type of towing 
hitch that uses a tow ring configuration to secure to a hook or a ball combination for the purpose of towing. 
Recreational vehicle or RV means a 
motor vehicle equipped with living space and amenities found in a motor home. 
Refuse hauler has the meaning given 
in 40 CFR 1037.801. 
Running clearance means the distance 
from the surface on which an automobile is standing to the lowest point on the automobile, excluding unsprung weight. 
School bus has the meaning given in 
49 CFR 571.3. 
Static loaded radius arc means a 
portion of a circle whose center is the center of a standard tire-rim combination of an automobile and whose radius is the distance from that center to the level surface on which the automobile is standing, measured with the automobile at curb weight, the wheel parallel to the vehicle’s longitudinal centerline, and the tire inflated to the manufacturer’s recommended pressure. 
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Strong hybrid gasoline-electric vehicle 
means a vehicle as defined by EPA in 
40 CFR 86.1866–12(e). 
Temporary living quarters means a 
space in the interior of an automobile in which people may temporarily live and which includes sleeping surfaces, such as beds, and household conveniences, such as a sink, stove, refrigerator, or toilet. 
Transmission class has the meaning 
given in 40 CFR 600.002. 
Tranmission configuration has the 
meaning given in 40 CFR 600.002. 
Transmission type has the meaning 
given in 40 CFR 86.1803. 
Truck tractor has the meaning given 
in 49 CFR 571.3 and 49 CFR 535.5(c). This includes most heavy-duty vehicles specifically designed for the primary purpose of pulling trailers, but does not include vehicles designed to carry other loads. For purposes of this definition ‘‘other loads’’ would not include loads carried in the cab, sleeper compartment, or toolboxes. Examples of vehicles that are similar to tractors but that are not tractors under this part include dromedary tractors, automobile haulers, straight trucks with trailers hitches, and tow trucks. 
Van means a vehicle with a body that 
fully encloses the driver and a cargo carrying or work performing compartment. The distance from the leading edge of the windshield to the foremost body section of vans is typically shorter than that of pickup trucks and sport utility vehicles. 
Vocational tractor means a tractor that 
is classified as a vocational vehicle according to 40 CFR 1037.630 
Vocational vehicle (or heavy-duty 
vocational vehicle) has the meaning given in § 523.8 and 49 CFR 535.5(b). This includes any vehicle that is equipped for a particular industry, trade or occupation such as construction, heavy hauling, mining, logging, oil fields, refuse and includes vehicles such as school buses, motorcoaches and RVs. 
Work truck means a vehicle that is 
rated at more than 8,500 pounds and less than or equal to 10,000 pounds gross vehicle weight, and is not a medium-duty passenger vehicle as defined in 49 U.S.C. 32901(a)(19). 
■376. Revise § 523.6 to read as follows: 
§ 523.6 Heavy-duty vehicle. 
(a) A heavy-duty vehicle is any 
commercial medium or heavy-duty on- highway vehicle or a work truck, as defined in 49 U.S.C. 32901(a)(7) and (19). For the purpose of this section, heavy-duty vehicles are divided into four regulatory categories as follows: 
(1) Heavy-duty pickup trucks and 
vans; (2) Heavy-duty vocational vehicles; 
(3) Truck tractors with a GVWR above 
26,000 pounds; and 
(4) Heavy-duty trailers. (b) The heavy-duty vehicle 
classification does not include vehicles 
excluded as specified in 49 CFR 535.3. 
■377. Revise § 523.7 to read as follows: 
§ 523.7 Heavy-duty pickup trucks and 
vans. 
(a) Heavy-duty pickup trucks and 
vans are pickup trucks and vans with a 
gross vehicle weight rating between 8,501 pounds and 14,000 pounds (Class 2b through 3 vehicles) manufactured as complete vehicles by a single or final stage manufacturer or manufactured as incomplete vehicles as designated by a manufacturer. See references in 40 CFR 86.1801–12, 40 CFR 86.1819–17, 40 CFR 1037.150, and 49 CFR 535.5(a). 
(b) Heavy duty vehicles above 14,000 
pounds GVWR may be optionally certified as heavy-duty pickup trucks and vans and comply with fuel consumption standards in 49 CFR 535.5(a), if properly included in a test group with similar vehicles at or below 14,000 pounds GVWR. Fuel consumption standards apply to these vehicles as if they were Class 3 heavy- duty vehicles. The work factor for these vehicles may not be greater than the largest work factor that applies for vehicles in the test group that are at or below 14,000 pounds GVWR (see 40 CFR 86.1819–14). 
(c) Incomplete heavy-duty vehicles at 
or below 14,000 pounds GVWR may be optionally certified as heavy-duty pickup trucks and vans and comply with to the fuel consumption standards in 49 CFR 535.5(a). 
■378. Add § 523.10 to read as follows: 
§ 523.10 Heavy-duty trailers. 
(a) A trailer means a motor vehicle 
with or without motive power, designed for carrying cargo and for being drawn by another motor vehicle as defined in 49 CFR 571.3. For the purpose of this part, heavy-duty trailers include only those trailers designed to be drawn by a truck tractor excluding non-box trailers other than flatbed trailer, tanker trailers and container chassis and those that are coupled to vehicles exclusively by pintle hooks or hitches instead of a fifth wheel. Heavy-duty trailers may be divided into different types and categories as follows: 
(1) Box vans are trailers with enclosed 
cargo space that is permanently attached to the chassis, with fixed sides, nose, and roof. Tank trailers are not box vans. 
(2) Box van with front-mounted 
HVAC systems are refrigerated vans. Note that this includes systems that provide cooling, heating, or both. All other box vans are dry vans. 
(3) Trailers that are not box vans are 
non-box trailers. Note that the standards for non-box trailers in 49 CFR 535.5(e)(2) apply only to flatbed trailers, tank trailers, and container chassis. 
(4) Box van with a length greater than 
50 feet are long box vans. Other box vans are short box vans. 
(5) The following types of equipment 
are not trailers: 
(i) Containers that are not 
permanently mounted on chassis. 
(ii) Dollies used to connect tandem 
trailers. 
(iii) Equipment that serves similar 
purposes but are not intended to be pulled by a tractor. 
(b) Heavy-duty trailers do not include 
trailers excluded in 49 CFR 535.3. 
PART 534—RIGHTS AND 
RESPONSIBILITIES OF MANUFACTURERS IN THE CONTEXT OF CHANGES IN CORPORATE RELATIONSHIPS 
■379. Revise the authority citation for 
part 534 to read as follows: 
Authority: 49 U.S.C. 32901; delegation of 
authority at 49 CFR 1.95. 
■380. Add § 534.8 to read as follows: 
§ 534.8 Shared corporate relationships. 
(a) Vehicles and engines built by 
multiple manufacturers can share responsibility for complying with fuel consumption standards in 49 CFR part 535, by following the EPA requirements in 40 CFR 1037.620 and by sending a joint agreement between the parties to EPA and NHTSA before submitting any certificates of conformity for the applicable vehicles or engines in accordance with 40 CFR part 1036, subpart C, and 40 CFR part 1037, subpart C. 
(1) Each joint agreement must— 
(i) Define how each manufacturer 
shares responsibility for the planned 
vehicles or engines. 
(ii) Specify which manufacturer(s) 
will be responsible for the EPA certificates of conformity; 
(iii) Describe the planned vehicles 
and engines in terms of the model types, production volumes, and model years (if known); 
(iv) Describe which manufacturer(s) 
have engineering and design control and sale distribution ownership over the vehicles and/or engines; and 
(v) Include signatures from all parties 
involved in the shared corporate relationship. 
(2) After defining the shared 
relationship between the manufacturers, any contractual changes must be 
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notified to EPA and NHTSA before the 
next model year’s production of the applicable vehicles or engines begins. 
(3) Multiple manufacturers must 
designate the same shared responsibility for complying with fuel consumption standards as selected for GHG standards unless otherwise allowed by EPA and NHTSA. 
(b) NHTSA and EPA reserve the right 
to reject the joint agreement. 
■381. Revise part 535 to read as 
follows: 
PART 535 MEDIUM-AND HEAVY-DUTY 
VEHICLE FUEL EFFICIENCY PROGRAM 
Sec. 
535.1 Scope. 535.2 Purpose. 535.3 Applicability. 535.4 Definitions. 535.5 Standards. 535.6 Measurement and calculation 
procedures. 
535.7 Averaging, banking, and trading 
(ABT) credit program. 
535.8 Reporting and recordkeeping 
requirements. 
535.9 Enforcement approach. 
535.10 How do manufacturers comply with 
fuel consumption standards? 
Authority: 49 U.S.C. 32902 and 30101; 
delegation of authority at 49 CFR 1.95. 
§ 535.1 Scope. 
This part establishes fuel 
consumption standards pursuant to 49 
U.S.C. 32902(k) for work trucks and commercial medium- and heavy-duty on-highway vehicles, including trailers (hereafter referenced as heavy-duty vehicles), and engines manufactured for sale in the United States. This part establishes a credit program manufacturers may use to comply with standards and requirements for manufacturers to provide reports to the National Highway Traffic Safety Administration regarding their efforts to reduce the fuel consumption of heavy- duty vehicles and engines. 
§ 535.2 Purpose. 
The purpose of this part is to reduce 
the fuel consumption of new heavy-duty vehicles and engines by establishing maximum levels for fuel consumption standards while providing a flexible credit program to assist manufacturers in complying with standards. 
§ 535.3 Applicability. 
(a) This part applies to manufacturers 
that produce complete and incomplete heavy-duty vehicles as defined in 49 CFR part 523, and to the manufacturers of all heavy-duty engines manufactured for use in the applicable vehicles for each given model year. (b) This part also applies to alterers, 
final stage manufacturers, and intermediate manufacturers producing vehicles and engines or assembling motor vehicles or motor vehicle equipment under special conditions. Manufacturers comply with this part by following the special conditions in 40 CFR 1037.620, 1037.621, and 1037.622 in which EPA allows manufacturer to: 
(1) Share responsibility for the 
vehicles they produce. Manufacturers sharing responsibility for complying with emissions and fuel consumption standards must submit to the agencies a joint agreement as specified in 49 CFR 534.8(a); 
(2) Have certificate holders sell or 
ship vehicles that are missing certain emission-related components to be installed by secondary vehicle manufacturers; 
(3) Ship partially complete vehicles to 
secondary manufacturers; 
(4) Build electric vehicles; and 
(5) Build alternative fueled vehicles 
from all types of heavy duty engine 
conversions. The conversion manufacturer must: 
(i) Install alternative fuel conversion 
systems into vehicles acquired from vehicle manufacturers prior to first retail sale or prior to the vehicle’s introduction into interstate commerce. 
(ii) Be designated by the vehicle 
manufacturer and EPA to be the certificate holder. 
(iii) Omit alternative fueled vehicles 
from compliance with vehicle fuel consumption standards, if— 
(A) Excluded from EPA emissions 
standards; and 
(B) A reasonable technical basis exist 
that the modified vehicle continues to meet emissions and fuel consumption vehicle standards. 
(c) Vehicle and engine manufacturers 
that must comply with this part include manufacturers required to have approved certificates of conformity from EPA as specified in 40 CFR parts 86, 1036, and 1037. 
(d) The following heavy-duty vehicles 
and engines are excluded from the requirements of this part: 
(1) Vehicles and engines 
manufactured prior to January 1, 2014, unless certified early under NHTSA’s voluntary provisions in § 535.5. 
(2) Medium-duty passenger vehicles 
and other vehicles subject to the light- duty corporate average fuel economy standards in 49 CFR parts 531 and 533. 
(3) Recreational vehicles, including 
motor homes manufactured before January 1, 2021, except those produced by manufacturers voluntarily complying with NHTSA’s early vocational standards for model years 2013 through 2020. 
(4) Aircraft vehicles meeting the 
definition of ‘‘motor vehicle’’. For example, this would include certain convertible aircraft that can be adjusted to operate on public roads. 
(5) Heavy-duty trailers as defined in 
49 CFR 523.10 meeting one or more of the following criteria are excluded from trailer standards in § 535.5(e): 
(i) Trailers with four or more axles 
and trailers less than 35 feet long with three axles (i.e., trailers intended for 
hauling very heavy loads). 
(ii) Trailers intended for temporary or 
permanent residence, office space, or other work space, such as campers, mobile homes, and carnival trailers. 
(iii) Trailers with a gap of at least 120 
inches between adjacent axle centerlines. In the case of adjustable axle spacing, this refers to the closest possible axle positioning. 
(iv) Trailers built before January 1, 
2021, except those trailers built by manufacturers after January 1, 2018, and voluntarily complying with NHTSA’s early trailer standards for model years 2018 through 2020. 
(v) Note that the definition of ‘‘heavy- 
duty trailer’’ in 49 CFR 523.10 excludes equipment that serves similar purposes but are not intended to be pulled by a tractor. This exclusion applies to such equipment whether or not they are known commercially as trailers. For example, any equipment pulled by a heavy-duty vehicle with a pintle hook or hitch instead of a fifth wheel does not qualify as a trailer under this part. 
(6) Engines installed in heavy-duty 
vehicles that are not used to propel vehicles. Note, this includes engines used to indirectly propel vehicles (such as electrical generator engines that power to batteries for propulsion). 
(7) The provisions of this part do not 
apply to engines that are not internal combustion engines. For example, the provisions of this part do not apply to fuel cells. Note that gas turbine engines are internal combustion engines. 
(e) The following heavy-duty vehicles 
and engines are exempted from the requirements of this part: 
(1) Off-road vehicles. Vehicle 
manufacturers producing vehicles intended for off-road may exempt vehicles without requesting approval from the agencies subject to the criteria in § 535.5(b)(9)(i) and 40 CFR 1037.631(a). If unusual circumstances exist and a manufacturer is uncertain as to whether its vehicles qualify, the manufacturer should ask for a preliminary determination from the agencies before submitting its application for certification in 
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accordance with 40 CFR 1037.205 for 
the applicable vehicles. Send the request with supporting information to EPA and the agencies will coordinate in making a preliminary determination as specified in 40 CFR 1037.210. These decisions are considered to be preliminary approvals and subject to final review and approval. 
(2) Small business manufacturers. (i) 
For Phase 1, small business manufacturers are exempted from the vehicle and engine standards of § 535.5, but must comply with the reporting requirements of § 535.8(g). 
(ii) For Phase 2, fuel consumption 
standards apply on a delayed schedule for manufacturers meeting the small business criteria specified in 13 CFR 121.201 and in 40 CFR 86.1819– 14(k)(5), 40 CFR 1036.150, and 40 CFR 1037.150. Qualifying manufacturers of truck tractors, vocational vehicles, heavy duty pickups and vans, and engines are not subject to the fuel consumption standards for vehicles built before January 1, 2022 and engines (such as those engines built by small alternative fuel engine converters) with a date of manufacturer on or after November 14, 2011 and before January 1, 2022. Qualifying manufacturers may choose to voluntarily comply early. 
(iii) Small business manufacturers 
producing vehicles and engines that run on any fuel other than gasoline, E85, or diesel fuel meeting the criteria specified in 13 CFR 121.201 and in 40 CFR 86.1819–14(k)(5), 40 CFR 1036.150, and 40 CFR 1037.150 may delay complying with every new mandatory standard under this part by one model year. 
(3) Transitional allowances for 
trailers. Through model year 2026, 
trailer manufacturers may calculate a number of trailers that are exempt from the fuel consumption standards of this part. Calculate the number of exempt box vans in a given model year by multiplying the manufacturer’s total U.S.-directed production volume of certified box vans by 0.20 and rounding to the nearest whole number; however, in no case may the number of exempted box vans be greater than 350 units in any given model year. Repeat this calculation to determine the number of non-box trailers, up to 250 annual units, that are exempt from standards and certification requirements. Manufacturers perform the calculation based on their projected production volumes in the first year that standards apply; in later years, use actual production volumes from the preceding model year. Manufacturers must include these calculated values and the production volumes of exempt trailers in their annual production reports 
required under § 535.8(g)(12). 
(4) Engines for specialty vehicles. 
Engines certified to the alternative standards specified in 40 CFR 86.007– 11 and 86.008–10 for use in specialty vehicles as described in 40 CFR 1037.605. Compliance with the vehicle provisions in 40 CFR 1037.605 satisfies compliance for NHTSA under this part. 
(f) For model year 2021 and later, 
vocational vehicle manufacturers building custom chassis vehicles (e.g. 
emergency vehicles) may be exempted from standards in § 535.5(b)(4) and may comply with alternative fuel consumption standards as specified in § 535.5(b)(6). Manufacturers complying with alternative fuel consumption standards in § 535.5(b)(6) are restricted in using fuel consumption credits as specified in § 535.7(c). 
(g) The fuel consumption standards in 
some cases apply differently for spark- ignition and compression-ignition engines or vehicles as specified in 40 CFR parts 1036 and 1037. Engine requirements are similarly differentiated by engine type and by primary intended service class, as described in 40 CFR 1036.140. 
(h) NHTSA may exclude or exempt 
vehicles and engines under special conditions allowed by EPA in accordance with 40 CFR parts 85, 86, 1036, 1037, 1039, and 1068. Manufacturers should consult the agencies if uncertain how to apply any EPA provision under the NHTSA fuel consumption program. It is recommend that manufacturers seek clarification before producing a vehicle. Upon notification by EPA of a fraudulent use of an exemption, NHTSA reserves that right to suspend or revoke any exemption or exclusion. 
(i) In cases where there are differences 
between the application of this part and the corresponding EPA program regarding whether a vehicle is regulated or not (such as due to differences in applicability resulting from differing agency definitions, etc.), manufacturers should contact the agencies to identify these vehicles and assess the applicability of the agencies’ standards. The agencies will provide guidance on how the vehicles can comply. Manufacturers are required to identify these vehicles in their final reports submitted in accordance with § 535.8. 
§ 535.4 Definitions. 
The terms manufacture and 
manufacturer are used as defined in section 501 of the Act and the terms commercial medium-duty and heavy- duty on highway vehicle, fuel and work truck are used as defined in 49 U.S.C. 32901. See 49 CFR 523.2 for general definitions related to NHTSA’s fuel efficiency programs. 
Act means the Motor Vehicle 
Information and Cost Savings Act, as amended by Pub. L. 94–163 and 96–425. 
Administrator means the 
Administrator of the National Highway Traffic Safety Administration (NHTSA) or the Administrator’s delegate. 
Advanced technology means vehicle 
technology under this fuel consumption program in §§ 535.6 and 535.7 and by EPA under 40 CFR 86.1819–14(d)(7), 1036.615, or 1037.615. 
Alterers means a manufacturer that 
modifies an altered vehicle as defined in 49 CFR 567.3 
Alternative fuel conversion has the 
meaning given for clean alternative fuel conversion in 40 CFR 85.502. 
A to B testing has the meaning given 
in 40 CFR 1037.801. 
Automated manual transmission has 
the meaning given in 40 CFR 1037.801. 
Automatic tire inflation system has 
the meaning given in 40 CFR 1037.801. 
Automatic transmission (AT) has the 
meaning given in 40 CFR 1037.801. 
Auxiliary power unit has the meaning 
given in 40 CFR 1037.801. 
Averaging set means, a set of engines 
or vehicles in which fuel consumption credits may be exchanged. Credits generated by one engine or vehicle family may only be used by other respective engine or vehicle families in the same averaging set as specified in § 535.7 . Note that an averaging set may comprise more than one regulatory subcategory. The averaging sets for this HD program are defined as follows: 
(1) Heavy-duty pickup trucks and 
vans. 
(2) Light heavy-duty (LHD) vehicles. 
(3) Medium heavy-duty (MHD) 
vehicles. 
(4) Heavy heavy-duty (HHD) vehicles. (5) Light heavy-duty engines subject 
to compression-ignition standards. 
(6) Medium heavy-duty engines 
subject to compression-ignition 
standards. 
(7) Heavy heavy-duty engines subject 
to compression-ignition standards. 
(8) Engines subject to spark-ignition 
standards. 
(9) Long trailers. 
(10) Short trailers. (11) Vehicle types certifying to 
optional custom chassis standards as 
specified in § 535.5(b)(6) form separate averaging sets for each vehicle type as specified in § 535.7(c). 
Axle ratio or Drive axle ratio, k
ahas 
the meaning given in 40 CFR 1037.801. 
Basic vehicle frontal area has the 
meaning given in 40 CFR 1037.801. 
Cab-complete vehicle has the meaning 
given in 49 CFR 523.2. 
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Carryover has the meaning given in 40 
CFR 1037.801. 
Certificate holder means the 
manufacturer who holds the certificate 
of conformity for the vehicle or engine and that assigns the model year based on the date when its manufacturing operations are completed relative to its annual model year period. 
Certificate of Conformity means an 
approval document granted by EPA to a manufacturer that submits an application for a vehicle or engine emissions family in 40 CFR 1036.205 and 1037.205. A certificate of conformity is valid from the indicated effective date until December 31 of the model year for which it is issued. The certificate must be renewed annually for any vehicle a manufacturer continues to produce. 
Certification has the meaning given in 
40 CFR 1037.801. 
Certified emission level has the 
meaning given in 40 CFR 1036.801. 
Chassis-cab means the incomplete 
part of a vehicle that includes a frame, a completed occupant compartment and that requires only the addition of cargo- carrying, work-performing, or load- bearing components to perform its intended functions. 
Chief Counsel means the NHTSA 
Chief Counsel, or his or her designee. 
Class means relating to GVWR classes 
for vehicles other than trailers, as follows: 
(1) Class 2b vehicles are vehicles with 
a gross vehicle weight rating (GVWR) ranging from 8,501 to 10,000 pounds. 
(2) Class 3 through Class 8 vehicles 
are vehicles with a gross vehicle weight rating (GVWR) of 10,001 pounds or more as defined in 49 CFR 565.15. 
Complete sister vehicle is a complete 
vehicle of the same configuration as a cab-complete vehicle. 
Complete vehicle has the meaning 
given in 49 CFR part 523. 
Compression-ignition (CI) means 
relating to a type of reciprocating, internal-combustion engine, such as a diesel engine, that is not a spark- ignition engine. Note, in accordance with 40 CFR 1036.1, gas turbine engines and other engines not meeting the definition of compression-ignition are deemed to be compression-ignition engines for complying with fuel consumption standards. 
Configuration means a 
subclassification within a test group for passenger cars, light trucks and medium-duty passenger vehicles and heavy-duty pickup trucks and vans which is based on basic engine, engine code, transmission type and gear ratios, and final drive ratio. Container chassis trailer has the same 
meaning as container chassis in 40 CFR 1037.801. 
Curb weight has the meaning given in 
40 CFR 86.1803. 
Custom chassis vehicle means a 
vocational vehicle that is a motor home, school bus, refuse hauler, concrete mixer, emergency vehicle, mixed-use vehicle or other buses that are not school buses or motor coaches. These vehicle types are defined in 49 CFR 523.3. A ‘‘mixed-use vehicle’’ is one that meets at least one of the criteria specified in 40 CFR 1037.631(a)(1) or at least one of the criteria in 40 CFR 1037.631(a)(2), but not both. 
Date of manufacture means the date 
on which the certifying vehicle manufacturer completes its manufacturing operations, except as follows: 
(1) Where the certificate holder is an 
engine manufacturer that does not manufacture the complete or incomplete vehicle, the date of manufacture of the vehicle is based on the date assembly of the vehicle is completed. 
(2) EPA and NHTSA may approve an 
alternate date of manufacture based on the date on which the certifying (or primary) vehicle manufacturer completes assembly at the place of main assembly, consistent with the provisions of 40 CFR 1037.601 and 49 CFR 567.4. 
(3) A vehicle manufacturer that 
completes assembly of a vehicle at two or more facilities may ask to use as the month and year of manufacture, for that vehicle, the month and year in which manufacturing is completed at the place of main assembly, consistent with provisions of 49 CFR 567.4, as the model year. Note that such staged assembly is subject to the provisions of 40 CFR 1068.260(c). NHTSA’s allowance of this provision is effective when EPA approves the manufacturer’s certificates of conformity for these vehicles. 
Day cab has the meaning given in 40 
CFR 1037.801. 
Drayage tractor has the meaning given 
in 40 CFR 1037.801. 
Dual-clutch transmission (DCT) 
means a transmission has the meaning given in 40 CFR 1037.801. 
Dual-fuel has the meaning given in 40 
CFR 1037.801. 
Electric vehicle has the meaning given 
in 40 CFR 1037.801. 
Emergency vehicle means a vehicle 
that meets one of the criteria in 40 CFR 1037.801. 
Engine family has the meaning given 
in 40 CFR 1036.230. Manufacturers designate families in accordance with EPA provisions and may not choose different families between the NHTSA and EPA programs. 
Excluded means a vehicle or engine 
manufacturer or component is not required to comply with any aspects with the NHTSA fuel consumption program. 
Exempted means a vehicle or engine 
manufacturer or component is not required to comply with certain provisions of the NHTSA fuel consumption program. 
Family certification level (FCL) has 
the meaning given in 40 CFR 1036.801. 
Family emission limit (FEL) has the 
meaning given in 40 CFR 1037.801. 
Final drive ratio has the meaning 
given in 40 CFR 1037.801. 
Final-stage manufacturer has the 
meaning given in 49 CFR 567.3 and includes secondary vehicle manufacturers as defined in 40 CFR 1037.801. 
Flatbed trailer has the meaning given 
in 40 CFR 1037.801. 
Fleet in this part means all the heavy- 
duty vehicles or engines within each of the regulatory sub-categories that are manufactured by a manufacturer in a particular model year and that are subject to fuel consumption standards under §
535.5. 
Fleet average fuel consumption is the 
calculated average fuel consumption performance value for a manufacturer’s fleet derived from the production weighted fuel consumption values of the unique vehicle configurations within each vehicle model type that makes up that manufacturer’s vehicle fleet in a given model year. In this part, the fleet average fuel consumption value is determined for each manufacturer’s fleet of heavy-duty pickup trucks and vans. 
Fleet average fuel consumption 
standard is the actual average fuel 
consumption standard for a manufacturer’s fleet derived from the production weighted fuel consumption standards of each unique vehicle configuration, based on payload, tow capacity and drive configuration (2, 4 or all-wheel drive), of the model types that makes up that manufacturer’s vehicle fleet in a given model year. In this part, the fleet average fuel consumption standard is determined for each manufacturer’s fleet of heavy-duty pickup trucks and vans. 
Fuel cell means an electrochemical 
cell that produces electricity via the non-combustion reaction of a consumable fuel, typically hydrogen. 
Fuel cell electric vehicle means a 
motor vehicle propelled solely by an electric motor where energy for the motor is supplied by a fuel cell. 
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Fuel efficiency means the amount of 
work performed for each gallon of fuel 
consumed. 
Gaseous fuel has the meaning given in 
40 CFR 1037.801. 
Greenhouse gas Emissions Model 
(GEM) has the meaning given in 40 CFR 
1037.801. 
Gross axle weight rating (GAWR) has 
the meaning given in 49 CFR 571.3. 
Gross combination weight rating 
(GCWR) has the meaning given in 49 
CFR 571.3. 
Gross vehicle weight rating (GVWR) 
has the meaning given in 49 CFR 571.3. 
Good engineering judgment has the 
meaning given in 40 CFR 1068.30. See 40 CFR 1068.5 for the administrative process used to evaluate good engineering judgment. 
Heavy-duty off-road vehicle means a 
heavy-duty vocational vehicle or vocational tractor that is intended for off-road use. 
Heavy-duty vehicle has the meaning 
given in 49 CFR part 523. 
Heavy-haul tractor has the meaning 
given in 40 CFR 1037.801. 
Heavy heavy-duty (HHD) vehicle has 
the meaning given in vehicle service class. 
Hybrid engine or hybrid powertrain 
means an engine or powertrain that includes energy storage features other than a conventional battery system or conventional flywheel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems. Note that certain provisions in this part treat hybrid engines and powertrains intended for vehicles that include regenerative braking different than those intended for vehicles that do not include regenerative braking. 
Hybrid vehicle means a vehicle that 
includes energy storage features (other than a conventional battery system or conventional flywheel) in addition to an internal combustion engine or other engine using consumable chemical fuel. Supplemental electrical batteries and hydraulic accumulators are examples of hybrid energy storage systems Note that certain provisions in this part treat hybrid vehicles that include regenerative braking different than those that do not include regenerative braking. 
Idle operation has the meaning given 
in 40 CFR 1037.801. 
Incomplete vehicle has the meaning 
given in 49 CFR part 523. For the purpose of this regulation, a manufacturer may request EPA and NHTSA to allow the certification of a vehicle as an incomplete vehicle if it manufactures the engine and sells the unassembled chassis components, provided it does not produce and sell the body components necessary to complete the vehicle. 
Innovative technology means 
technology certified under § 535.7 and by EPA under 40 CFR 86.1819– 14(d)(13), 1036.610, and 1037.610 in the Phase 1 program. 
Intermediate manufacturer has the 
meaning given in 49 CFR 567.3. 
Light heavy-duty (LHD) vehicle has 
the meaning given in vehicle service class. 
Liquefied petroleum gas (LPG) has the 
meaning given in 40 CFR 1036.801. 
Low rolling resistance tire means a tire 
on a vocational vehicle with a tire rolling resistance level (TRRL) of 7.7 kg/ metric ton or lower, a steer tire on a tractor with a TRRL of 7.7 kg/metric ton or lower, or a drive tire on a tractor with a TRRL of 8.1 kg/metric ton or lower. 
Manual transmission (MT) has the 
meaning given in 40 CFR 1037.801. 
Medium heavy-duty (MHD) vehicle 
has the meaning given in vehicle service class. 
Model type has the meaning given in 
40 CFR 600.002. 
Model year as it applies to vehicles 
means: 
(1) For tractors and vocational 
vehicles with a date of manufacture on or after January 1, 2021, the vehicle’s model year is the calendar year corresponding to the date of manufacture; however, the vehicle’s model year may be designated to be the year before the calendar year corresponding to the date of manufacture if the engine’s model year is also from an earlier year. Note that subparagraph (2) of this definition limits the extent to which vehicle manufacturers may install engines built in earlier calendar years. Note that 40 CFR 1037.601(a)(2) limits the extent to which vehicle manufacturers may install engines built in earlier calendar years. 
(2) For trailers and for Phase 1 tractors 
and vocational vehicles with a date of manufacture before January 1, 2021, model year means the manufacturer’s annual new model production period, except as restricted under this definition. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. The model year may be set to match the calendar year corresponding to the date of manufacture. 
(i) The manufacturer who holds the 
certificate of conformity for the vehicle must assign the model year based on the date when its manufacturing operations are completed relative to its annual model year period. In unusual circumstances where completion of your assembly is delayed, we may allow you to assign a model year one year earlier, provided it does not affect which regulatory requirements will apply. 
(ii) Unless a vehicle is being shipped 
to a secondary manufacturer that will hold the certificate of conformity, the model year must be assigned prior to introduction of the vehicle into U.S. commerce. The certifying manufacturer must redesignate the model year if it does not complete its manufacturing operations within the originally identified model year. A vehicle introduced into U.S. commerce without a model year is deemed to have a model year equal to the calendar year of its introduction into U.S. commerce unless the certifying manufacturer assigns a later date. 
Model year as it applies to engines 
means the manufacturer’s annual new model production period, except as restricted under this definition. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. Manufacturers may not adjust model years to circumvent or delay compliance with emission standards or to avoid the obligation to certify annually. 
Natural gas has the meaning given in 
40 CFR 1036.801. Vehicles that use a pilot-ignited natural gas engine (which uses a small diesel fuel ignition system), are still considered natural gas vehicles. 
NHTSA Enforcement means the 
NHTSA Associate Administrator for Enforcement, or his or her designee. 
Neutral coasting has the meaning 
given in 40 CFR 1037.801. 
Off-cycle technology means 
technology certified under § 535.7 and by EPA under 40 CFR 86.1819– 14(d)(13), 1036.610, and 1037.610 in the Phase 2 program. 
Party means the person alleged to 
have committed a violation of §
535.9, 
and includes manufacturers of vehicles and manufacturers of engines. 
Payload means in this part the 
resultant of subtracting the curb weight from the gross vehicle weight rating. 
Petroleum has the meaning given in 
40 CFR 1037.801. 
Phase 1 means the joint NHTSA and 
EPA program established in 2011 for fuel efficiency standards and greenhouse gas emissions standards regulating medium- and heavy-duty engines and vehicles. See § 535.5 for the specific model years that standards apply to vehicles and engines. 
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Phase 2 means the joint NHTSA and 
EPA program established in 2016 for 
fuel efficiency standards and greenhouse gas emissions standards regulating medium- and heavy-duty vehicles including trailers, and engines. See § 535.5 for the specific model years that standards apply to vehicles and engines. 
Pickup truck has the meaning given in 
49 CFR part 523. 
Plug-in hybrid electric vehicle (PHEV) 
means a hybrid electric vehicle that has the capability to charge the battery or batteries used for vehicle propulsion from an off-vehicle electric source, such that the off-vehicle source cannot be 
connected to the vehicle while the vehicle is in motion. 
Power take-off (PTO) means a 
secondary engine shaft or other system on a vehicle that provides substantial auxiliary power for purposes unrelated to vehicle propulsion or normal vehicle accessories such as air conditioning, power steering, and basic electrical accessories. A typical PTO uses a secondary shaft on the engine to transmit power to a hydraulic pump that powers auxiliary equipment such as a boom on a bucket truck. 
Powertrain family has the meaning 
given in 40 CFR 1037.231. Manufacturers choosing to perform powertrain testing as specified in 40 CFR 1037.550, divide product lines into powertrain families that are expected to have similar fuel consumptions and CO
2 
emission characteristics throughout the useful life. 
Preliminary approval means approval 
granted by an authorized EPA representative prior to submission of an application for certification, consistent with the provisions of 40 CFR 1037.210. For requirements involving NHTSA, EPA will ensure decisions are jointly made and will convey the decision to the manufacturer. 
Primary intended service class has the 
same meaning for engines as specified in 40 CFR 1036.140. Manufacturers must identify a single primary intended service class for each engine family that best describes vehicles for which it designs and markets the engine, as follows: 
(1) Divide compression-ignition 
engines into primary intended service classes based on the following engine and vehicle characteristics: (i) Light heavy-duty ‘‘LHD’’ engines 
usually are not designed for rebuild and 
do not have cylinder liners. Vehicle body types in this group might include any heavy-duty vehicle built from a light-duty truck chassis, van trucks, multi-stop vans, and some straight trucks with a single rear axle. Typical applications would include personal transportation, light-load commercial delivery, passenger service, agriculture, and construction. The GVWR of these vehicles is normally below 19,500 pounds. 
(ii) Medium heavy-duty ‘‘MHD’’ 
engines may be designed for rebuild and may have cylinder liners. Vehicle body types in this group would typically include school buses, straight trucks with single rear axles, city tractors, and a variety of special purpose vehicles such as small dump trucks, and refuse trucks. Typical applications would include commercial short haul and 
intra-city delivery and pickup. Engines in this group are normally used in vehicles whose GVWR ranges from 19,500 to 33,000 pounds. 
(iii) Heavy heavy-duty ‘‘HHD’’ 
engines are designed for multiple rebuilds and have cylinder liners. Vehicles in this group are normally tractors, trucks, straight trucks with dual rear axles, and buses used in inter-city, long-haul applications. These vehicles normally exceed 33,000 pounds GVWR. 
(2) Divide spark-ignition engines into 
primary intended service classes as follows: 
(i) Spark-ignition engines that are best 
characterized by paragraph (1)(i) or (ii) of this definition are in a separate ‘‘spark-ignition’’ primary intended service class. 
(ii) Spark-ignition engines that are 
best characterized by paragraph (1)(iii) of this definition share a primary intended service class with compression-ignition heavy heavy-duty engines. Gasoline-fueled engines are presumed not to be characterized by paragraph (1)(iii) of this definition; for example, vehicle manufacturers may install some number of gasoline-fueled engines in Class 8 trucks without causing the engine manufacturer to consider those to be heavy heavy-duty engines. 
(iii) References to ‘‘spark-ignition 
standards’’ in this part relate only to the spark-ignition engines identified in paragraph (b)(1) of this section. References to ‘‘compression-ignition standards’’ in this part relate to compression-ignition engines, to spark- ignition engines optionally certified to standards that apply to compression- ignition engines, and to all engines identified under paragraph (b)(2) of this section as heavy heavy-duty engines. 
Rechargeable Energy Storage System 
(RESS) means the component(s) of a 
hybrid engine or vehicle that store recovered energy for later use, such as the battery system in a electric hybrid vehicle. 
Refuse hauler has the meaning given 
in 40 CFR 1037.801. 
Regional has the meaning relating to 
the Regional duty cycle as specified in 40 CFR 1037.510. 
Regulatory category means each of the 
four types of heavy-duty vehicles defined in 49 CFR 523.6 and the heavy- duty engines used in these heavy-duty vehicles. 
Regulatory subcategory means the 
sub-groups in each regulatory category to which mandatory fuel consumption standards and requirements apply as specified in 40 CFR 1036.230 and 1037.230 and are defined as follows: 
(1) Heavy-duty pick-up trucks and 
vans. 
(2) Vocational vehicle subcategories 
have 18 separate vehicle service classes as shown in Tables 1 and 2 below and include vocational tractors. Table 1 includes vehicles complying with Phase 1 standards. Phase 2 vehicles are included in Table 2 which have separate subcategories to account for engine characteristics, GVWR, and the selection of duty cycle for vocational vehicles as specified in 40 CFR 1037.510; vehicles may additionally fall into one of the subcategories defined by the custom- chassis standards in § 535.5(b)(6) and 40 1037.105(h). Manufacturers using the alternate standards in § 535.5(b)(6) and 40 CFR 1037.105(h) should treat each vehicle type as a separate vehicle subcategory. 
TABLE 1—P HASE 1 VOCATIONAL  
VEHICLE SUBCATEGORIES  
Vocational LHD vehicles. 
Vocational MHD vehicles. Vocational HHD vehicles. 
TABLE 2—P HASE 2 VOCATIONAL VEHICLE SUBCATEGORIES  
Engine type Vocational LHD vehicles Vocational MHD vehicles Vocational HHD vehicles 
CI ................................................... Urban ............................................ Urban ............................................ Urban. 
CI ................................................... Multi-Purpose ................................ Multi-Purpose ................................ Multi-Purpose. 
CI ................................................... Regional ........................................ Regional ........................................ Regional. 
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TABLE 2—P HASE 2 VOCATIONAL VEHICLE SUBCATEGORIES —Continued 
Engine type Vocational LHD vehicles Vocational MHD vehicles Vocational HHD vehicles 
SI .................................................... Urban ............................................ Urban ............................................ NA. 
SI .................................................... Multi-Purpose ................................ Multi-Purpose ................................ NA. 
SI .................................................... Regional ........................................ Regional ........................................ NA. 
(3) Tractor subcategories are shown in 
Table 3 below for Phase 1 and 2. Table 3 includes 10 separate subcategories for 
tractors complying with Phase 1 and 2 standards. The heavy-haul tractor subcategory only applies for Phase 2. 
TABLE 3—P HASE 1 AND2 TRUCK TRACTOR SUBCATEGORIES  
Class 7 Class 8 day cabs Class 8 sleeper cabs 
Low-roof tractors ................................................ Low-roof day cab tractors ................................ Low-roof sleeper cab tractors. 
Mid-roof tractors ................................................. Mid-roof day cab tractors ................................. Mid-roof sleeper cab tractors. 
High-roof tractors ............................................... High-roof day cab tractors ................................ High-roof sleeper cab tractors. 
NA ...................................................................... Heavy-haul tractors (applies only to Phase 2 program). 
(4) Trailer subcategories are shown in 
Table 4 of this section for the Phase 2 program. Trailers do not comply under the Phase 1 program. Table 4 includes 
10 separate subcategories for trailers, which are only subject to Phase 2 only standards. 
TABLE 4—T RAILER SUBCATEGORIES  
Full-aero trailers Partial-aero trailers Other trailers 
Long box dry vans ............................................. Long box dry vans ............................................ Non-aero box vans. 
Short box dry vans ............................................ Short box dry vans ........................................... Non-box trailers. 
Long box refrigerated vans ................................ Long box refrigerated vans .............................. NA. 
Short box refrigerated vans ............................... Short box refrigerated vans .............................. NA. 
(5) Engine subcategories are shown for 
each primary intended service class in Table 5 below. Table 5 includes 6 
separate subcategories for engines which are the same for Phase 1 and 2 standards. 
TABLE 5—E NGINE SUBCATEGORIES  
LHD engines MHD engines HHD engines 
CI engines for vocational vehicles ..................... CI engines for vocational vehicles ................... CI engines for vocational vehicles. 
NA ...................................................................... CI engines for truck tractors ............................. CI engines for truck tractors. 
All spark-ignition engines ................................... NA. 
Revoke has the same meaning given in 
40 CFR 1068.30. 
Roof height means the maximum 
height of a vehicle (rounded to the nearest inch), excluding narrow accessories such as exhaust pipes and antennas, but including any wide accessories such as roof fairings. Measure roof height of the vehicle configured to have its maximum height that will occur during actual use, with properly inflated tires and no driver, passengers, or cargo onboard. Determine the base roof height on fully inflated tires having a static loaded radius equal to the arithmetic mean of the largest and smallest static loaded radius of tires a manufacturer offers or a standard tire EPA approves. If a vehicle is equipped with an adjustable roof fairing, measure the roof height with the fairing in its lowest setting. Once the maximum height is determined, roof heights are divided into the following categories: 
(1) Low-roof means a vehicle with a 
roof height of 120 inches or less. 
(2) Mid-roof means a vehicle with a 
roof height between 121 and 147 inches. 
(3) High-roof means a vehicle with a 
roof height of 148 inches or more. 
Secondary vehicle manufacturer has 
the same meaning as final-stage manufacturer in 49 CFR part 567. 
Service class group means a group of 
engine and vehicle averaging sets defined as follows: 
(1) Spark-ignition engines, light 
heavy-duty compression-ignition engines, light heavy-duty vocational vehicles and heavy-duty pickup trucks and vans. (2) Medium heavy-duty compression- 
ignition engines and medium heavy- duty vocational vehicles and tractors. 
(3) Heavy heavy-duty compression- 
ignition engines and heavy heavy-duty vocational vehicles and tractors. 
Sleeper cab means a type of truck cab 
that has a compartment behind the driver’s seat intended to be used by the driver for sleeping. This includes both cabs accessible from the driver’s compartment and those accessible from outside the vehicle. 
Small business manufacturer means a 
manufacturer meeting the criteria specified in 13 CFR 121.201. For manufacturers owned by a parent company, the employee and revenue limits apply to the total number employees and total revenue of the parent company and all its subsidiaries. 
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Spark-ignition (SI) means relating to a 
gasoline-fueled engine or any other type 
of engine with a spark plug (or other sparking device) and with operating characteristics significantly similar to the theoretical Otto combustion cycle. Spark-ignition engines usually use a throttle to regulate intake air flow to control power during normal operation. Note that some spark-ignition engines are subject to requirements that apply for compression-ignition engines as described in 40 CFR 1036.140. 
Standard payload means the payload 
assumed for each vehicle, in tons, for modeling and calculating emission credits, as follows: 
(1) For vocational vehicles: 
(i) 2.85 tons for light heavy-duty 
vehicles. 
(ii) 5.6 tons for medium heavy-duty 
vehicles. 
(iii) 7.5 tons for heavy heavy-duty 
vocational vehicles. 
(2) For tractors: (i) 12.5 tons for Class 7. (ii) 19 tons for Class 8. (iii) 43 tons for heavy-haul tractors. (3) For trailers: (i) 10 tons for short box vans. (ii) 19 tons for other trailers. Standard tractor has the meaning 
given in 40 CFR 1037.501. 
Standard trailer has the meaning 
given in 40 CFR 1037.501. 
Subconfiguration means a unique 
combination within a vehicle 
configuration of equivalent test weight, road-load horsepower, and any other operational characteristics or parameters that EPA determines may significantly affect CO
2emissions within a vehicle 
configuration as defined in 40 CFR 600.002. 
Tank trailer has the meaning given in 
40 CFR 1037.801. 
Test group means the multiple vehicle 
lines and model types that share critical emissions and fuel consumption related features and that are certified as a group by a common certificate of conformity issued by EPA and is used collectively with other test groups within an averaging set or regulatory subcategory and is used by NHTSA for determining the fleet average fuel consumption. 
The agencies means the National 
Highway Traffic Safety Administration (NHTSA) and the Environmental Protection Agency (EPA) in this part. 
Tire pressure monitoring system 
(TPMS) has the meaning given in 
section S3 of 49 CFR 571.138. 
Tire rolling resistance level (TRRL) 
means a value with units of kg/metric ton that represents that rolling resistance of a tire configuration. TRRLs are used as inputs to the GEM model under 40 CFR 1037.520. Note that a manufacturer may assign a value higher 
than a measured rolling resistance of a tire configuration. 
Towing capacity in this part is equal 
to the resultant of subtracting the gross vehicle weight rating from the gross combined weight rating. 
Trade means to exchange fuel 
consumption credits, either as a buyer or a seller. 
U.S.-directed production volume 
means the number of vehicle units, subject to the requirements of this part, produced by a manufacturer for which the manufacturer has a reasonable assurance that sale was or will be made to ultimate purchasers in the United States. 
Useful life has the meaning given in 
40 CFR 1036.801 and 1037.801. 
Vehicle configuration means a unique 
combination of vehicle hardware and 
calibration (related to measured or modeled emissions) within a vehicle family as specified in 40 CFR 1037.801. Vehicles with hardware or software differences, but that have no hardware or software differences related to measured or modeled emissions or fuel consumption can be included in the same vehicle configuration. Note that vehicles with hardware or software differences related to measured or modeled emissions or fuel consumption are considered to be different configurations even if they have the same GEM inputs and FEL. Vehicles within a vehicle configuration differ only with respect to normal production variability or factors unrelated to measured or modeled emissions and fuel consumption for EPA and NHTSA. 
Vehicle family has the meaning given 
in 40 CFR 1037.230. Manufacturers designate families in accordance with EPA provisions and may not choose different families between the NHTSA and EPA programs. If a manufacturer is certifying vehicles within a vehicle family to more than one FEL, it must subdivide its greenhouse gas and fuel consumption vehicle families into subfamilies that include vehicles with identical FELs. Note that a manufacturer may add subfamilies at any time during the model year. 
Vehicle service class has the same 
meaning for vehicles as specified in 40 CFR 1037.140. Fuel consumption standards and other provisions of this part apply to specific vehicle service classes for tractors and vocational vehicles as follows: 
(1) Phase 1 and Phase 2 tractors are 
divided based on GVWR into Class 7 tractors and Class 8 tractors. Where provisions apply to both tractors and vocational vehicles, Class 7 tractors are considered medium heavy-duty ‘‘MHD’’ vehicles and Class 8 tractors are considered heavy heavy-duty ‘‘HHD’’ vehicles. 
(2) Phase 1 vocational vehicles are 
divided based on GVWR. Light heavy- duty ‘‘LHD’’ vehicles includes Class 2b through Class 5 vehicles; medium heavy-duty ‘‘MHD’’ vehicles includes Class 6 and Class 7 vehicles; and heavy heavy-duty ‘‘HHD’’ vehicles includes Class 8 vehicles. 
(3) Phase 2 vocational vehicles with 
spark-ignition engines are divided based on GVWR. Light heavy-duty ‘‘LHD’’ vehicles includes Class 2b through Class 5 vehicles, and medium heavy-duty ‘‘MHD’’ vehicles includes Class 6 through Class 8 vehicles. 
(4) Phase 2 vocational vehicles with 
compression-ignition engines are divided as follows: 
(i) Class 2b through Class 5 vehicles 
are considered light heavy-duty ‘‘LHD’’ vehicles. 
(ii) Class 6 through 8 vehicles are 
considered heavy heavy-duty ‘‘HHD’’ vehicles if the installed engine’s primary intended service class is heavy heavy-duty (see 40 CFR 1036.140). All other Class 6 through Class 8 vehicles are considered medium heavy-duty ‘‘MHD’’ vehicles. 
(5) In certain circumstances, 
manufacturers may certify vehicles to standards that apply for a different vehicle service class such as allowed in § 535.5(b)(6) and (c)(7). If manufacturers optionally certify vehicles to different standards, those vehicles are subject to all the regulatory requirements as if the standards were mandatory. 
Vehicle subfamily or subfamily means 
a subset of a vehicle family including vehicles subject to the same FEL(s). 
Vocational tractor has the meaning 
given in 40 CFR 1037.801. 
Zero emissions vehicle means an 
electric vehicle or a fuel cell vehicle. 
§ 535.5 Standards. 
(a) Heavy-duty pickup trucks and 
vans. Each manufacturer’s fleet of 
heavy-duty pickup trucks and vans shall comply with the fuel consumption standards in this paragraph (a) expressed in gallons per 100 miles. Each vehicle must be manufactured to comply for its full useful life. For the Phase 1 program, if the manufacturer’s fleet includes conventional vehicles (gasoline, diesel and alternative fueled vehicles) and advanced technology vehicles (hybrids with powertrain designs that include energy storage systems, vehicles with waste heat recovery, electric vehicles and fuel cell vehicles), it may divide its fleet into two separate fleets each with its own separate fleet average fuel consumption 
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standard which the manufacturer must 
comply with the requirements of this paragraph (a). For Phase 2, manufacturers may calculate their fleet average fuel consumption standard for a conventional fleet and multiple advanced technology vehicle fleets. Advanced technology vehicle fleets 
should be separated into plug-in hybrid electric vehicles, electric vehicles and fuel cell vehicles. NHTSA standards correspond to the same requirements for EPA as specified in 40 CFR 86.1819–14. 
(1) Mandatory standards. For model 
years 2016 and later, each manufacturer must comply with the fleet average standard derived from the unique subconfiguration target standards (or groups of subconfigurations approved by EPA in accordance with 40 CFR 86.1819) of the model types that make up the manufacturer’s fleet in a given model year. Each subconfiguration has a unique attribute-based target standard, defined by each group of vehicles having the same payload, towing capacity and whether the vehicles are 
equipped with a 2-wheel or 4-wheel drive configuration. Phase 1 target standards apply for model years 2016 through 2020. Phase 2 target standards apply for model year 2021 and 
afterwards. 
(2) Subconfiguration target standards. 
(i) Two alternatives exist for determining the subconfiguration target standards for Phase 1. For each alternative, separate standards exist for compression-ignition and spark-ignition vehicles: 
(A) The first alternative allows 
manufacturers to determine a fixed fuel consumption standard that is constant over the model years; and 
(B) The second alternative allows 
manufacturers to determine standards that are phased-in gradually each year. 
(ii) Calculate the subconfiguration 
target standards as specified in this paragraph (a)(2)(ii), using the appropriate coefficients from Table 6 choosing between the alternatives in paragraph (a)(2)(i) of this section. For electric or fuel cell heavy-duty vehicles, use compression-ignition vehicle coefficients ‘‘c’’ and ‘‘d’’ and for hybrid (including plug-in hybrid), dedicated and dual-fueled vehicles, use coefficients ‘‘c’’ and ‘‘d’’ appropriate for the engine type used. Round each standard to the nearest 0.001 gallons per 100 miles and specify all weights in pounds rounded to the nearest pound. Calculate the subconfiguration target standards using the following equation: 
Subconfiguration Target Standard 
(gallons per 100 miles) = [c × (WF)] 
+ d 
Where: 
WF = Work Factor = [0.75 x (Payload 
Capacity + Xwd)] + [0.25 x Towing 
Capacity] 
Xwd = 4wd Adjustment = 500 lbs if the 
vehicle group is equipped with 4wd and all-wheel drive, otherwise equals 0 lbs for 2wd. 
Payload Capacity = GVWR (lbs)—Curb 
Weight (lbs) (for each vehicle group) 
Towing Capacity = GCWR (lbs)—GVWR (lbs) 
(for each vehicle group) 
TABLE 6—C OEFFICIENTS FOR MANDATORY SUBCONFIGURATION TARGET STANDARDS  
Model Year(s) c d 
Phase 1 Alternative 1—Fixed Target Standards 
CI Vehicle Coefficients 
2016 to 2018 ................................................................................................................... ......................................... 0.0004322 3.330 
2019 to 2020 ................................................................................................................... ......................................... 0.0004086 3.143 
SI Vehicle Coefficients 
2016 to 2017 ................................................................................................................... ......................................... 0.0005131 3.961 
2018 to 2020 ................................................................................................................... ......................................... 0.0004086 3.143 
Phase 1 Alternative 2—Phased-in Target Standards 
CI Vehicle Coefficients 
2016 ........................................................................................................................... .............................................. 0.0004519 3.477 
2017 ........................................................................................................................... .............................................. 0.0004371 3.369 
2018 to 2020 ................................................................................................................... ......................................... 0.0004086 3.143 
SI Vehicle Coefficients 
2016 ........................................................................................................................... .............................................. 0.0005277 4.073 
2017 ........................................................................................................................... .............................................. 0.0005176 3.983 
2018 to 2020 ................................................................................................................... ......................................... 0.0004951 3.815 
Phase 2—Fixed Target Standards 
CI Vehicle Coefficients 
2021 ........................................................................................................................... .............................................. 0.0003988 3.065 
2022 ........................................................................................................................... .............................................. 0.0003880 2.986 
2023 ........................................................................................................................... .............................................. 0.0003792 2.917 
2024 ........................................................................................................................... .............................................. 0.0003694 2.839 
2025 ........................................................................................................................... .............................................. 0.0003605 2.770 
2026 ........................................................................................................................... .............................................. 0.0003507 2.701 
2027 and later ................................................................................................................. ......................................... 0.0003418 2.633 
SI Vehicle Coefficients 
2021 ........................................................................................................................... .............................................. 0.0004827 3.725 
2022 ........................................................................................................................... .............................................. 0.0004703 3.623 
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TABLE 6—C OEFFICIENTS FOR MANDATORY SUBCONFIGURATION TARGET STANDARDS —Continued 
Model Year(s) c d 
2023 ........................................................................................................................... .............................................. 0.0004591 3.533 
2024 ........................................................................................................................... .............................................. 0.0004478 3.443 
2025 ........................................................................................................................... .............................................. 0.0004366 3.364 
2026 ........................................................................................................................... .............................................. 0.0004253 3.274 
2027 and later ................................................................................................................. ......................................... 0.0004152 3.196 
(3) Fleet average fuel consumption 
standard. (i) For the Phase 1 program, 
calculate each manufacturer’s fleet 
average fuel consumption standard for a conventional fleet and a combined advanced technology fleet separately based on the subconfiguration target standards specified in paragraph (a)(2) of this section, weighted to production volumes and averaged using the following equation combining all the applicable vehicles in a manufacturer’s U.S.-directed fleet (compression- 
ignition, spark-ignition and advanced technology vehicles) for a given model year, rounded to the nearest 0.001 gallons per 100 miles: 
Where: 
Subconfiguration Target Standard i= fuel 
consumption standard for each group of 
vehicles with same payload, towing capacity and drive configuration (gallons per 100 miles). 
Volume
i= production volume of each unique 
subconfiguration of a model type based upon payload, towing capacity and drive configuration. 
(A) A manufacturer may group 
together subconfigurations that have the same test weight (ETW), GVWR, and GCWR. Calculate work factor and target value assuming a curb weight equal to two times ETW minus GVWR. 
(B) A manufacturer may group 
together other subconfigurations if it uses the lowest target value calculated for any of the subconfigurations. 
(ii) For Phase 1, manufacturers must 
select an alternative for subconfiguration target standards at the 
same time they submit the model year 2016 pre-model year Report, specified in § 535.8. Once selected, the decision cannot be reversed and the manufacturer must continue to comply with the same alternative for subsequent model years. 
(4) Voluntary standards. (i) 
Manufacturers may choose voluntarily to comply early with fuel consumption standards for model years 2013 through 2015, as determined in paragraphs (a)(4)(iii) and (iv) of this section, for example, in order to begin accumulating credits through over-compliance with the applicable standard. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufactures in each regulatory category for a given model year. (ii) A manufacturer must declare its 
intent to voluntarily comply with fuel 
consumption standards at the same time it submits a Pre-Model Report, prior to the compliance model year beginning as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufactures in each regulatory category for a given model year. 
(iii) Calculate separate 
subconfiguration target standards for compression-ignition and spark-ignition vehicles for model years 2013 through 2015 using the equation in paragraph (a)(2)(ii) of this section, substituting the appropriate values for the coefficients in the following table as appropriate: 
TABLE 7—C OEFFICIENTS FOR VOLUNTARY SUBCONFIGURATION TARGET STANDARDS  
Model Year(s) c d 
CI Vehicle Coefficients 
2013 and 14 .................................................................................................................... ................................. 0.0004695 3.615 
2015 ........................................................................................................................... ...................................... 0.0004656 3.595 
SI Vehicle Coefficients 
2013 and 14 .................................................................................................................... ................................. 0.0005424 4.175 
2015 ........................................................................................................................... ...................................... 0.0005390 4.152 
(iv) Calculate the fleet average fuel 
consumption standards for model years 
2013 through 2015 using the equation in paragraph (a)(3) of this section. 
(5) Exclusion of vehicles not certified 
as complete vehicles. The vehicle standards in paragraph (a) of this section do not apply for vehicles that are chassis-certified with respect to EPA’s criteria pollutant test procedure 
in 40 CFR part 86, subpart S. Any chassis-certified vehicles must comply with the vehicle standards and requirements of paragraph (b) of this section and the engine standards of paragraph (d) of this section for engines used in these vehicles. A vehicle manufacturer choosing to comply with this paragraph and that is not the engine 
manufacturer is required to notify the engine manufacturers that their engines are subject to paragraph (d) of this section and that it intends to use their engines in excluded vehicles. 
(6) Optional certification under this 
section. Manufacturers may certify 
certain complete or cab-complete 
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vehicles to the fuel consumption 
standards of this section. All vehicles optionally certified under this paragraph (6) are deemed to be subject to the fuel consumption standards of this section given the following conditions: 
(i) For fuel consumption compliance, 
manufacturers may certify any complete or cab-complete spark-ignition vehicles above 14,000 pounds GVWR and at or below 26,000 pounds GVWR to the fuel consumption standards of this section. 
(ii) Manufacturers may apply the 
provisions of this section to cab- complete vehicles based on a complete sister vehicle. In unusual circumstances, manufacturers may ask the agencies to apply these provisions to Class 2b or 
Class 3 incomplete vehicles that do not meet the definition of cab-complete. 
(A) Except as specified in paragraph 
(a)(6)(iii) of this section, for purposes of this section, a complete sister vehicle is a complete vehicle of the same vehicle configuration as the cab-complete vehicle. A manufacturer may not apply the provisions of this paragraph (6) to any vehicle configuration that has a four-wheel rear axle if the complete sister vehicle has a two-wheel rear axle. 
(B) Calculate the target value for the 
fleet-average fuel consumption standard under paragraph (a)(3) of this section based on the work factor value that applies for the complete sister vehicle. 
(C) Test these cab-complete vehicles 
using the same equivalent test weight and other dynamometer settings that apply for the complete vehicle from which you used the work factor value (the complete sister vehicle). For fuel consumption certification, manufacturers may submit the test data from that complete sister vehicle instead of performing the test on the cab- complete vehicle. 
(D) Manufacturers are not required to 
produce the complete sister vehicle for sale to use the provisions of this paragraph (a)(6)(ii). This means the complete sister vehicle may be a carryover vehicle from a prior model year or a vehicle created solely for the purpose of testing. 
(iii) For fuel consumption purposes, if 
a cab-complete vehicle is not of the same vehicle configuration as a complete sister vehicle due only to certain factors unrelated to coastdown performance, manufacturers may use the road-load coefficients from the complete sister vehicle for certification testing of the cab-complete vehicle, but it may not use fuel consumption data from the complete sister vehicle for certifying the cab-complete vehicle. 
(7) Loose engines. For model year 
2023 and earlier spark-ignition engines with identical hardware compared with 
engines used in vehicles certified to the standards of this section, where such engines are sold as loose engines or as engines installed in incomplete vehicles that are not cab-complete vehicles. Manufacturers may certify such engines to the standards of this section, subject to the following provisions: 
(i) For 2020 and earlier model years, 
the maximum allowable U.S.-directed production volume of engines manufacturers may sell under this paragraph (7) in any given model year is ten percent of the total U.S-directed production volume of engines of that design that the manufacturer produces for heavy-duty applications for that model year, including engines it produces for complete vehicles, cab- complete vehicles, and other incomplete vehicles. The total number of engines a manufacturer may certify under this paragraph (7), of all engine designs, may not exceed 15,000 in any model year. Engines produced in excess of either of these limits are not covered by your certificate. For example, a manufacturer produces 80,000 complete model year 2017 Class 2b pickup trucks with a certain engine and 10,000 incomplete model year 2017 Class 3 vehicles with that same engine, and the manufacturer did not apply the provisions of this paragraph (a)(7) to any other engine designs, it may produce up to 10,000 engines of that design for sale as loose engines under this paragraph (a)(7). If a manufacturer produced 11,000 engines of that design for sale as loose engines, the last 1,000 of them that it produced in that model year 2017 would be considered uncertified. 
(ii) For model years 2021 through 
2023, the U.S.-directed production volume of engines manufacturers sell under this paragraph (a)(7) in any given model year may not exceed 10,000 units. This paragraph (a)(7) does not apply for engines certified to the standards of paragraph (d) of this 
section and 40 CFR 1036.108. 
(iii) Vehicles using engines certified 
under this paragraph (a)(7) are subject to the fuel consumption and emission standards of paragraph (b) of this section and 40 CFR 1037.105 and engine standards in 40 CFR 1036.150(j). 
(iv) For certification purposes, 
engines are deemed to have a fuel consumption target values and test result equal to the fuel consumption target value and test result for the complete vehicle in the applicable test group with the highest equivalent test weight, except as specified in paragraph (a)(7)(iv)(B) of this section. Manufacturers use these values to calculate target values and the fleet- average fuel consumption rate. Where there are multiple complete vehicles with the same highest equivalent test weight, select the fuel consumption target value and test result as follows: 
(A) If one or more of the fuel 
consumption test results exceed the applicable target value, use the fuel consumption target value and test result of the vehicle that exceeds its target value by the greatest amount. 
(B) If none of the fuel consumption 
test results exceed the applicable target value, select the highest target value and set the test result equal to it. This means that the manufacturer may not generate fuel consumption credits from vehicles certified under this paragraph (a)(7). 
(8) Alternative fuel vehicle 
conversions. Alternative fuel vehicle 
conversions may demonstrate compliance with the standards of this part or other alternative compliance approaches allowed by EPA in 40 CFR 85.525. 
(9) Advanced, innovative and off- 
cycle technologies. For vehicles subject to Phase 1 standards, manufacturers may generate separate credit allowances for advanced and innovative technologies as specified in § 535.7(f)(1) and (2). For vehicles subject to Phase 2 standards, manufacturers may generate separate credits allowance for off-cycle technologies in accordance with § 535.7(f)(2). Separate credit allowances for advanced technology vehicles cannot be generated; instead manufacturers may use the credit multipliers specified in § 535.7(f)(1)(iv) through model year 2026. 
(10) Useful life. The following useful 
life values apply for the standards of this section: 
(i) 120,000 miles or 10 years, 
whichever comes first, for Class 2b through Class 3 heavy-duty pickup trucks and vans certified to Phase 1 standards. 
(ii) 150,000 miles or 15 years, 
whichever comes first, for Class 2b through Class 3 heavy-duty pickup trucks and vans certified to Phase 2 standards. 
(iii) For Phase 1 credits that you 
calculate based on a useful life of 120,000 miles, multiply any banked credits that you carry forward for use into the Phase 2 program by 1.25. For Phase 1 credit deficits that you generate based on a useful life of 120,000 miles multiply the credit deficit by 1.25 if offsetting the shortfall with Phase 2 credits. 
(11) Compliance with standards. A 
manufacturer complies with the standards of this part as described in § 535.10. 
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(b) Heavy-duty vocational vehicles. 
Each manufacturer building complete or 
incomplete heavy-duty vocational vehicles shall comply with the fuel consumption standards in this paragraph (b) expressed in gallons per 1000 ton-miles. Engines used in heavy- duty vocational vehicles shall comply with the standards in paragraph (d) of this section. Each vehicle must be manufactured to comply for its full useful life. Standards apply to the vehicle subfamilies based upon the vehicle service classes within each of the vocational vehicle regulatory subcategories in accordance with § 535.4 and based upon the applicable modeling and testing specified in § 535.6. Determine the duty cycles that apply to vocational vehicles according to 40 CFR 1037.140 and 1037.150(z). 
(1) Mandatory standards. Heavy-duty 
vocational vehicle subfamilies produced for Phase 1 must comply with the fuel consumption standards in paragraph (b)(3) of this section. For Phase 2, each vehicle manufacturer of heavy-duty vocational vehicle subfamilies must comply with the fuel consumption standards in paragraph (b)(4) of this 
section. 
(i) For model years 2016 to 2020, the 
heavy-duty vocational vehicle category is subdivided by GVWR into three regulatory subcategories as defined in § 535.4, each with its own assigned 
standard. 
(ii) For model years 2021 and later, 
the heavy-duty vocational vehicle category is subdivided into 15 regulatory subcategories depending 
upon whether vehicles are equipped with a compression or spark-ignition engine, as defined in § 535.4. Standards also differ based upon vehicle service class and intended vehicle duty cycles. See 40 CFR 1037.140 and 1037.150(z). 
(iii) For purposes of certifying 
vehicles to fuel consumption standards, manufacturers must divide their product lines in each regulatory subcategory into vehicle families that have similar emissions and fuel consumption features, as specified by EPA in 40 CFR 1037.230. These families will be subject to the applicable standards. Each vehicle family is limited to a single model year. 
(A) Vocational vehicles including 
custom chassis vehicles must use qualified automatic tire inflation systems or tire pressure monitoring systems for wheels on all axles. 
(B) Tire pressure monitoring systems 
must use low pressure warning and malfunction telltales in clear view of the driver as specified in S4.3 and S4.4 of 49 CFR 571.138. 
(2) Voluntary compliance. (i) For 
model years 2013 through 2015, a manufacturer may choose voluntarily to 
comply early with the fuel consumption standards provided in paragraph (b)(3) 
of this section. For example, a manufacturer may choose to comply early in order to begin accumulating credits through over-compliance with the applicable standards. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufacturers in each regulatory category for a given model year. 
(ii) A manufacturer must declare its 
intent to voluntarily comply with fuel consumption standards and identify its plans to comply before it submits its first application for a certificate of conformity for the respective model year as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufacturers in each regulatory category for a given model year. 
(3) Regulatory subcategory standards 
for model years 2013 to 2020. The mandatory and voluntary fuel consumption standards for heavy-duty vocational vehicles are given in the following table: 
TABLE 8—P HASE 1 VOCATIONAL VEHICLE FUELCONSUMPTION STANDARDS  
[Gallons per 1000 ton-miles] 
Regulatory subcategories Vocational 
LHD vehicles Vocational 
MHD vehicles Vocational 
HHD vehicles 
Model Years 2013 to 2016 Voluntary Standards 
Standard ....................................................................................................................... ............... 38.1139 22.9862 22.2004 
Model Years 2017 to 2020 Mandatory Standards 
Standard ....................................................................................................................... ............... 36.6405 22.1022 21.8075 
(4) Regulatory subcategory standards 
for model years 2021 and later. The 
mandatory fuel consumption standards for heavy-duty vocational vehicles are 
given in the following table: 
TABLE 9—P HASE 2 VOCATIONAL VEHICLE FUELCONSUMPTION STANDARDS  
[Gallons per 1,000 ton-miles] 
Duty cycle LHD 
Vocational 
vehicles MHD 
Vocational 
vehicles Vocational 
HHD 
vehicles 
Model Years 2021 to 2023 Standards for CI Vehicles 
Urban .......................................................................................................................... ................. 41.6503 29.0766 30.2554 
Multi-Purpose .................................................................................................................. ............. 36.6405 26.0314 25.6385 
Regional ....................................................................................................................... ................ 30.5501 22.9862 20.2358 
Model Years 2021 to 2023 Standards for SI Vehicles 
Urban .......................................................................................................................... ................. 51.8735 36.9078 NA 
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TABLE 9—P HASE 2 VOCATIONAL VEHICLE FUELCONSUMPTION STANDARDS —Continued 
[Gallons per 1,000 ton-miles] 
Duty cycle LHD 
Vocational 
vehicles MHD 
Vocational 
vehicles Vocational 
HHD 
vehicles 
Multi-Purpose .................................................................................................................. ............. 45.7972 32.9695 NA 
Regional ....................................................................................................................... ................ 37.6955 29.3687 NA 
Model Years 2024 to 2026 Standards for CI Vehicles 
Urban .......................................................................................................................... ................. 37.8193 26.6208 27.7996 
Multi-Purpose .................................................................................................................. ............. 33.7917 24.1650 23.7721 
Regional ....................................................................................................................... ................ 29.0766 21.7092 19.0570 
Model Years 2024 to 2026 Standards for SI Vehicles 
Urban .......................................................................................................................... ................. 48.6103 34.8824 NA 
Multi-Purpose .................................................................................................................. ............. 43.3217 31.3942 NA 
Regional ....................................................................................................................... ................ 36.4577 28.2435 NA 
Model Years 2027 and later Standards for CI Vehicles 
Urban .......................................................................................................................... ................. 36.0511 25.3438 26.4244 
Multi-Purpose .................................................................................................................. ............. 32.4165 23.0845 22.5933 
Regional ....................................................................................................................... ................ 28.5855 21.4145 18.5658 
Model Years 2027 and later Standards for SI Vehicles 
Urban .......................................................................................................................... ................. 46.4724 33.4196 NA 
Multi-Purpose .................................................................................................................. ............. 41.8589 30.1564 NA 
Regional ....................................................................................................................... ................ 35.8951 27.7934 NA 
(5) Subfamily standards. 
Manufacturers may specify a family 
emission limit (FEL) in terms of fuel consumption for each vehicle subfamily. The FEL may not be less than the result of fuel consumption modeling from 40 CFR 1037.520. The FELs is the fuel consumption standards for the vehicle subfamily instead of the standards specified in paragraph (b)(3) and (4) of this section and can be used for calculating fuel consumption credits in accordance with § 535.7. 
(6) Alternate standards for custom 
chassis vehicles for model years 2021 and later. Manufacturers may elect to certify certain vocational vehicles to the alternate standards for custom chassis vehicles specified in this paragraph (b)(6) instead of the standards specified in paragraph (b)(4) of this section. Note that, although these standards were established for custom chassis vehicles, manufacturers may apply these provisions to any qualifying vehicle even though these standards were established for custom chassis vehicles. For example, large diversified vehicle manufacturers may certify vehicles to the refuse hauler standards of this section as long as the manufacturer ensures that those vehicles qualify as refuse haulers when placed into service. GEM simulates vehicle operation for each type of vehicle based on an assigned vehicle service class, independent of the vehicle’s actual characteristics, as shown in Table 10 of this section; however, standards apply for the vehicle’s useful life based on its actual characteristics as specified in paragraph (b)(10) of this section. Vehicles certified to these alternative standards must use engines certified to requirements under paragraph (d) of this section and 40 CFR part 1036 for the appropriate model year, except that motor homes and emergency vehicles may use engines certified with the loose-engine provisions of paragraph (a)(7) of this section and 40 CFR 1037.150(m). This also applies for vehicles meeting standards under paragraphs (b)(6)(iv) through (vi) of this section. The fuel consumption standards for custom chassis vehicles are given in the following table: 
TABLE 10—P HASE 2 CUSTOM CHASSIS FUELCONSUMPTION STANDARDS  
[Gallon per 1,000 ton-mile] 
Vehicle type1 Assigned vehicle service class MY 2021 MY 2027 
Coach Bus .................................................................... HHD Vehicle ....................................... .......................... 20.6287 20.1375 
Motor Home .................................................................. MDH Vehicle ........................................ ......................... 22.3969 22.2004 
School Bus ................................................................... MHD Vehicle ....................................... .......................... 28.5855 26.6208 
Other bus ...................................................................... HHD Vehicle ..................................... ............................ 29.4695 28.0943 
Refuse hauler ............................................................... HHD Vehicle ........................................ ......................... 30.7466 29.2731 
Concrete mixer ............................................................. HHD Vehicle ......................................... ........................ 31.3360 31.0413 
Mixed-use vehicle ......................................................... HHD Vehicle .......................................... ....................... 31.3360 31.0413 
Emergency Vehicle ....................................................... HHD Vehicle ............................................ ..................... 31.8271 31.3360 
1Vehicle types are generally defined in § 535.3. ‘‘Other bus’’ includes any bus that is not a school bus or a coach bus. A ‘‘mixed-use vehicle’’ 
is one that meets at least one of the criteria specified in 40 CFR 1037.631(a)(1) or at least one of the criteria in 40 CFR 1037.631(a)(2), but not 
both. 
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(i) Manufacturers may generate or use 
fuel consumption credits for averaging 
to demonstrate compliance with the alternative standards as described in § 535.7(c). This requires that manufacturers specify a Family Emission Limit (FEL) for fuel consumption for each vehicle subfamily. The FEL may not be less than the result of emission modeling as described in this paragraph (b). These FELs serve as the fuel consumption standards for the vehicle subfamily instead of the standards specified in this paragraph (b)(6). Manufacturers may only use fuel consumption credits for vehicles certified to the optional standards in this paragraph (b)(6) as specified in § 535.7(c)(6) through (8) and you may not bank or trade fuel consumption credits from any vehicles certified under this paragraph (b)(6). 
(ii) For purposes of this paragraph 
(b)(6), each separate vehicle type identified in Table 10 of this section is in a separate averaging set. 
(iii) For purposes of emission and fuel 
consumption modeling under 40 CFR 1037.520, consider motor homes and coach buses to be subject to the Regional duty cycle, and consider all other vehicles to be subject to the Urban duty cycle. 
(iv) Emergency vehicles are deemed to 
comply with the standards of this paragraph (6) if manufacturers use tires with TRRL at or below 8.4 kg/ton (8.7 g/ton for model years 2021 through 2026). 
(v) Concrete mixers are deemed to 
comply with the standards of this paragraph (6) if manufacturers use tires with TRRL at or below 7.1 kg/ton (7.6 g/ton for model years 2021 through 2026). 
(vi) Motor homes are deemed to 
comply with the standards of this paragraph (b)(6) if manufacturers use the following technologies: 
(A) Tires with TRRL at or below 6.0 
kg/ton (6.7 g/ton for model years 2021 through 2026). 
(B) Automatic tire inflation systems or 
tire pressure monitoring systems with wheels on all axles. 
(C) Tire pressure monitoring systems 
must use low pressure warning and malfunction telltales in clear view of the driver as specified in S4.3 and S4.4 of 49 CFR 571.138. 
(vii) Small business manufacturers 
using the alternative standards for custom chassis vehicles under this paragraph (b)(6) may use fuel consumption credits subject to the unique provisions in § 535.7(a)(9). 
(7) Advanced, innovative and off- 
cycle technologies. For vocational vehicles subfamilies subject to Phase 1 standards, manufacturers must create 
separate vehicle subfamilies for vehicles that contain advanced or innovative technologies and group those vehicles together in a vehicle subfamily if they use the same advanced or innovative technologies. Manufacturers may generate separate credit allowances for advanced and innovative technologies as specified in § 535.7(f)(1) and (2). For vehicles subfamilies subject to Phase 2 standards, manufacturers may generate separate credit allowances for off-cycle technologies in accordance with § 535.7(f)(2). Separate credit allowances for advanced technology vehicles cannot be generated but instead manufacturers may use the credit multipliers specified in § 535.7(f)(1)(iv) through model year 2026. 
(8) Certifying across service classes. A 
manufacturer may optionally certify a vocational vehicle subfamilies to the standards and useful life applicable to a heavier vehicle service class (such as MHD vocational vehicles instead of LHD vocational vehicles). Provisions related to generating fuel consumption credits apply as follows: 
(i) If a manufacturer certifies all its 
vehicles from a given vehicle service class in a given model year to the standards and useful life that applies for a heavier vehicle service class, it may generate credits as appropriate for the heavier service class. 
(ii) Class 8 hybrid vehicles with light 
or medium heavy-duty engines may be certified to compression-ignition standards for the Heavy HDV service class. A manufacturer may generate and use credits as allowed for the Heavy HDV service class. 
(iii) Except as specified in paragraphs 
(b)(8)(i) and (ii) of this section, a 
manufacturer may not generate credits with the vehicle. If you include lighter vehicles in a subfamily of heavier vehicles with an FEL below the standard, exclude the production volume of lighter vehicles from the credit calculation. Conversely, if a manufacturer includes lighter vehicles in a subfamily with an FEL above the standard, it must include the production volume of lighter vehicles in the credit calculation. 
(9) Off-road exemptions. This section 
provides an exemption for heavy-duty vocational vehicle subfamilies, including vocational tractors that are intended to be used extensively in off- road environments such as forests, oil fields, and construction sites from the fuel consumption standards in this paragraph (b). Vehicle exempted by this part do not comply with vehicle standards in this paragraph (b), but the engines in these vehicles must meet the engine requirements of paragraph (d) of 
this section. Note that manufacturers may not include these exempted vehicles in any credit calculations under this part. 
(i) Qualifying criteria. Vocational 
vehicles intended for off-road use are exempt without request, subject to the provisions of this section, if they are primarily designed to perform work off- 
road (such as in oil fields, mining, forests, or construction sites), and they meet at least one of the criteria of paragraph (b)(9)(i)(A) of this section and at least one of the criteria of paragraph (b)(9)(i)(B) of this section. See paragraph (b)(6) of this section for alternate standards that apply for vehicles meeting only one of these sets of criteria. 
(A) The vehicle must have affixed 
components designed to work inherently in an off-road environment (such as hazardous material equipment or off-road drill equipment) or be designed to operate at low speeds such that it is unsuitable for normal highway operation. 
(B) The vehicle must meet one of the 
following criteria: 
(1) Have an axle that has a gross axle 
weight rating (GAWR) at or above 29,000 pounds. 
(2) Have a speed attainable in 2.0 
miles of not more than 33 mi/hr. 
(3) Have a speed attainable in 2.0 
miles of not more than 45 mi/hr, an unloaded vehicle weight that is not less than 95 percent of its gross vehicle weight rating, and no capacity to carry occupants other than the driver and operating crew. 
(4) Have a maximum speed at or 
below 54 mi/hr. A manufacturer may consider the vehicle to be appropriately speed-limited if engine speed at 54 mi/ hr is at or above 95 percent of the engine’s maximum test speed in the highest available gear. A manufacturer may alternatively limit vehicle speed by programming the engine or vehicle’s electronic control module in a way that is tamper-resistant. 
(ii) Tractors. The provisions of this 
section may apply for tractors only if each tractor qualifies as a vocational tractor under paragraph (c)(9) of this section or is granted approval for the exemption as specified in paragraph (b)(9)(iii) of this section. 
(iii) Preliminary approval before 
certification. If a manufacturers has 
unusual circumstances where it may be questionable whether its vehicles qualify for the off-road exemption of this part, the manufacturer may send the agencies information before finishing its application for certification (see 40 CFR 1037.205) for the applicable vehicles 
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and ask for a preliminary informal 
approval. The agencies will review the request and make an appropriate determination in accordance with 40 CFR 1037.210. The agencies will generally not reverse a decision where they have given a manufacturer preliminary approval, unless the agencies find new information supporting a different decision. However, the agencies will normally not grant relief in cases where the vehicle manufacturer has credits or can otherwise comply with the applicable standards. 
(iv) Recordkeeping and reporting. (A) 
A manufacturers must keep records to document that its exempted vehicle configurations meet all applicable requirements of this section. Keep these records for at least eight years after you stop producing the exempted vehicle model. The agencies may review these records at any time. 
(B) A manufacturers must also keep 
records of the individual exempted vehicles you produce, including the vehicle identification number and a description of the vehicle configuration. 
(C) Within 90 days after the end of 
each model year, manufacturers must send to EPA a report as specified in § 535.8(g)(7) and EPA will make the report available to NHTSA. 
(v) Compliance. (A) Manufacturers 
producing vehicles meeting the off-road exemption criteria in paragraph (b)(9)(i) of this section or that are granted a preliminary approval comply with the standards of this part. 
(B) In situations where a manufacturer 
would normally ask for a preliminary approval subject to paragraph (b)(9)(iii) of this section but introduces its vehicle into U.S. commerce without seeking approval first from the agencies, those vehicles violate compliance with the fuel consumption standards of this part and the EPA provisions under 40 CFR 1068.101(a)(1). 
(C) If at any time, the agencies find 
new information that contradicts a manufacturer’s use of the off-road exemption of this part, the manufacturers vehicles will be determined to be non-compliant with the regulations of this part and the manufacturer may be liable for civil penalties. 
(10) Useful life. The following useful 
life values apply for the standards of this section: 
(i) 110,000 miles or 10 years, 
whichever comes first, for vocational LHD vehicles certified to Phase 1 standards. (ii) 150,000 miles or 15 years, 
whichever comes first, for vocational 
LHD vehicles certified to Phase 2 standards. 
(iii) 185,000 miles or 10 years, 
whichever comes first, for vocational MHD vehicles for Phase 1 and 2. 
(iv) 435,000 miles or 10 years, 
whichever comes first, for vocational HHD vehicles for Phase 1 and 2. 
(v) For Phase 1 credits calculated 
based on a useful life of 110,000 miles, multiply any banked credits carried forward for use into the Phase 2 program by 1.36. For Phase 1 credit 
deficits generated based on a useful life of 110,000 miles multiply the credit deficit by 1.36, if offsetting the shortfall with Phase 2 credits. 
(11) Recreational vehicles. 
Recreational vehicles manufactured after model year 2020 must comply with the fuel consumption standards of this section. Manufacturers producing these vehicles may also certify to fuel consumption standards from 2014 through model year 2020. Manufacturers may earn credits retroactively for early compliance with fuel consumption standards. Once selected, a manufacturer cannot reverse the decision and the manufacturer must continue to comply for each subsequent model year for all the vehicles it manufacturers in each regulatory subcategory for a given model year. 
(12) Loose engines. Manufacturers 
may certify certain spark-ignition engines along with chassis-certified heavy-duty vehicles where there are identical engines used in those vehicles as described in 40 CFR 86.1819(k)(8) and 40 CFR 1037.150(m). Vehicles in which those engines are installed are subject to standards under this part. 
(13) Compliance with Standards. A 
manufacturer complies with the standards of this part as described in § 535.10. 
(c) Truck tractors. Each manufacturer 
building truck tractors, except vocational tractors or vehicle constructed in accordance with § 571.7(e), with a GVWR above 26,000 pounds shall comply with the fuel consumption standards in this paragraph (c) expressed in gallons per 1000 ton-miles. Engines used in heavy- duty truck tractors vehicles shall comply with the standards in paragraph (d) of this section. Each vehicle must be manufactured to comply for its full useful life. Standards apply to the vehicle subfamilies within each of the tractor vehicle regulatory subcategories in accordance with § 535.4 and 40 CFR 1037.230 and based upon the applicable modeling and testing specified in § 535.6. Determine the vehicles in each regulatory subcategory in accordance with 40 CFR 1037.140. 
(1) Mandatory standards. For model 
years 2016 and later, each manufacturer’s truck tractor subfamilies must comply with the fuel consumption standards in paragraph (c)(3) of this section. 
(i) Based on the roof height and the 
design of the cab, the truck tractor category is divided into subcategories as described in § 535.4. The standards that apply to each regulatory subcategory are shown in paragraphs (c)(2) and (3) of this section, each with its own assigned standard. 
(ii) For purposes of certifying vehicles 
to fuel consumption standards, manufacturers must divide their product lines in each regulatory subcategory into vehicles subfamilies that have similar emissions and fuel consumption features, as specified by EPA in 40 CFR 1037.230, and these subfamilies will be subject to the applicable standards. Each vehicle subfamily is limited to a single model year. 
(iii) Standards for truck tractor 
engines are given in paragraph (d) of this section. 
(2) Voluntary compliance. (i) For 
model years 2013 through 2015, a manufacturer may choose voluntarily to comply early with the fuel consumption standards provided in paragraph (c)(3) of this section. For example, a manufacturer may choose to comply early in order to begin accumulating credits through over-compliance with the applicable standards. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufacturers in each regulatory category for a given model year. 
(ii) A manufacturer must declare its 
intent to voluntarily comply with fuel consumption standards and identify its plans to comply before it submits its first application for a certificate of conformity for the respective model year as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufacturers in each regulatory category for a given model year. 
(3) Regulatory subcategory standards. 
The fuel consumption standards for truck tractors, except for vocational tractors, are given in the following table: 
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TABLE 11—T RUCK TRACTOR FUELCONSUMPTION STANDARDS  
[Gallons per 1,000 ton-miles] 
Regulatory subcategories Day cab Sleeper cab 
Heavy-Haul 
Class 7 Class 8 Class 8 
Phase 1—Model Years 2013 to 2015 Voluntary Standards 
Low Roof .......................................................................................................... 10.5108 7.956 8 6.6798 
Mid Roof .......................................................................................................... 11.6896 8.644 4 7.4656 
High Roof ......................................................................................................... 12.1807 9.037 3 7.3674 
Phase 1—Model Year 2016 Mandatory Standard 
Low Roof .......................................................................................................... 10.5108 7.956 8 6.6798 NA 
Mid Roof .......................................................................................................... 11.6896 8.644 4 7.4656 
High Roof ......................................................................................................... 12.1807 9.037 3 7.3674 
Phase 1—Model Years 2017 to 2020 Mandatory Standards 
Low Roof .......................................................................................................... 10.2161 7.858 5 6.4833 NA 
Mid Roof .......................................................................................................... 11.2967 8.447 9 7.1709 
High Roof ......................................................................................................... 11.7878 8.742 6 7.0727 
Phase 2—Model Years 2021 to 2023 Mandatory Standards 
Low Roof .......................................................................................................... 10.36346 7.90 766 7.10216 5.14735 
Mid Roof .......................................................................................................... 11.11984 8.38 900 7.66208 
High Roof ......................................................................................................... 11.14931 8.40 864 7.43615 
Phase 2—Model Years 2024 to 2026 Mandatory Standards 
Low Roof .......................................................................................................... 9.80354 7.485 27 6.67976 4.93124 
Mid Roof .......................................................................................................... 10.52063 7.94 695 7.22004 
High Roof ......................................................................................................... 10.47151 7.89 784 6.94499 
Phase 2—Model Years 2027 and later Mandatory Standards 
Low Roof .......................................................................................................... 9.44990 7.210 22 6.29666 4.74460 
Mid Roof .......................................................................................................... 10.15717 7.66 208 6.83694 
High Roof ......................................................................................................... 9.82318 7.436 15 6.31631 
(4) Subfamily standards. 
Manufacturers may generate or use fuel 
consumption credits for averaging, banking, and trading as described in § 535.7(c). This requires that manufacturers calculate a credit quantity if they specify a Family Emission Limit (FEL) that is different than the standard specified in this 
section. The FEL may not be less than the result of emission and fuel consumption modeling from 40 CFR 1037.520. These FELs serve as the emission standards for the specific vehicle subfamily instead of the standards specified in paragraph (2) of 
this section. 
(5) Alternate standards for tractors at 
or above 120,000 pounds GCWR. Manufacturers may certify tractors at or above 120,000 pounds GCWR to the following fuel consumption standards in the following table: 
TABLE 12—A LTERNATE FUELCONSUMPTION STANDARDS FOR TRACTORS ABOVE 120,000 P OUNDS GCWR FOR2021 MY 
ANDLATER FUELCONSUMPTION  
[Gallons per 1,000 ton-miles] 
Low roof day cab Mid roof 
day cab High roof 
day cab Low roof 
sleeper cab Mid roof 
sleeper cab High roof 
sleeper cab 
3.59528 3.82122 3.84086 3.26130 3.52652 3.43811 
(6) Advanced, innovative and off- 
cycle technologies. For tractors subject 
to Phase 1 standards, manufacturers must create separate vehicle subfamilies for vehicles that contain advanced or innovative technologies and group those vehicles together in a vehicle subfamilies if they use the same advanced or innovative technologies. Manufacturers may generate separate credit allowances for advanced and innovative technologies as specified in § 535.7(f)(1) and (2). For vehicles subject to Phase 2 standards, manufacturers may generate separate credits allowance for off-cycle technologies in accordance with § 535.7(f)(2). Separate credit allowances for advanced technology vehicles cannot be generated but instead manufacturers may use the credit multipliers specified in § 535.7(f)(1)(iv) through model year 2026. 
(7) Certifying across service classes. 
Manufacturers may certify Class 7 tractors to Class 8 tractors standards as follows: 
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(i) A manufacturer may optionally 
certify 4x2 tractors with heavy heavy- 
duty engines to the standards and useful life for Class 8 tractors, with no restriction on generating or using fuel consumption credits within the Class 8 averaging set. 
(ii) A manufacturer may optionally 
certify a Class 7 tractor to the standards and useful life applicable to Class 8 tractors. Credit provisions apply as follows: 
(A) If a manufacturer certifies all of its 
Class 7 tractors to Class 8 standards, it may use these Heavy HDV credits without restriction. 
(B) This paragraph (c)(7)(ii)(B) applies 
if a manufacturer certifies some Class 7 tractors to Class 8 standards under this paragraph (c)(7)(ii) but not all of them. If a manufacturer includes Class 7 tractors in a subfamily of Class 8 tractors with an FEL below the standard, exclude the production volume of Class 7 tractors from the credit calculation. Conversely, if a manufacturer includes Class 7 tractors in a subfamily of Class 8 tractors with an FEL above the 
standard, it must include the production volume of Class 7 tractors in the credit calculation. 
(8) Expanded families. Manufacturers 
may combine dissimilar vehicles into a single vehicle subfamilies for applying standards and for testing in special circumstances as follows: 
(i) For a Phase 1 vehicle model that 
straddles a roof-height, cab type, or GVWR division, manufacturers can include all the vehicles in the same vehicle family if it certifies the vehicle family to the more stringent standard. For roof height, the manufacturer must certify to the taller roof standard. For cab-type and GVWR, the manufacturers must certify to the numerically lower standard. 
(ii) For a Phase 2 vehicle model that 
includes a range of GVWR values that straddle weight classes, manufacturers may include all the vehicles in the same vehicle family if it certifies the vehicle family to the numerically lower fuel consumption standard from the affected service classes. Vehicles that are optionally certified to a more stringent standard under this paragraph are subject to useful-life and all other provisions corresponding to the weight class with the numerically lower fuel consumption standard. For a Phase 2 tractor model that includes a range of roof heights that straddle subcategories, a manufacturer may include all the vehicles in the same vehicle family if it certifies the vehicle family to the appropriate subcategory as follows: 
(A) A manufacturer may certify mid- 
roof tractors as high-roof tractors, but it may not certify high-roof tractors as 
mid-roof tractors. 
(B) For tractor families straddling the 
low-roof/mid-roof division, a manufacturer may certify the family based on the primary roof-height as long as no more than 10 percent of the tractors are certified to the otherwise inapplicable subcategory. For example, if 95 percent of the tractors in the family are less than 120 inches tall, and the other 5 percent are 122 inches tall, a manufacturer may certify the tractors as a single family in the low-roof subcategory. 
(C) Determine the appropriate 
aerodynamic bin number based on the actual roof height if the C
dA value is 
measured. However, use the GEM input 
for the bin based on the standards to which the manufacturer certifies. For example, of a manufacturer certifies as mid roof tractors some low-roof tractors with a measured C
dA value of 4.2 m2, 
it qualifies as Bin IV; and must input into GEM the mid-roof Bin IV value of 5.85 m
2. 
(9) Vocational tractors. Tractors 
meeting the definition of vocational tractors in 49 CFR 523.2 must comply with requirements for heavy-duty vocational vehicles specified in paragraphs (b) and (d) of this section. For Phase 1, Class 7 and Class 8 tractors certified or exempted as vocational tractors are limited in production to no more than 21,000 vehicles in any three consecutive model years. If a manufacturer is determined as not applying this allowance in good faith by EPA in its applications for certification in accordance with 40 CFR 1037.205 and 1037.610, a manufacturer must comply with the tractor fuel consumption standards in paragraph (c)(3) of this section. No production limit applies for vocational tractors subject to Phase 2 standards. 
(10) Small business manufacturers 
converting to mid roof or high roof configurations. Small manufacturers are 
to allowed convert low and mid roof tractors to high roof configurations without recertification, provided it is for the purpose of building a custom sleeper tractor or conversion to a natural gas tractor as specified in 40 CFR 1037.150(r). 
(11) Useful life. The following useful 
life values apply for the standards of this section: 
(i) 185,000 miles or 10 years, 
whichever comes first, for vehicles at or below 33,000 pounds GVWR. 
(ii) 435,000 miles or 10 years, 
whichever comes first, for vehicles above 33,000 pounds GVWR. 
(12) Conversion to high-roof 
configurations. Secondary vehicle manufacturers that qualify as small 
manufacturers may convert low- and mid-roof tractors to high-roof configurations without recertification for the purpose of building a custom sleeper tractor or converting it to run on natural gas, as follows: 
(i) The original low- or mid-roof 
tractor must be covered by a valid certificate of conformity by EPA. 
(ii) The modifications may not 
increase the frontal area of the tractor beyond the frontal area of the equivalent high-roof tractor with the corresponding standard trailer. If a manufacturer cannot use the original manufacturer’s roof fairing for the high-roof tractor, use good engineering judgment to achieve similar or better aerodynamic 
performance. 
(iii) The agencies may require that 
these manufacturers submit annual production reports as described in § 535.8 and 40 CFR 1037.250 indicating the original roof height for requalified vehicles. 
(13) Compliance with standards. A 
manufacturer complies with the standards of this part as described in § 535.10. 
(d) Heavy-duty engines. Each 
manufacturer of heavy-duty engines shall comply with the fuel consumption standards in this paragraph (d) of this section expressed in gallons per 100 horsepower-hour. Each engine must be manufactured to comply for its full useful life, expressed in service miles, operating hours, or calendar years, whatever comes first. The provisions of this part apply to all new 2014 model year and later heavy-duty engines fueled by conventional and alternative fuels and manufactured for use in heavy-duty tractors or vocational vehicles. Standards apply to the engine families based upon the primary intended service classes within each of the engine regulatory subcategories as described in § 535.4 and based upon the applicable modeling and testing specified in § 535.6. 
(1) Mandatory standards. 
Manufacturers of heavy-duty engine families shall comply with the mandatory fuel consumption standards in paragraphs (d)(3) through (6) of this section for model years 2017 and later for compression-ignition engines and for model years 2016 and later for spark- ignition engines. 
(i) The heavy-duty engine regulatory 
category is divided into six regulatory subcategories, five compression-ignition subcategories and one spark-ignition subcategory, as shown in Table 14 of this section. 
(ii) Separate standards exist for engine 
families manufactured for use in heavy- 
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duty vocational vehicles and in truck 
tractors. 
(iii) For purposes of certifying engines 
to fuel consumption standards, manufacturers must divide their product lines in each regulatory subcategory into engine families. Fuel consumption standards apply each model year to the same engine families used to comply with EPA standards in 40 CFR 1036.108 and 40 CFR 1037.230. An engine family is designated under the EPA program based upon testing specified in 40 CFR part 1036, subpart 
F, and the engine family’s primary intended service class. Each engine family manufactured for use in a heavy- duty tractor or vocational vehicle must be certified to the primary intended service class that it is designed for in accordance with 40 CFR 1036.108 and 
1036.140. 
(2) Voluntary compliance. (i) For 
model years 2013 through 2016 for compression-ignition engine families, and for model year 2015 for spark- ignition engine families, a manufacturer may choose voluntarily to comply with the fuel consumption standards provided in paragraphs (d)(3) through (5) of this section. For example, a manufacturer may choose to comply early in order to begin accumulating credits through over-compliance with 
the applicable standards. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufacturers in each regulatory category for a given model year except in model year 2013 the manufacturer may comply with individual engine families as specified 
in 40 CFR 1036.150(a)(2). 
(ii) A manufacturer must declare its 
intent to voluntarily comply with fuel consumption standards and identify its plans to comply before it submits its first application for a certificate of conformity for the respective model year as specified in § 535.8; and, once selected, the decision cannot be reversed and the manufacturer must continue to comply for each subsequent model year for all the vehicles and engines it manufacturers in each regulatory category for a given model year. 
(3) Regulatory subcategory standards. 
The primary fuel consumption standards for heavy-duty engine 
families are given in the following table: 
TABLE 13—P RIMARY HEAVY -DUTYENGINE FUELCONSUMPTION STANDARDS  
[Gallons per 100 hp-hr] 
Regulatory subcategory CI LHD engines 
and all other 
engines CI MHD engines 
and all other 
engines HHD CI engines 
and all other 
engines SI engines 
Application 
Vocational Vocational Tractor Vocational Tractor All 
Phase 1—Voluntary Standards 
2015 ..................................................... ............................ ........................ ........................ ........................ ........................ 7.0552 
2013 to 2016 ........................................ 5.8939 5.8939 4.9312 5.5697 4.666 
Phase 1—Mandatory Standards 
2016 ..................................................... ............................ ........................ ........................ ........................ ........................ 7.0552 
2017 to 2020 ........................................ 5.6582 5.6582 4.6660 5.4519 4.4401 7.0552 
Phase 2—Mandatory Standards 
2021 to 2023 ........................................ 5.5305 5.3536 4.6464 5.0393 4.3910 7.0552 
2024 to 2026 ........................................ 5.4519 5.2849 4.5285 4.9705 4.2829 7.0552 
2027 and later ...................................... 5.4224 5.2554 4.4892 4.9411 4.2436 7.0552 
(4) Alternate subcategory standards. 
The alternative fuel consumption 
standards for heavy-duty compression- ignition engine families are as follows: 
(i) Manufacturers entering the 
voluntary program in model years 2014 through 2016, may choose to certify compression-ignition engine families unable to meet standards provided in paragraph (d)(3) of this section to the alternative fuel consumption standards of this paragraph (d)(4). 
(ii) Manufacturers may not certify 
engines to these alternate standards if 
they are part of an averaging set in which they carry a balance of banked credits. For purposes of this section, manufacturers are deemed to carry 
credits in an averaging set if they carry credits from advance technology that are allowed to be used in that averaging set in accordance with § 535.7(d)(12). 
(iii) The emission standards of this 
section are determined as specified by EPA in 40 CFR 1036.620(a) through (c) and should be converted to equivalent fuel consumption values. 
(5) Alternate phase-in standards. 
Manufacturers have the option to comply with EPA emissions standards for compression-ignition engine families 
using an alternative phase-in schedule that correlates with EPA’s OBD standards. If a manufacturer chooses to use the alternative phase-in schedule for 
meeting EPA standards and optionally chooses to comply early with the NHTSA fuel consumption program, it must use the same phase-in schedule beginning in model year 2013 for fuel consumption standards and must remain in the program for each model year thereafter until model year 2020. The fuel consumption standard for each model year of the alternative phase-in schedule is provided in Table 15 of this section. Note that engine families certified to these standards are not eligible for early credits under § 535.7. 
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TABLE 14—P HASE 1 ALTERNATIVE PHASE -INCI E NGINE FUELCONSUMPTION STANDARDS  
[Gallons per 100 hp-hr] 
Tractors LHD engines MHD engines HHD engines 
Model Years 2013 to 2015 ....................................................................................................... ... NA 5.0295 4.7642 
Model Years 2016 to 2020 † ...................................................................................................... . NA 4.7839 4.5187 
Vocational LHD engines MHD engines HHD engines 
Model Years 2013 to 2015 ....................................................................................................... ... 6.0707 6.0707 5.6680 
Model Years 2016 to 2020 † ...................................................................................................... . 5.6582 5.6582 5.4519 
†Note: These alternate standards for 2016 and later are the same as the otherwise applicable standards for 2017 through 2020. 
(6) Alternative fuel conversions. 
Engines that have been converted to 
operate on alternative fuels may demonstrate compliance with the standards of this part or other alternative compliance approaches allowed by EPA in 40 CFR 85.525. 
(7) Optional certification under this 
section. Manufacturers certifying spark- 
ignition engines to the compression- ignition standards for EPA must treat those engines as compression-ignition engines for all the provisions of this part. 
(8) Advanced, innovative and off- 
cycle technologies. For engines subject to Phase 1 standards, manufacturers must create separate engine families for engines that contain advanced or innovative technologies and group those engines together in an engine family if they use the same advanced or innovative technologies. Manufacturers may generate separate credit allowances for advanced and innovative technologies as specified in § 535.7(f)(1) and (2). For engines subject to Phase 2 standards, manufacturers may generate separate credits allowance for off-cycle technologies in accordance with § 535.7(f)(2). Credit incentives for advanced technology engines do not apply during the Phase 2 period. 
(9) Useful life. The exhaust emission 
standards of this section apply for the full useful life, expressed in service miles, operating hours, or calendar years, whichever comes first. The following useful life values apply for the standards of this section: 
(i) 120,000 miles or 11 years, 
whichever comes first, for CI and SI LHD engines certified to Phase 1 standards. 
(ii) 150,000 miles or 15 years, 
whichever comes first, for CI and SI LHD and spark-ignition engines certified to Phase 2 standards. 
(iii) 185,000 miles or 10 years, 
whichever comes first, for CI MHD engines certified to Phase 1 and for Phase 2. 
(iv) 435,000 miles or 10 years, 
whichever comes first, for CI HHD engines certified to Phase 1 and for Phase 2. 
(v) For Phase 1 credits that 
manufacturers calculate based on a useful life of 110,000 miles, multiply any banked credits that it carries forward for use into the Phase 2 program by 1.36. For Phase 1 credit deficits that manufacturers generate based on a useful life of 110,000 miles multiply the credit deficit by 1.36, if offsetting the shortfall with Phase 2 credits. 
(10) Loose engines. This paragraph 
(10) describes alternate emission and fuel consumption standards for loose engines certified under. The standards of this paragraph (d) and 1036.108 do not apply for loose engines certified under paragraph (a) of this section and 40 CFR 86.1819–14(k)(8). The standards in 40 CFR 1036.150(j) apply for the emissions and equivalent fuel consumption measured with the engine installed in a complete vehicle consistent with the provisions of 40 CFR 86.1819–14(k)(8)(vi). 
(11) Alternate transition option for 
Phase 2 engine standards. (i) Manufacturers may optionally elect to comply with the model year 2021 primary (Phase 2) vocational vehicle and tractor engine standards in paragraph (d)(3) of this section beginning in model year 2020 (e.g. comply with the more stringent standards one year early). The model year 2021 standard would apply to these manufacturers for model years 2020 through 2023. Manufacturers that voluntarily certify their engines to model year 2021 standards early would then be eligible for less stringent engine tractor standards in model years 2024 through 2026, as follows: 
(A) 5.2849 gallons per 100 hp-hr for 
MHD vocational vehicle engines. 
(B) 4.5874 gallons per 100 hp-hr for 
MHD tractor engines. 
(C) 4.9705 gallons per 100 hp-hr for 
HHD vocational vehicle engines. 
(D) 4.3418 gallons per 100 hp-hr for 
HHD tractor engines. (ii) The primary standard in 
paragraph (d)(3) applies for all manufacturers in model year 2027 and later years. 
(iii) Manufacturers may apply these 
provisions separately for medium heavy-duty engines and heavy heavy- duty engines. This election applies to all engines in each segment. For example, if a manufacturer elects this alternate option for its medium heavy-duty engines, all of the manufacturer’s medium heavy-duty vocational and tractor engines must comply. Engine fuel consumption credits generated under § 535.7(d) for manufacturers complying early with the model year 2021 standards follow the temporary extended credit life allowance in § 535.7(d)(9). 
(12) Compliance with Standards. A 
manufacturer complies with the standards of this part as described in § 535.10. 
(e) Heavy-duty Trailers. Each 
manufacturer of heavy-duty trailers as specified in 49 CFR 523.10, except trailers constructed in accordance with 49 CFR 571.7(f), shall comply with the fuel consumption standards in paragraph (e)(1) of this section expressed in gallons per 1000 ton-miles. Each vehicle must be manufactured to comply for its full useful life. There are no Phase 1 standards for trailers. Different levels of stringency apply for box vans depending on features that may affect aerodynamic performance. Standards apply to the trailer vehicle families within each of the trailer regulatory subcategories in accordance with § 535.4 and 40 CFR 1037.230 and based upon the applicable modeling and testing specified in § 535.6. 
(1) Fuel consumption standards for 
Box-Vans. Box van trailer families 
manufactured in model year 2021 and later must comply with the fuel consumption standards of this section. For model years 2018 through 2020, box van trailer manufacturers have the option to voluntarily comply with the fuel consumption standards of this section. Different levels of stringency 
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apply for box vans depending on 
features that may affect aerodynamic performance. A manufacturer may optionally meet less stringent standards for different trailer types, which are characterized as follows: 
(i) For trailers 35 feet or longer, a 
manufacturer may designate as ‘‘non- aero box vans’’ those box vans that have a rear lift gate or rear hinged ramp, and at least one of the following side 
features: Side lift gate, side-mounted pull-out platform, steps for side-door access, a drop-deck design, or belly boxes that occupy at least half the 
length of both sides of the trailer between the centerline of the landing gear and the leading edge of the front wheels. For trailers less than 35 feet long, manufacturers may designate as ‘‘non-aero box vans’’ any refrigerated box vans with at least one of the side features identified for longer trailers. 
(ii) A manufacturer may designate as 
‘‘partial-aero box vans’’ those box vans 
that have at least one of the side features identified in paragraph (a)(1)(i) of this section. Long box vans may also qualify as partial-aero box vans if they have a 
rear lift gate or rear hinged ramp. Note that this paragraph (e)(1)(ii) does not apply for box vans designated as ‘‘non- aero box vans’’ under paragraph (e)(1)(i) of this section. 
(iii) ‘‘Full-aero box vans’’ are box vans 
that are not designated as non-aero box vans or partial-aero box vans under this paragraph (e)(1). 
(iv) Fuel consumption standards 
apply for full-aero box vans as specified 
in the following table: 
TABLE 15—P HASE 2 FULLAEROBOXVANFUELCONSUMPTION STANDARDS  
[Gallons per 1,000 ton-miles] 
Model years Dry van Refrigerated van 
Long Short Long Short 
Voluntary Standards 
2018 to 2020 .................................................................................................... 7.98625 12.3182 7 8.15324 12.68173 
Mandatory Standards 
2021 to 2023 .................................................................................................... 7.75049 12.1512 8 7.91749 12.52456 
2024 to 2026 .................................................................................................... 7.58350 11.8762 3 7.75049 12.24951 
2027 and later .................................................................................................. 7.43615 11.7288 8 7.60314 12.10216 
(v) Fuel consumption standards apply 
for partial-aero box vans as specified in 
the following table: 
TABLE 16—P HASE 2 FUELCONSUMPTION STANDARDS FOR PARTIAL -AEROBOXVANS 
[Gallons per 1,000 ton-mile] 
Model year Dry van Refrigerated van 
Short Long Short Long 
2018–2020 ....................................................................................................... 12.31827 7.9862 5 12.68173 8.15324 
2021 and later .................................................................................................. 12.15128 7.9174 9 12.52456 8.08448 
(2) Fuel consumption standards for 
Non-aero Box Vans and Non-box 
Trailers. (i) Non-aero box van and non- 
box trailer families manufactured in model year 2021 and later must comply with the fuel consumption standards of this section. For model years 2018 through 2020, trailer manufacturers have the option to voluntarily comply with the fuel consumption standards of this section. 
(ii) Non-aero box vans and non-box 
vans must meet the following standards: 
(A) Trailers must use automatic tire 
inflation systems or tire pressure monitoring systems with wheels on all axles. Tire pressure monitoring systems must use low pressure warning and malfunction telltales in clear view of the driver as specified in S4.3 and S4.4 of 49 CFR 571.138. (B) Non-box trailers must use tires 
with a TRRL at or below 5.1 kg/tonne. 
Through model year 2020, non-box trailers may instead use tires with a TRRL at or below 6.0 kg/tonne. 
(C) Non-aero box vans must use tires 
with a TRRL at or below 4.7 kg/tonne. Through model year 2020, non-aero box vans may instead use tires with a TRRL at or below 5.1 kg/tonne. 
(3) Subfamily standards. Starting in 
model year 2027, manufacturers may generate or use fuel consumption credits for averaging to demonstrate compliance with the standards specified in paragraph (e)(1)(iii) of this section as described in § 535.7(e). This requires that manufacturers specify a Family Emission Limit (FEL) for fuel consumption for each vehicle subfamily. The FEL may not be less than the result of the emission and fuel consumption calculation in 40 CFR 1037.515. The FEL may not be greater than the appropriate standard for model year 2021 trailers. These FELs serve as the fuel consumption standards for the specific vehicle subfamily instead of the standards specified in paragraph (e)(1) of this section. Manufacturers may not use averaging for non-box trailers, partial-aero box vans, or non-aero box vans that meet standards under paragraph (e)(1)(i) or (e)(1)(ii) of this section, and manufacturers may not use fuel consumption credits for banking or trading for any trailers. 
(4) Useful life. The fuel consumption 
standards of this section apply for a useful life equal to 10 years. 
(5) Transitional allowances for 
trailers. Through model year 2026, 
trailer manufacturers may calculate a number of trailers that are exempt from 
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the standards and certification 
requirements of this part. Calculate the number of exempt box vans in a given model year by multiplying the manufacturer’s total U.S.-directed production volume of certified box vans by 0.20 and rounding to the nearest whole number; however, in no case may the number of exempted box vans be greater than 350 units in any given model year. Repeat this calculation to determine the number of non-box trailers, up to 250 annual units, that are exempt from standards and certification requirements. Perform the calculation based on the manufacturer’s projected production volumes in the first year that standards apply; in later years, use actual production volumes from the preceding model year. Manufacturers include these calculated values of the production volumes of exempt trailers in their annual production report under § 535.8 and 40 CFR 1037.250. 
(6) Roll-up doors for non-aero box 
vans. Through model year 2023, box 
vans may qualify for non-aero or partial- aero standards under this paragraph (e) by treating roll-up rear doors as being equivalent to rear lift gates. 
(7) Expanded families. A 
manufacturer may include refrigerated box vans in a vehicle family with dry box vans by treating them all as dry box vans for demonstrating compliance with fuel consumption standards. A manufacturer may include certain other types of trailers in a vehicle family with a different type of trailer, such that the combined set of trailers are all subject to the more stringent standards, as follows: 
(i) Standards for long trailers are more 
stringent than standards for short trailers. 
(ii) Standards for long dry box vans 
are more stringent than standards for short refrigerated box vans. 
(iii) Standards for non-aero box vans 
are more stringent than standards for non-box trailers. 
(8) Compliance with standards. A 
manufacturer complies with the standards of this part as described in § 535.10. 
§ 535.6 Measurement and calculation 
procedures. 
This part describes the measurement 
and calculation procedures 
manufacturers use to determine annual fuel consumption performance results. Manufacturers use the fuel consumption results determined in this part for calculating credit balances specified in § 535.7 and then determine whether 
they comply with standards as specified in § 535.10. Manufacturers must use EPA emissions test results for deriving NHTSA’s fuel consumption performance rates. Consequently, manufacturers conducting testing for certification or annual demonstration testing and providing CO
2emissions 
data to EPA must also provide equivalent fuel consumption results to NHTSA for all values. NHTSA and EPA reserve the right to verify separately or in coordination the results of any testing and measurement established by manufacturers in complying with the provisions of this program and as specified in 40 CFR 1037.301 and § 535.9. Any carry over data from the Phase 1 program may be carried into the Phase 2 only with approval from EPA and by using good engineering judgment considering differences in testing protocols between test procedures. 
(a) Heavy-duty pickup trucks and 
vans. This section describes the method 
for determining the fuel consumption performance rates for test groups and for fleets of complete heavy-duty pickup trucks and vans each model year. The NHTSA heavy-duty pickup truck and van fuel consumption performance rates correspond to the same requirements for EPA as specified in 40 CFR 86.1819–14. 
(1) For the Phase 1 program, if the 
manufacturer’s fleet includes conventional vehicles (gasoline, diesel and alternative fueled vehicles) and advanced technology vehicles (hybrids with powertrain designs that include 
energy storage systems, vehicles with waste heat recovery, electric vehicles and fuel cell vehicles), it may divide its fleet into two separate fleets each with its own separate fleet average fuel consumption performance rate. For Phase 2, manufacturers may calculate their fleet average fuel consumption rates for a conventional fleet and separate advanced technology vehicle fleets. Advanced technology vehicle fleets should be separated into plug-in hybrid electric vehicles, electric vehicles and fuel cell vehicles. 
(2) Vehicles in each fleet should be 
selected and divided into test groups or subconfigurations according to EPA in 40 CFR 86.1819–14(d). 
(3) Use the EPA CO
2emissions test 
results for each test group, in grams per mile, for the selected vehicles. 
(i) Use CO
2emissions test results for 
vehicles fueled by conventional and alternative fuels, including dedicated and dual-fueled (multi-fuel and flexible- fuel) vehicles using each fuel type as specified in 40 CFR 86.1819–14(d)(10). 
(ii) Use CO
2emissions test results for 
dual-fueled vehicles using a weighted average of the manufacturer’s emission results as specified in 40 CFR 600.510– 12(k) for light-duty trucks. 
(iii) All electric vehicles are deemed 
to have zero emissions of CO
2, CH 4, and 
N2O. No emission testing is required for 
such electric vehicles. Assign the fuel consumption test group result to a value of zero gallons per 100 miles in paragraph (a)(4) of this section. 
(iv) Use CO
2emissions test results for 
cab-complete and incomplete vehicles based upon the applicable complete sister vehicles as determined in 40 CFR 1819–14(j)(2). 
(v) Use CO
2emissions test results for 
loose engines using applicable complete vehicles as determined in 40 CFR 86.1819–14(k)(8). 
(vi) Manufacturers can choose to 
analytically derive CO
2emission rates 
(ADCs) for test groups or subconfigurations. Use ADCs for test groups or subconfigurations in accordance with 40 CFR 86.1819–14 (d) and (g). 
(4) Calculate equivalent fuel 
consumption results for all test groups, in gallons per 100 miles, from CO
2 
emissions test group results, in grams per miles, and round to the nearest 0.001 gallon per 100 miles. 
(i) Calculate the equivalent fuel 
consumption test group results as follows for compression-ignition vehicles and alternative fuel compression-ignition vehicles. CO
2 
emissions test group result (grams per mile)/10,180 grams per gallon of diesel fuel) × (10
2) = Fuel consumption test 
group result (gallons per 100 mile). 
(ii) Calculate the equivalent fuel 
consumption test group results as follows for spark-ignition vehicles and alternative fuel spark-ignition vehicles. CO
2emissions test group result (grams 
per mile)/8,877 grams per gallon of gasoline fuel) × (10
2) = Fuel 
consumption test group result (gallons per 100 mile). 
(5) Calculate the fleet average fuel 
consumption result, in gallons per 100 miles, from the equivalent fuel consumption test group results and round the fuel consumption result to the nearest 0.001 gallon per 100 miles. Calculate the fleet average fuel consumption result using the following equation. 
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Where: 
Fuel Consumption Test Group Result i= fuel 
consumption performance for each test 
group as defined in 49 CFR 523.4. 
Volume i= production volume of each test 
group. 
(6) Compare the fleet average fuel 
consumption standard to the fleet 
average fuel consumption performance. The fleet average fuel consumption performance must be less than or equal to the fleet fuel consumption standard to comply with standards in § 535.5(a). 
(b) Heavy-duty vocational vehicles 
and tractors. This section describes the method for determining the fuel consumption performance rates for vehicle families of heavy-duty vocational vehicles and tractors. The NHTSA heavy-duty vocational vehicle and tractor fuel consumption performance rates correspond to the same requirements for EPA as specified in 40 CFR 1037, subpart F. 
(1) Select vehicles and vehicle family 
configurations to test as specified in 40 CFR 1037.230 for vehicles that make up each of the manufacturer’s regulatory subcategories of vocational vehicles and tractors. For the Phase 2 program, select powertrain, axle and transmission families in accordance with 40 CFR 1037.231 and 1037.232. 
(2) Follow the EPA testing 
requirements in 40 CFR 1037.230 and 1037.501 to derive inputs for the Greenhouse gas Emissions Model (GEM). 
(3) Enter inputs into GEM, in 
accordance with 40 CFR 1037.520, to derive the emissions and fuel consumption performance results for all vehicles (conventional, alternative fueled and advanced technology vehicles). 
(4) For Phase 1 and 2, all of the 
following GEM inputs apply for vocational vehicles and other tractor regulatory subcategories, as follows: 
(i) Model year and regulatory 
subcategory (see § 535.3 and 40 CFR 1037.230). 
(ii) Coefficient of aerodynamic drag or 
drag area, as described in 40 CFR 1037.520(b) (tractors only for Phase 1). 
(iii) Steer and drive tire rolling 
resistance, as described in 40 CFR 1037.520(c). 
(iv) Vehicle speed limit, as described 
in 40 CFR 1037.520(d) (tractors only). 
(v) Vehicle weight reduction, as 
described in 40 CFR 1037.520(e) (tractors only for Phase 1). (vi) Automatic engine shutdown 
systems, as described in 40 CFR 1037.660 (only for Phase 1 Class 8 sleeper cabs). For Phase 1, enter a GEM input value of 5.0 g/ton-mile, or an adjusted value as specified in 40 CFR 1037.660. 
(5) For Phase 2 vehicles, the GEM 
inputs described in paragraphs (b)(4)(i) through (v) of this section continue to apply. Note that the provisions related to vehicle speed limiters and automatic engine shutdown systems are available for vocational vehicles in Phase 2. The additional GEM inputs that apply for vocational vehicles and other tractor regulatory subcategories for demonstrating compliance with Phase 2 standards are as follows: 
(i) Engine characteristics. Enter 
information from the engine manufacturer to describe the installed engine and its operating parameters as described in 40 CFR 1036.510 and 1037.520(f). 
(ii) Vehicle information. Enter 
information in accordance with 40 CFR 1037.520(g) for the vehicle and its operating parameters including: 
(A) Transmission make, model and 
type; 
(B) Drive axle configuration; 
(C) Drive axle ratio, k
a; 
(D) GEM inputs associated with 
powertrain testing include powertrain 
family, transmission calibration identifier, test data from 40 CFR 1037.550, and the powertrain test configuration (dynamometer connected to transmission output or wheel hub). 
(iii) Idle-reduction technologies. 
Identify whether the manufacturer’s vehicle has qualifying idle-reduction technologies, subject to the qualifying criteria in 40 and 1037.660 and enter values for stop start and neutral idle technologies as specified in 40 CFR 1037.520(h). 
(iv) Axle and transmission efficiency. 
Manufacturers may use axle efficiency maps as described in 40 CFR 1037.560 and transmission efficiency maps as described in 40 CFR 1037.565 to replace the default values in GEM. 
(v) Additional reduction technologies. 
Enter input values in GEM as follows to characterize the percentage CO
2 
emission reduction corresponding to certain technologies and vehicle configurations, or enter 0 as specified in 40 CFR 1037.520(j): 
(A) Intelligent controls (B) Accessory load (C) Tire-pressure systems 
(D) Extended-idle reduction (E) Additional GEM inputs may apply 
as follows: 
(1) Enter 1.7 and 0.9, respectively, for 
school buses and coach buses that have 
at least seven available forward gears. 
(2) If the agencies approve an off-cycle 
technology under § 535.7(f) and 40 CFR 1037.610 in the form of an improvement factor, enter the improvement factor expressed as a percentage reduction in CO
2emissions. (Note: In the case of 
approved off-cycle technologies whose benefit is quantified as a g/ton-mile credit, apply the credit to the GEM result, not as a GEM input value.) 
(vi) Vehicles with hybrid power take- 
off (PTO). For vocational vehicles, determine the delta PTO emission result of the manufacturer’s engine and hybrid power take-off system as described in 40 CFR 1037.540. 
(vii) Aerodynamic improvements for 
vocational vehicles. For vocational vehicles certified using the Regional duty cycle, enter DC
dA values to account 
for using rear fairings and a reduced minimum frontal area as specified in 40 CFR 1037.520(m) and 1037.527. 
(viii) Alternate fuels. For fuels other 
than those identified in GEM, perform the simulation by identifying the vehicle as being diesel-fueled if the engine is subject to the compression- ignition standard, or as being gasoline- fueled if the engine is subject to the spark-ignition standards. Correct the engine or powertrain fuel map for mass- specific net energy content as described in 40 CFR 1036.535(b). 
(ix) Custom chassis vehicles. A 
simplified versions of GEM applies for custom chassis vehicle subject § 535.5(b)(6) in accordance with 40 CFR 1037.520(a)(2)(ii). 
(6) In unusual circumstances, 
manufacturers may ask EPA to use weighted average results of multiple GEM runs to represent special technologies for which no single GEM run can accurately reflect. 
(7) From the GEM results, select the 
CO
2family emissions level (FEL) and 
equivalent fuel consumption values for vocational vehicle and tractor families in each regulatory subcategory for each model year. Equivalent fuel consumption FELs are derived in GEM and expressed to the nearest 0.0001 gallons per 1000 ton-mile. For families containing multiple subfamilies, identify the FELs for each subfamily. 
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(c) [Reserved] 
(d) Heavy-duty engines. This section 
describes the method for determining 
equivalent fuel consumption family certification level (FCL) values for engine families of heavy-duty truck tractors and vocational vehicles. The NHTSA heavy-duty engine fuel consumption FCLs are determined from the EPA FCLs tested in accordance with 
40 CFR 1036, subpart F. Each engine family must use the same primary intended service class as designated for EPA in accordance with 40 CFR 1036.140. 
(1) Manufacturers must select 
emission-data engines representing the tested configuration of each engine family specified in 40 CFR part 86 and 40 CFR 1036.235 for engines in heavy- duty truck tractors and vocational vehicles that make up each of the manufacture’s regulatory subcategories. 
(2) Standards in § 535.5(d) apply to 
the CO
2emissions rates for each 
emissions-data engine in an engine family subject to the procedures and equipment specified in 40 CFR part 1036, subpart F. Determine equivalent fuel consumptions rates using CO
2 
emissions rates in grams per hp-hr measured to at least one more decimal place than that of the applicable EPA standard in 40 CFR 1036.108. 
(i) Use the CO
2emissions test results 
for engines running on each fuel type for conventional, dedicated, multi- fueled (dual-fuel, and flexible-fuel) engines as specified in 40 CFR part 1036, subpart F. 
(ii) Use the CO
2emissions result for 
multi-fueled engines using the same weighted fuel mixture emission results as specified in 40 CFR 1036.235 and 40 CFR part 1036, subpart F. 
(iii) Use the CO
2emissions test results 
for hybrid engines as described in 40 CFR 1036.525. 
(iv) All electric vehicles are deemed 
to have zero emissions of CO
2and zero 
fuel consumption. No emission or fuel consumption testing is required for such electric vehicles. 
(3) Use the CO
2emissions test results 
for tractor engine families in accordance with 40 CFR 1036.501 and for vocational vehicle engine families in accordance with 40 CFR part 86, subpart N, for each heavy-duty engine regulatory subcategory for each model year. 
(i) If a manufacturer certifies an 
engine family for use both as a vocational engine and as a tractor engine, the manufacturer must split the family into two separate subfamilies in accordance with 40 CFR 1036.230. The manufacturer may assign the numbers and configurations of engines within the respective subfamilies at any time prior 
to the submission of the end-of-year report required by 40 CFR 1036.730 and § 535.8. The manufacturer must track into which type of vehicle each engine is installed, although EPA may allow the manufacturer to use statistical methods to determine this for a fraction of its engines. 
(ii) The following engines are 
excluded from the engine families used 
to determine fuel consumption FCL values and the benefit for these engines is determined as an advanced technology credit under the ABT provisions provided in § 535.7(e); these provisions apply only for the Phase 1 program: 
(A) Engines certified as hybrid 
engines or power packs. 
(B) Engines certified as hybrid engines 
designed with PTO capability and that are sold with the engine coupled to a transmission. 
(C) Engines with Rankine cycle waste 
heat recovery. 
(4) Manufacturers generating CO
2 
emissions rates to demonstrate compliance to EPA vehicle standards for model years 2021 and later, using engine fuel maps determined in accordance with 40 CFR 1036.535 and 1036.540 or engine powertrain results in accordance with 40 CFR 1036.630 and 40 CFR 1037.550 for each engine configuration, must use the same compliance pathway and model years for certifying under the NHTSA program. Manufacturers may omit providing equivalent fuel consumption FCLs under this section if all of its engines will be installed in vehicles that are certified based on powertrain testing as described in 40 CFR 1037.550. 
(5) Calculate equivalent fuel 
consumption values from the emissions CO
2FCLs levels for certified engines, in 
gallons per 100 hp-hr and round each fuel consumption value to the nearest 0.0001 gallon per 100 hp-hr. 
(i) Calculate equivalent fuel 
consumption FCL values for compression-ignition engines and alternative fuel compression-ignition engines. CO
2FCL value (grams per hp- 
hr)/10,180 grams per gallon of diesel fuel) × (10
2) = Fuel consumption FCL 
value (gallons per 100 hp-hr). 
(ii) Calculate equivalent fuel 
consumption FCL values for spark- ignition engines and alternative fuel spark-ignition engines. CO
2FCL value 
(grams per hp-hr)/8,877 grams per gallon of gasoline fuel) × (10
2) = Fuel 
consumption FCL value (gallons per 100 hp-hr). 
(iii) Manufacturers may carryover fuel 
consumption data from a previous model year if allowed to carry over emissions data for EPA in accordance with 40 CFR 1036.235. 
(iv) If a manufacturer uses an alternate 
test procedure under 40 CFR 1065.10 and subsequently the data is rejected by EPA, NHTSA will also reject the data. 
(e) Heavy-duty trailers. This section 
describes the method for determining the fuel consumption performance rates for trailers. The NHTSA heavy-duty trailers fuel consumption performance rates correspond to the same requirements for EPA as specified in 40 CFR part 1037, subpart F. 
(1) Select trailer family configurations 
that make up each of the manufacturer’s regulatory subcategories of heavy-duty trailers in 40 CFR 1037.230 and § 535.4. 
(2) Obtain preliminary approvals for 
trailer aerodynamic devices from EPA in accordance with 40 CFR 1037.150. 
(3) For manufacturers voluntarily 
complying in model years 2018 through 2020, and for trailers complying with mandatory standards in model years 2021 and later, determine the CO
2 
emissions and fuel consumption results for partial- and full-aero trailers using the equations and technologies specified in 40 CFR part 1037, subpart F. Use testing to determine input values in accordance with 40 CFR 1037.515. 
(4) From the equation results, use the 
CO
2family emissions level (FEL) to 
calculate equivalent fuel consumption FELs are expressed to the nearest 0.0001 gallons per 1000 ton-mile. 
(i) For families containing multiple 
subfamilies, identify the FELs for each subfamily. 
(ii) Calculate equivalent fuel 
consumption FEL values for trailer families. CO
2FEL value (grams per 1000 
ton-mile)/10,180 grams per 1000 ton- mile of diesel fuel) × (10
3) = Fuel 
consumption FEL value. The equivalent fuel consumption FELs are expressed to the nearest 0.0001 gallons per 1000 ton- mile. 
§ 535.7 Averaging, banking, and trading 
(ABT) credit program. 
(a) General provisions. After the end 
of each model year, manufacturers must 
comply with the fuel consumption standards in § 535.5 for averaging, banking and trading credits. Trailer manufacturers are excluded from this section except for those producing full- aero box trailers, which may comply with special provisions in paragraph (e) of this section. Manufacturers comply with standards if the sum of averaged, banked and traded credits generate a ‘‘zero’’ credit balance or a credit surplus within an averaging set of vehicles or engines. Manufacturers fail to comply with standards if the sum of the credit flexibilities generate a credit deficit (or 
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shortfall) in an averaging set. Credit 
shortfalls must be offset by banked or traded credits within three model years after the shortfall is incurred. These processes are hereafter referenced as the NHTSA ABT credit program. The following provisions apply to all fuel consumption credits. 
(1) Credits (or fuel consumption 
credits (FCCs)). Credits in this part mean a calculated weighted value representing the difference between the fuel consumption performance and the standard of a vehicle or engine family or fleet within a particular averaging set. Positive credits represent cases where a vehicle or engine family or fleets perform better than the applicable standard (the fuel consumption performance is less than the standard) whereas negative credits represent underperforming cases. The value of a credit is calculated according to paragraphs (b) through (e) of this section. FCCs are only considered earned or useable for averaging, banking or trading after EPA and NHTSA have verified the information in a manufacturer’s final reports required in § 535.8. Types of FCCs include the following: 
(i) Conventional credits. Credits 
generated by vehicle or engine families or fleets containing conventional vehicles (i.e., gasoline, diesel and 
alternative fueled vehicles). 
(ii) Early credits. Credits generated by 
vehicle or engine families or fleets produced for model year 2013. Early credits are multiplied by an incentive factor of 1.5 times. 
(iii) Advanced technology credits. 
Credits generated by vehicle or engine families or subconfigurations containing vehicles with advanced technologies 
(i.e., hybrids with regenerative braking, 
vehicles equipped with Rankine-cycle engines, electric and fuel cell vehicles) and incentivized under this ABT credit program in paragraph (f)(1) of this section and by EPA under 40 CFR 86.1819–14(d)(7), 1036.615, and 1037.615. 
(iv) Innovative and off-cycle 
technology credits. Credits can be generated by vehicle or engine families or subconfigurations having fuel consumption reductions resulting from technologies not reflected in the GEM simulation tool or in the FTP chassis dynamometer and that were not in common use with heavy-duty vehicles or engines before model year 2010 that are not reflected in the specified test procedure. Manufacturers should prove that these technologies were not in common use in heavy-duty vehicles or engines before model year 2010 by demonstrating factors such as the penetration rates of the technology in 
the market. NHTSA will not approve any request if it determines that these technologies do not qualify. The approach for determining innovative and off-cycle technology credits under this fuel consumption program is described in paragraph (f)(2) of this section and by EPA under 40 CFR 86.1819–14(d)(13), 1036.610, and 1037.610. 
(2) Averaging. Averaging is the 
summing of a manufacturer’s positive and negative FCCs for engines or vehicle families or fleets within an averaging set. The principle averaging sets are defined in § 535.4. 
(i) A credit surplus occurs when the 
net sum of the manufacturer’s generated credits for engines or vehicle families or fleets within an averaging set is positive (a zero credit balance is when the sum equals zero). 
(ii) A credit deficit occurs when the 
net sum of the manufacturer’s generated credits for engines or vehicle families or fleets within an averaging set is negative. 
(iii) Positive credits, other than 
advanced technology credits, generated 
and calculated within an averaging set may only be used to offset negative credits within the same averaging set. 
(iv) Manufacturers may certify one or 
more vehicle families (or subfamilies) to an FEL above the applicable fuel consumption standard, subject to any applicable FEL caps and other provisions allowed by EPA in 40 CFR parts 1036 and 1037, if the manufacturer shows in its application for certification to EPA that its projected balance of all FCC transactions in that model year is greater than or equal to zero or that a negative balance is allowed by EPA under 40 CFR 1036.745 and 1037.745. 
(v) If a manufacturer certifies a 
vehicle family to an FEL that exceeds the otherwise applicable standard, it must obtain enough FCC to offset the vehicle family’s deficit by the due date of its final report required in § 535.8. The emission credits used to address the deficit may come from other vehicle families that generate FCCs in the same model year (or from the next three subsequent model years), from banked FCCs from previous model years, or from FCCs generated in the same or previous model years that it obtained through trading. Note that the option for using banked or traded credits does not apply for trailers. 
(vi) Manufacturers may certify a 
vehicle or engine family using an FEL (as described in § 535.6) below the fuel consumption standard (as described in § 535.5) and choose not to generate conventional fuel consumption credits for that family. Manufacturers do not need to calculate fuel consumption credits for those families and do not need to submit or keep the associated records described in § 535.8 for these families. Manufacturers participating in NHTSA’s FCC program must provide reports as specified in § 535.8. 
(3) Banking. Banking is the retention 
of surplus FCC in an averaging set by the manufacturer for use in future model years for the purpose of averaging or trading. 
(i) Surplus credits may be banked by 
the manufacturer for use in future model years, or traded, given the restriction that the credits have an expiration date of five model years after the year in which the credits are generated. For example, banked credits earned in model year 2014 may be utilized through model year 2019. Surplus credits will become banked credits unless a manufacturer contacts NHTSA to expire its credits. 
(ii) Surplus credits become earned or 
usable banked FCCs when the manufacturer’s final report is approved by both agencies. However, the agencies may revoke these FCCs at any time if they are unable to verify them after reviewing the manufacturer’s reports or auditing its records. 
(iii) Banked FCC retain the 
designation from the averaging set and model year in which they were generated. 
(iv) Banked credits retain the 
designation of the averaging set in which they were generated. 
(v) Trailer manufacturers generating 
credits in paragraph (e) of this section may not bank credits except to resolve credit deficits in the same model year or from up to three prior model years. 
(4) Trading. Trading is a transaction 
that transfers banked FCCs between manufacturers or other entities in the same averaging set. A manufacturer may use traded FCCs for averaging, banking, or further trading transactions. 
(i) Manufacturers may only trade 
banked credits to other manufacturers to use for compliance with fuel consumption standards. Traded FCCs, other than advanced technology credits, may be used only within the averaging set in which they were generated. Manufacturers may only trade credits to other entities for the purpose of expiring credits. 
(ii) Advanced technology credits can 
be traded across different averaging sets. 
(iii) The agencies may revoke traded 
FCCs at any time if they are unable to verify them after reviewing the manufacturer’s reports or auditing its records. 
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(iv) If a negative FCC balance results 
from a transaction, both the buyer and 
seller are liable, except in cases the agencies deem to involve fraud. See § 535.9 for cases involving fraud. EPA also may void the certificates of all vehicle families participating in a trade that results in a manufacturer having a negative balance of emission credits. See 40 CFR 1037.745. 
(v) Trailer manufacturers generating 
credits in paragraph (e) of this section starting in model year 2027 may not bank or trade credits. These manufacturers may only use credits for the purpose of averaging. 
(vi) Manufacturers with deficits or 
projecting deficits before or during a production model year may not trade credits until its available credits exceed the deficit. Manufacturers with a deficit may not trade credits if the deadline to offset that credit deficit has passed. 
(5) Credit deficit (or credit shortfall). 
A credit shortfall or deficit occurs when the sum of the manufacturer’s generated credits for engines or vehicle families or fleets within an averaging set is 
negative. Credit shortfalls must be offset by an available credit surplus within three model years after the shortfall was incurred. If the shortfall cannot be offset, the manufacturer is liable for civil penalties as discussed in § 535.9. 
(6) FCC credit plan. (i) Each model 
year manufacturers submit credit plan in their certificates of conformity as required in 40 CFR 1036.725(b)(2) and 40 CFR 1037.725(b)(2). The plan is required to contain equivalent fuel consumption information in accordance § 535.8(c). The plan must include: 
(A) Detailed calculations of projected 
emission and fuel consumption credits (positive or negative) based on projected U.S.-directed production volumes. The agencies may require a manufacturer to include similar calculations from its other engine or vehicle families to project its net credit balances for the model year. If a manufacturer projects negative emission and/or fuel consumption credits for a family, it must state the source of positive emission and/or fuel consumption credits it expects to use to offset the negative credits demonstrating how it plans to resolve any credit deficits that might occur for a model year within a period of up to three model years after that deficit has occurred. 
(B) Actual emissions and fuel 
consumption credit balances, credit transactions, and credit trades. 
(ii) Manufacturers are required to 
provide updated credit plans after receiving their final verified reports from EPA and NHTSA after the end of each model year. (iii) The agencies may determine that 
a manufacturer’s plan is unreasonable or unrealistic based on a consideration of past and projected use of specific technologies, the historical sales mix of its vehicle models, subsequent failure to follow any submitted plans, and limited expected access to traded credits. 
(iv) The agencies may also consider 
the plan unreasonable if the manufacturer’s credit deficit increases from one model year to the next. The agencies may require that the manufacturers must send interim reports describing its progress toward resolving its credit deficit over the course of a model year. 
(v) If NHTSA determines that a 
manufacturers plan is unreasonable or unrealistic, the manufacturer is deemed as not comply with fuel consumption standards as specified in § 535.10(c) and the manufacturer may be liable for civil penalties. 
(7) Revoked credits. NHTSA may 
revoke fuel consumption credits if unable to verify any information after auditing reports or records or conducting confirmatory testing. In the cases where EPA revokes emissions CO
2 
credits, NHTSA will revoke the equivalent amount of fuel consumption credits. 
(8) Transition to Phase 2 standards. 
The following provisions allow for enhanced use of fuel consumption credits from Phase 1 tractors and vocational vehicles for meeting the Phase 2 standards: 
(i) Fuel consumption credits a 
manufacturer generates for light and medium heavy-duty vocational vehicles in model years 2018 through 2021 may be used through model year 2027, instead of being limited to a five-year credit life as specified in this part. 
(ii) The manufacturer may use the off- 
cycle provisions of paragraph (f) of this section to apply technologies to Phase 1 vehicles as follows: 
(A) A manufacturer may apply an 
improvement factor of 0.988 for tractors and vocational vehicles with automatic tire inflation systems on all axles. 
(B) For vocational vehicles with 
automatic engine shutdown systems that conform with 40 CFR 1037.660, a manufacturer may apply an improvement factor of 0.95. 
(C) For vocational vehicles with stop- 
start systems that conform with 40 CFR 1037.660, a manufacturer may apply an improvement factor of 0.92. 
(D) For vocational vehicles with 
neutral-idle systems conforming with 40 CFR 1037.660, manufacturers may apply an improvement factor of 0.98. Manufacturers may adjust this improvement factor if we approve a partial reduction under 40 CFR 
1037.660(a)(2); for example, if the manufacturer’s design reduces fuel consumption by half as much as shifting to neutral, it may apply an improvement factor of 0.99. 
(9) Credits for small business 
manufacturers. Small manufacturers 
may generate fuel consumption credits for natural gas-fueled vocational vehicles as follows: 
(i) Small manufacturers may certify 
their vehicles instead of relying on the exemption of § 535.3. 
(ii) Use Phase 1 GEM to determine a 
fuel consumption level for vehicle, then multiply this value by the engine’s FCL for fuel consumption and divide by the engine’s applicable fuel consumption standard. 
(iii) Use the value determined in 
paragraph (ii) in the credit equation specified in part (c) of this section in place of the term (Std ¥ FEL). 
(iv) The following provisions apply 
uniquely to small businesses under the custom-chassis standards of § 535.5(b)(6): 
(A) Manufacturers may use fuel 
consumption credits generated under paragraph (c) of this section, including banked or traded credits from any averaging set. Such credits remain subject to other limitations that apply under this part. 
(B) Manufacturers may produce up to 
200 drayage tractors in a given model year to the standards described in § 535.5(b)(6) for ‘‘other buses’’. Treat these drayage tractors as being in their own averaging set. 
(10) Certifying non-gasoline engines. 
A manufacturer producing non-gasoline engines complying with model year 2021 or later medium heavy-duty spark- ignition standards may not generate fuel consumption credits. Only manufacturers producing gasoline engines certifying to spark-ignition standards can generate fuel consumption credits under paragraph (d) of this part. 
(b) ABT provisions for heavy-duty 
pickup trucks and vans. (1) Calculate 
fuel consumption credits in a model year for one fleet of conventional heavy- duty pickup trucks and vans and if designated by the manufacturer another consisting of advance technology vehicles for the averaging set as defined in § 535.4. Calculate credits for each fleet separately using the following equation: 
Total MY Fleet FCC (gallons) =
(Std ¥ Act) × (Volume) × (UL) × 
(10
2) 
Where: 
Std = Fleet average fuel consumption 
standard (gal/100 mile). 
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Act = Fleet average actual fuel consumption 
value (gal/100 mile). 
Volume = the total U.S.-directed production 
of vehicles in the regulatory subcategory. 
UL = the useful life for the regulatory 
subcategory. The useful life value for 
heavy-pickup trucks and vans manufactured for model years 2013 through 2020 is equal to the 120,000 miles. The useful life for model years 2021 and later is equal to 150,000 miles. 
(2) Adjust the fuel consumption 
performance of subconfigurations with 
advanced technology for determining the fleet average actual fuel consumption value as specified in paragraph (f)(1) of this section and 40 CFR 86.1819–14(d)(7). Advanced technology vehicles can be separated in a different fleet for the purpose of applying credit incentives as described in paragraph (f)(1) of this section. 
(3) Adjust the fuel consumption 
performance for subconfigurations with innovative technology. A manufacturer is eligible to increase the fuel consumption performance of heavy- duty pickup trucks and vans in accordance with procedures established by EPA set forth in 40 CFR part 600. The eligibility of a manufacturer to increase its fuel consumption performance through use of an off-cycle technology requires an application request made to EPA and NHTSA in accordance with 40 CFR 86.1869–12 and an approval granted by the agencies. For off-cycle technologies that are covered under 40 CFR 86.1869–12, NHTSA will collaborate with EPA regarding NHTSA’s evaluation of the specific off- cycle technology to ensure its impact on fuel consumption and the suitability of using the off-cycle technology to adjust fuel consumption performance. NHTSA will provide its views on the suitability of the technology for that purpose to EPA. NHTSA will apply the criteria in section (f) of this section in granting or denying off-cycle requests. 
(4) Fuel consumption credits may be 
generated for vehicles certified in model year 2013 to the model year 2014 standards in § 535.5(a). If a manufacturer chooses to generate CO
2 
emission credits under EPA’s provisions in 40 CFR part 86, it may also voluntarily generate early credits under the NHTSA fuel consumption program. To do so, a manufacturer must certify its entire U.S.-directed production volume of vehicles in its fleet. The same production volume restrictions specified in 40 CFR 1037.150(a)(2) relating to when test groups are certified apply to the NHTSA early credit provisions. Credits are calculated as specified in paragraph (b)(3) of this section relative to the fleet standard that would apply for model year 2014 using the model year 2013 production volumes. Surplus credits generated under this paragraph (b)(4) are available for banking or trading. Credit deficits for an averaging set prior to model year 2014 do not carry over to model year 2014. These credits may be used to show compliance with the standards of this part for 2014 and later model years. Once a manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain standardized with the same implementation approach being followed to meet the EPA CO
2emission 
program. 
(5) Calculate the averaging set credit 
value by summing together the fleet credits for conventional and advanced technology vehicles including any adjustments for innovative technologies. Manufacturers may sum conventional and innovative technology credits before adding any advanced technology credits in each averaging set. 
(6) For credits that manufacturers 
calculate based on a useful life of 120,000 miles, multiply any banked credits carried forward for use in model year 2021 and later by 1.25. For credit deficits that a manufacturer calculates based on a useful life of 120,000 miles and that it offsets with credits originally earned in model year 2021 and later, it multiplies the credit deficit by 1.25. 
(c) ABT provisions for vocational 
vehicles and tractors. (1) Calculate the fuel consumption credits in a model year for each participating family or subfamily consisting of conventional vehicles in each averaging set (as defined in § 535.4) using the equation in this section. Each designated vehicle family or subfamily has a ‘‘family emissions limit’’ (FEL) that is compared to the associated regulatory subcategory standard. An FEL that falls below the regulatory subcategory standard creates ‘‘positive credits,’’ while fuel consumption level of a family group above the standard creates a ‘‘negative credits.’’ The value of credits generated for each family or subfamily in a model year is calculated as follows and must be rounded to nearest whole number: 
Vehicle Family FCC (gallons) =
(Std ¥ FEL) × (Payload) × (Volume) × 
(UL) × (10
3) 
Where: 
Std = the standard for the respective vehicle 
family regulatory subcategory (gal/1000 
ton-mile). 
FEL = family emissions limit for the vehicle 
family (gal/1000 ton-mile). 
Payload = the prescribed payload in tons for 
each regulatory subcategory as shown in the following table: Regulatory subcategory Payload 
(tons) 
Vocational LHD Vehicles ...... 2.85 
Vocational MHD Vehicles ..... 5.60 
Vocational HHD Vehicles ..... 7.5 
MDH Tractors ....................... 12.50 
HHD Tractors, other than 
heavy-haul Tractors .......... 19.00 
Heavy-haul Tractors ............. 43.00 
Volume = the number of U.S.-directed 
production volume of vehicles in the corresponding vehicle family. 
UL = the useful life for the regulatory 
subcategory (miles) as shown in the following table: 
Regulatory subcategory UL 
(miles) 
LHD Vehicles ....................... 110,000 
(Phase 1). 
150,000 
(Phase 2). 
Vocational MHD Vehicles 
and tractors at or below 33,000 pounds GVWR.185,000. 
Vocation HHD Vehicles and 
tractors at or above 33,000 pounds GVWR.435,000. 
(i) Calculate the value of credits 
generated in a model year for each 
family or subfamily consisting of vehicles with advanced technology vehicles in each averaging set using the equation above and the guidelines provided in paragraph (f)(1) of this section. Manufacturers may generate credits for advanced technology vehicles using incentives specified in paragraph (f)(1) of this section. 
(ii) Calculate the value of credits 
generated in a model year for each family or subfamily consisting of vehicles with off-cycle technology vehicles in each averaging set using the equation above and the guidelines provided in paragraph (f)(2) of this section. 
(2) Manufacturers must sum all 
negative and positive credits for each vehicle family within each applicable averaging set to obtain the total credit balance for the model year before rounding. The sum of fuel consumptions credits must be rounded to the nearest gallon. Calculate the total credits generated in a model year for each averaging set using the following equation: 
Total averaging set MY credits = S 
Vehicle family credits within each 
averaging set 
(3) Manufacturers can sum 
conventional and innovative technology credits before adding any advanced technology credits in each averaging set. 
(4) If a manufacturer chooses to 
generate CO
2emission credits under 
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EPA provisions of 40 CFR 1037.150(a), 
it may also voluntarily generate early credits under the NHTSA fuel consumption program as follows: 
(i) Fuel consumption credits may be 
generated for vehicles certified in model year 2013 to the model year 2014 standards in § 535.5(b) and (c). To do so, a manufacturer must certify its entire U.S.-directed production volume of vehicles. The same production volume restrictions specified in 40 CFR 1037.150(a)(1) relating to when test groups are certified apply to the NHTSA early credit provisions. Credits are calculated as specified in paragraph (c)(11) of this section relative to the standards that would apply for model year 2014. Surplus credits generated under this paragraph (c)(4) may be increased by a factor of 1.5 for determining total available credits for banking or trading. For example, if a manufacturer has 10 gallons of surplus credits for model year 2013, it may bank 15 gallons of credits. Credit deficits for an averaging set prior to model year 2014 do not carry over to model year 2014. These credits may be used to show compliance with the standards of this part for 2014 and later model years. Once a manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain standardized with the same implementation approach being followed to meet the EPA CO
2emission 
program. 
(ii) A tractor manufacturer may 
generate fuel consumption credits for the number of additional SmartWay designated tractors (relative to its MY 2012 production), provided that credits are not generated for those vehicles under paragraph (c)(4)(i) of this section. Calculate credits for each regulatory sub-category relative to the standard that would apply in model year 2014 using the equations in paragraph (c)(2) of this section. Use a production volume equal to the number of verified model year 2013 SmartWay tractors minus the number of verified model year 2012 SmartWay tractors. A manufacturer may bank credits equal to the surplus credits generated under this paragraph multiplied by 1.50. A manufacturer’s 2012 and 2013 model years must be equivalent in length. Once a 
manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain standardized with the same implementation approach being followed to meet the EPA CO
2emission 
program. 
(5) If a manufacturer generates credits 
from vehicles certified for advanced technology in accordance with paragraph (e)(1) of this section, a 
multiplier of 1.5 can be used, but this multiplier cannot be used on the same credits for which the early credit multiplier is used. 
(6) For model years 2012 and later, 
manufacturers may generate or use fuel consumption credits for averaging to demonstrate compliance with the alternative standards as described in § 535.5(b)(6) of this part. Manufacturers can specify a Family Emission Limit (FEL) for fuel consumption for each vehicle subfamily. The FEL may not be 
less than the result of emissions and fuel consumption modeling as described in 40 CFR 1037.520 and § 535.6. These FELs serve as the fuel consumption standards for the vehicle subfamily instead of the standards specified in this § 535.5(b)(6). Manufacturers may not use averaging for motor homes, coach buses, emergency vehicles or concrete mixers meeting standards under § 535.5(b)(5). 
(7) Manufacturers may not use 
averaging for vehicles meeting standards § 535.5(b)(6)(iv) through (vi), and manufacturers may not use fuel consumption credits for banking or trading for any vehicles certified under § 535.5(b)(6). 
(8) Manufacturers certifying any 
vehicles under § 535.5(b)(6) must consider each separate vehicle type (or group of vehicle types) as a separate averaging set. 
(d) ABT provisions for heavy-duty 
engines. (1) Calculate the fuel 
consumption credits in a model year for each participating family or subfamily consisting of engines in each averaging set (as defined in § 535.4) using the equation in this section. Each designated engine family has a ‘‘family certification level’’ (FCL) which is compared to the associated regulatory subcategory standard. A FCL that falls below the regulatory subcategory standard creates ‘‘positive credits,’’ while fuel consumption level of a family group above the standard creates a ‘‘credit shortfall.’’ The value of credits generated in a model year for each engine family or subfamily is calculated as follows and must be rounded to nearest whole number: 
Engine Family FCC (gallons) =
(Std ¥ FCL) × (CF) × (Volume) × 
(UL) × (10
2) 
Where: 
Std = the standard for the respective engine 
regulatory subcategory (gal/100 hp-hr). 
FCL = family certification level for the engine 
family (gal/100 hp-hr). 
CF = a transient cycle conversion factor in 
hp-hr/mile which is the integrated total 
cycle horsepower-hour divided by the equivalent mileage of the applicable test cycle. For engines subject to spark- ignition heavy-duty standards, the equivalent mileage is 6.3 miles. For engines subject to compression-ignition heavy-duty standards, the equivalent mileage is 6.5 miles. 
Volume = the number of engines in the 
corresponding engine family. 
UL = the useful life of the given engine 
family (miles) as shown in the following table: 
Regulatory subcategory UL 
(miles) 
SI and CI LHD Engines ....... 120,000 
(Phase 1). 
150,000 
(Phase 2). 
CI MHD Engines .................. 185,000. 
CI HHD Engines ................... 435,000. 
(i) Calculate the value of credits 
generated in a model year for each family or subfamily consisting of engines with advanced technology vehicles in each averaging set using the equation above and the guidelines provided in paragraph (f)(1) of this section. Manufacturers may generate credits for advanced technology 
vehicles using incentives specified in paragraph (f)(1) of this section. 
(ii) Calculate the value of credits 
generated in a model year for each family or subfamily consisting of engines with off-cycle technology vehicles in each averaging set using the equation above and the guidelines provided in paragraph (f)(2) of this section. 
(2) Manufacturers shall sum all 
negative and positive credits for each engine family within the applicable averaging set to obtain the total credit balance for the model year before rounding. The sum of fuel consumptions credits should be rounded to the nearest gallon. 
Calculate the total credits generated in 
a model year for each averaging set using the following equation: 
Total averaging set MY credits = S 
Engine family credits within each 
averaging set 
(3) The provisions of this section 
apply to manufacturers utilizing the compression-ignition engine voluntary alternate standard provisions specified in § 535.5(d)(4) as follows: 
(i) Manufacturers may not certify 
engines to the alternate standards if they are part of an averaging set in which they carry a balance of banked credits. For purposes of this section, manufacturers are deemed to carry credits in an averaging set if they carry credits from advance technology that are allowed to be used in that averaging set. 
(ii) Manufacturers may not bank fuel 
consumption credits for any engine 
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family in the same averaging set and 
model year in which it certifies engines to the alternate standards. This means a manufacturer may not bank advanced technology credits in a model year it certifies any engines to the alternate standards. 
(iii) Note that the provisions of 
paragraph (d)(10) of this section apply with respect to credit deficits generated while utilizing alternate standards. 
(4) Where a manufacturer has chosen 
to comply with the EPA alternative compression-ignition engine phase-in standard provisions in 40 CFR 1036.150(e), and has optionally decided to follow the same path under the NHTSA fuel consumption program, it must certify all of its model year 2013 compression-ignition engines within a given averaging set to the applicable alternative standards in § 535.5(d)(5). Engines certified to these standards are not eligible for early credits under paragraph (d)(14) of this section. Credits are calculated using the same equation provided in paragraph (d)(11) of this section. 
(5) If a manufacturer chooses to 
generate early CO
2emission credits 
under EPA provisions of 40 CFR 1036.150, it may also voluntarily generate early credits under the NHTSA fuel consumption program. Fuel consumption credits may be generated for engines certified in model year 2013 (2015 for spark-ignition engines) to the standards in § 535.5(d). To do so, a manufacturer must certify its entire U.S.-directed production volume of engines except as specified in 40 CFR 1036.150(a)(2). Credits are calculated as specified in paragraph (d)(11) of this section relative to the standards that would apply for model year 2014 (2016 for spark-ignition engines). Surplus credits generated under this paragraph (d)(3) may be increased by a factor of 1.5 for determining total available credits for banking or trading. For example, if a manufacturer has 10 gallons of surplus credits for model year 2013, it may bank 
15 gallons of credits. Credit deficits for an averaging set prior to model year 2014 (2016 for spark-ignition engines) do not carry over to model year 2014 (2016 for spark-ignition engines). These credits may be used to show compliance with the standards of this part for 2014 and later model years. Once a manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain standardized with the same implementation approach being followed to meet the EPA CO
2emission 
program. 
(6) Manufacturers may generate fuel 
consumption credits from an engine family subject to spark-ignition 
standards for exchanging with other engine families only if the engines in the family are gasoline-fueled. 
(7) Engine credits generated for 
compression-ignition engines in the 2020 and earlier model years may be used in model year 2021 and later only 
if the credit-generating engines were certified to the tractor standards in § 535.5(d) and 40 CFR 1036.108. Manufacturers may otherwise use fuel consumption credits generated in one model year without adjustment for certifying vehicles in a later model year, even if fuel consumption standards are different. 
(8) Engine families manufacturers 
certify with a nonconformance penalty under 40 CFR part 86, subpart L, and may not generate fuel consumption credits. 
(9) Alternate transition option for 
Phase 2 engine standards. The following provisions allow for enhanced generation and use of fuel consumption credits for manufacturers complying with engines standards in accordance with § 535.7(d)(11): 
(i) If a manufacturer is eligible to 
certify all of its model year 2020 engines within the averaging set to the tractor and vocational vehicle engine standards in § 535.5(d)(11) and the requirements applicable to model year 2021 engines, the banked and traded fuel consumption credits generated for model year 2018 through 2024 engines may be used through model year 2030 as specified in paragraph (d)(9)(ii) of this section or through a five-year credit life, whichever is later. 
(ii) Banked and traded fuel 
consumption credits generated under this paragraph (d)(9) for model year 2018 through 2024 engines may be used through model year 2030 with the extended credit life values shown in the table: 
Model year Credit life 
for transition 
option for 
phase 2 
engine standards 
(years) 
2018 ................................ 12 
2019 ................................ 11 
2020 ................................ 10 
2021 ................................ 9 
2022 ................................ 8 
2023 ................................ 7 
2024 ................................ 6 
2025 and later ................ 5 
(e) ABT provisions for trailers. (1) 
Manufacturers cannot use averaging for non-box trailers, partial-aero trailers, or non-aero trailers or cannot use fuel consumption credits for banking or trading. Starting in model year 2027, full aero box van manufactures may average, credits. 
(2) Calculate the fuel consumption 
credits in a model year for each participating family or subfamily consisting of full aero box trailers (vehicles) in each averaging set (as defined in § 535.4) using the equation in this section. Each designated vehicle family or subfamily has a ‘‘family emissions limit’’ (FEL) which is compared to the associated regulatory subcategory standard. An FEL that falls below the regulatory subcategory standard creates ‘‘positive credits,’’ while fuel consumption level of a family group above the standard creates a ‘‘negative credits.’’ The value of credits generated for each family or subfamily in a model year is calculated as follows and must be rounded to nearest whole number: 
Vehicle Family FCC (gallons) =
(Std – FEL) × (Payload) × (Volume) 
× (UL) × (10
3) 
Where: 
Std = the standard for the respective vehicle 
family regulatory subcategory (gal/1000 
ton-mile). 
FEL = family emissions limit for the vehicle 
family (gal/1000 ton-mile). 
Payload = 10 tons for short box vans and 19 
tons for other trailers. 
Volume = the number of U.S.-directed 
production volume of vehicles in the corresponding vehicle family. 
UL = the useful life for the regulatory 
subcategory. The useful life value for heavy-duty trailers is equal to the 250,000 miles. 
(3) Trailer manufacturers may not 
generate advanced technology credits. 
(4) Manufacturers shall sum all 
negative and positive credits for each 
vehicle family within the applicable averaging set to obtain the total credit balance for the model year before rounding. Calculate the total credits generated in a model year for each averaging set using the following equation: 
Total averaging set MY credits = S 
Vehicle family credits within each 
averaging set 
(5) Trailer manufacturers may not 
bank credits within an averaging set but surplus fuel consumption credits from a given model year may be used to offset deficits from earlier model years. 
(f) Additional credit provisions—(1) 
Advanced technology credits. (i) For the Phase 1 program, manufacturers of heavy-duty pickup trucks and vans, vocational vehicles, tractors and the associated engines showing improvements in CO
2emissions and 
fuel consumption using hybrid vehicles 
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with regenerative braking, vehicles 
equipped with Rankine-cycle engines, electric vehicles and fuel cell vehicles are eligible for advanced technology credits. Manufacturers shall use sound engineering judgment to determine the performance of the vehicle or engine with advanced technology. Advanced technology credits for vehicles or engines complying with Phase 1 standards may be increased by a 1.5 multiplier. Manufacturers may not apply this multiplier in addition to any early-credit multipliers. The maximum amount of credits a manufacturer may bring into the service class group that contains the heavy-duty pickup and van averaging set is 5.89 · 10
6gallons (for 
advanced technology credits based upon compression-ignition engines) or 6.76 · 10
6gallons (for advanced technology 
credits based upon spark-ignition engines) per model year as specified in 40 CFR part 86 for heavy-duty pickup trucks and vans, 40 CFR 1036.740 for engines and 40 CFR 1037.740 for tractors and vocational vehicles. The specified limit does not cap the amount of advanced technology credits that can be used across averaging sets within the same service class group. Advanced technology credits can be used to offset negative credits in the same averaging set or other averaging sets. A manufacturer must first apply advanced technology credits to any deficits in the same averaging set before applying them to other averaging. 
(A) Heavy-duty pickup trucks and 
vans. For advanced technology systems 
(hybrid vehicles with regenerative braking, vehicles equipped with Rankine-cycle engines and fuel cell vehicles), calculate fleet-average performance rates consistent with good engineering judgment and the provisions of 40 CFR 86.1819–14 and 86.1865. 
(B) Tractors and vocational vehicles. 
For advanced technology system (hybrid vehicles with regenerative braking, 
vehicles equipped with Rankine-cycle engines and fuel cell vehicles), calculate the advanced technology credits as follows: 
(1) Measure the effectiveness of the 
advanced system by conducting A to B testing a vehicle equipped with the advanced system and an equivalent conventional system in accordance with 40 CFR 1037.615. 
(2) For purposes of this paragraph (f), 
a conventional vehicle is considered to be equivalent if it has the same footprint, intended vehicle service class, aerodynamic drag, and other relevant factors not directly related to the advanced system powertrain. If there is no equivalent vehicle, the manufacturer may create and test a prototype equivalent vehicle. The conventional vehicle is considered Vehicle A, and the advanced technology vehicle is considered Vehicle B. 
(3) The benefit associated with the 
advanced system for fuel consumption is determined from the weighted fuel consumption results from the chassis tests of each vehicle using the following equation: 
Benefit (gallon/1000 ton mile) = 
Improvement Factor × GEM Fuel 
Consumption Result_ B 
Where: 
Improvement Factor = (Fuel Consumption_
A¥Fuel Consumption_ B)/(Fuel 
Consumption_ A). 
Fuel Consumption Rates A and B are the 
gallons per 1000 ton-mile of the 
conventional and advanced vehicles, respectively as measured under the test procedures specified by EPA. GEM Fuel Consumption Result B is the estimated gallons per 1000 ton-mile rate resulting from emission modeling of the advanced vehicle as specified in 40 CFR 1037.520 and § 535.6(b). 
(4) Calculate the benefit in credits 
using the equation in paragraph (c) of 
this section and replacing the term (Std- FEL) with the benefit. 
(5) For electric vehicles calculate the 
fuel consumption credits using an FEL of 0 g/1000 ton-mile. 
(C) Heavy-duty engines. This section 
specifies how to generate advanced technology-specific fuel consumption credits for hybrid powertrains that include energy storage systems and regenerative braking (including regenerative engine braking) and for engines that include Rankine-cycle (or other bottoming cycle) exhaust energy recovery systems. 
(1) Pre-transmission hybrid 
powertrains are those engine systems that include features that recover and store energy during engine motoring operation but not from the vehicle wheels. These powertrains are tested using the hybrid engine test procedures of 40 CFR part 1065 or using the post- transmission test procedures. 
(2) Post-transmission hybrid 
powertrains are those powertrains that include features that recover and store energy from braking at the vehicle wheels. These powertrains are tested by simulating the chassis test procedure applicable for hybrid vehicles under 40 CFR 1037.550. 
(3) Test engines that include Rankine- 
cycle exhaust energy recovery systems according to the test procedures specified in 40 CFR part 1036, subpart F, unless EPA approves the manufacturer’s alternate procedures. (D) Credit calculation. Calculate 
credits as specified in paragraph (c) of 
this section. Credits generated from engines and powertrains certified under this section may be used in other averaging sets as described in 40 CFR 1036.740(d). 
(ii) There are no separate credit 
allowances for advanced technology vehicles in the Phase 2 program. 
Instead, vehicle families containing plug-in battery electric hybrids, all- electric, and fuel cell vehicles certifying to Phase 2 vocational and tractor standards may multiply credits by a multiplier of: 
(A) 3.5 times for plug-in hybrid 
electric vehicles; 
(B) 4.5 times for all-electric vehicles; 
and 
(C) 5.5 times for fuel cell vehicles. 
(D) Incentivized credits for vehicles 
equipped with advanced technologies 
maintain the same credit flexibilities and restrictions as conventional credits specified in paragraph (a) of this section during the Phase 2 program. 
(E) For vocational vehicles and 
tractors subject to Phase 2 standards, create separate vehicle families if there is a credit multiplier for advanced technology; group those vehicles together in a vehicle family if they use the same multiplier. 
(F) For Phase 2 plug-in hybrid electric 
vehicles and for fuel cells powered by any fuel other than hydrogen, calculate fuel consumption credits using an FEL based on equivalent emission measurements from powertrain testing. Phase 2 advanced-technology credits do not apply for hybrid vehicles that have no plug-in capability. 
(2) Innovative and off-cycle 
technology credits. This provision allows fuel saving innovative and off- cycle engine and vehicle technologies to generate fuel consumption credits comparable to CO
2emission credits 
consistent with the provisions of 40 CFR 86.1819–14(d)(13) (for heavy-duty pickup trucks and vans), 40 CFR 1036.610 (for engines), and 40 CFR 1037.610 (for vocational vehicles and tractors). 
(i) For model years 2013 through 
2020, manufacturers may generate innovative technology credits for introducing technologies that were not in-common use for heavy-duty tractor, vocational vehicles or engines before model year 2010 and that are not reflected in the EPA specified test procedures. Upon identification and joint approval with EPA, NHTSA will allow equivalent fuel consumption credits into its program to those allowed by EPA for manufacturers seeking to obtain innovative technology credits in 
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a given model year. Such credits must 
remain within the same regulatory subcategory in which the credits were generated. NHTSA will adopt fuel consumption credits depending upon whether— 
(A) The technology has a direct 
impact upon reducing fuel consumption performance; and 
(B) The manufacturer has provided 
sufficient information to make sound engineering judgments on the impact of the technology in reducing fuel consumption performance. 
(ii) For model years 2021 and later, 
manufacturers may generate off-cycle technology credits for introducing technologies that are not reflected in the EPA specified test procedures. Upon identification and joint approval with EPA, NHTSA will allow equivalent fuel consumption credits into its program to those allowed by EPA for manufacturers seeking to obtain innovative technology credits in a given model year. Such credits must remain within the same regulatory subcategory in which the credits were generated. NHTSA will adopt fuel consumption credits depending upon whether— 
(A) The technology meets paragraph 
(f)(2)(i)(A) and (B) of this section. 
(B) For heavy-duty pickup trucks and 
vans, manufacturers using the 5-cycle test to quantify the benefit of a technology are not required to obtain approval from the agencies to generate results. 
(iii) The following provisions apply to 
all innovative and off-cycle technologies: 
(A) Technologies found to be 
defective, or identified as a part of NHTSA’s safety defects program, and technologies that are not performing as intended will have the values of approved off-cycle credits removed from the manufacturer’s credit balance. 
(B) Approval granted for innovative 
and off-cycle technology credits under NHTSA’s fuel efficiency program does not affect or relieve the obligation to comply with the Vehicle Safety Act (49 U.S.C. Chapter 301), including the ‘‘make inoperative’’ prohibition (49 U.S.C. 30122), and all applicable Federal motor vehicle safety standards issued thereunder (FMVSSs) (49 CFR part 571). In order to generate off-cycle or innovative technology credits manufacturers must state— 
(1) That each vehicle equipped with 
the technology for which they are seeking credits will comply with all applicable FMVSS(s); and 
(2) Whether or not the technology has 
a fail-safe provision. If no fail-safe provision exists, the manufacturer must explain why not and whether a failure of the innovative technology would affect the safety of the vehicle. 
(C) Manufacturers requesting approval 
for innovative technology credits are required to provide documentation in accordance with 40 CFR 86.1869–12, 1036.610, and 1037.610. 
(D) Credits will be accepted on a one- 
for-one basis expressed in terms of gallons in comparison to those approved by EPA. 
(E) For the heavy-duty pickup trucks 
and vans, the average fuel consumption will be calculated as a separate credit amount (rounded to the nearest whole number) using the following equation: 
Off-cycle FC credits = (CO
2Credit/CF)
× 100 × Production × VLM 
Where: 
CO 2Credits = the credit value in grams per 
mile determined in 40 CFR 86.1869– 
12(c)(3), (d)(1), (d)(2) or (d)(3). 
CF = conversion factor, which for spark- 
ignition engines is 8,887 and for compression-ignition engines is 10,180. 
Production = the total production volume for 
the applicable category of vehicles. 
VLM = vehicle lifetime miles, which for 2b– 
3 vehicles shall be 150,000 for the Phase 2 program. 
The term (CO
2Credit/CF) should be rounded 
to the nearest 0.0001. 
(F) NHTSA will not approve 
innovative technology credits for 
technology that is related to crash- avoidance technologies, safety critical systems or systems affecting safety- critical functions, or technologies designed for the purpose of reducing the frequency of vehicle crashes. 
(iv) Manufacturers normally may not 
calculate off-cycle credits or improvement factors under this section for technologies represented by GEM, but the agencies may allow a manufacturer to do so by averaging multiple GEM runs for special technologies for which a single GEM run cannot accurately reflect in-use performance. For example, if a manufacturer use an idle-reduction technology that is effective 80 percent of the time, the agencies may allow a manufacturer to run GEM with the technology active and with it inactive, and then apply an 80% weighting factor to calculate the off-cycle credit or improvement factor. A may need to perform testing to establish proper weighting factors or otherwise quantify the benefits of the special technologies. 
(v) A manufacturer may apply the off- 
cycle provisions of this paragraph (2) and 40 CFR 1037.610 to trailers as early as model year 2018 as follows: 
(A) A manufacturer may account for 
weight reduction based on measured values instead of using the weight reductions specified in 40 CFR 1037.515. Quantify the weight reduction by measuring the weight of a trailer in a certified configuration and comparing it to the weight of an equivalent trailer without weight-reduction technologies. This qualifies as A to B testing this part. Use good engineering judgment to select an equivalent trailer representing a baseline configuration. Use the calculated weight reduction in the equation specified in 40 CFR 1037.515 to calculate the trailer’s CO
2emission 
rate and calculate an equivalent fuel consumption rate. 
(B) If a manufacturer’s off-cycle 
technology reduces emissions and fuel consumption in a way that is proportional to measured rates as described in 40 CFR 1037.610(b)(1), multiply the trailer’s CO
2fuel 
consumption rate by the appropriate improvement factor. 
(C) If a manufacturer’s off-cycle 
technology does not yield emission and fuel consumption reductions that are proportional to measured rates, as described in 40 CFR 1037.610(b)(2), calculate an adjusted CO
2fuel 
consumption rate for trailers by subtracting the appropriate off-cycle credit. 
(vi) Carry-over Approval. 
Manufacturers may carry-over these credits into future model years as described below: 
(A) For model years before 2021, 
manufacturers may continue to use an approved improvement factor or credit for any appropriate engine or vehicle family in future model years through 2020. 
(B) For model years 2021 and later, 
manufacturers may not rely on an approval for model years before 2021. Manufacturers must separately request the agencies approval before applying an improvement factor or credit under this section for 2021 and later engines and vehicle, even if the agencies approve the improvement factor or credit for similar engine and vehicle models before model year 2021. 
(C) The following restrictions also 
apply to manufacturers seeking to continue to carryover the improvement factor (not the credit value) if— 
(1) The FEL is generated by GEM or 
5-cycle testing; 
(2) The technology is not changed or 
paired with any other off-cycle technology; 
(3) The improvement factor only 
applies to approved vehicle or engine families; 
(4) The agencies do not expect the 
technology to be incorporated into GEM at any point during the Phase 2 program; and 
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(D) The documentation to carryover 
credits that would primarily justify the 
difference in fuel efficiency between real world and compliance protocols is the same for both Phase 1 and Phase 2 compliance protocols. The agencies must approve the justification. If the agencies do not approve the justification, the manufacturer must recertify. 
§ 535.8 Reporting and recordkeeping 
requirements. 
(a) General requirements. 
Manufacturers producing heavy-duty 
vehicles and engines applicable to fuel consumption standards in § 535.5, for each given model year, must submit the required information as specified in paragraphs (b) through (h) of this section. 
(1) The information required by this 
part must be submitted by the deadlines specified in this section and must be based upon all the information and data available to the manufacturer 30 days before submitting information. 
(2) Manufacturers must submit 
information electronically through the EPA database system as the single point of entry for all information required for this national program and both agencies will have access to the information. In special circumstances, data may not be able to be received electronically (i.e., during database system development work). The agencies will inform manufacturer of the alternatives can be used for submitting information. The format for the required information will be specified by EPA in coordination with NHTSA. 
(3) Manufacturers providing 
incomplete reports missing any of the required information or providing untimely reports are considered as not complying with standards (i.e., if good- 
faith estimates of U.S.-directed production volumes for EPA certificates of conformity are not provided) and are liable to pay civil penalties in accordance with 49 U.S.C. 32912. 
(4) Manufacturers certifying a vehicle 
or engine family using an FEL or FCL below the applicable fuel consumption standard as described in § 535.5 may choose not to generate fuel consumption credits for that family. In which case, the manufacturer is not required to submit reporting or keep the associated records described in this part for that family. 
(5) Manufacturers must use good 
engineering judgment and provide comparable fuel consumption information to that of the information or data provided to EPA under 40 CFR 86.1865, 1036.250, 1036.730, 1036.825 1037.250, 1037.730, and 1037.825. (6) Any information that must be sent 
directly to NHTSA. In instances in 
which EPA has not created an electronic pathway to receive the information, the information should be sent through an electronic portal identified by NHTSA or through the NHTSA CAFE database (i.e., information on fuel consumption 
credit transactions). If hardcopy documents must be sent, the information should be sent to the Associate Administrator of Enforcement at 1200 New Jersey Avenue, NVS–200, Office W45–306, SW., Washington, DC 20590. 
(b) Pre-model year reports. 
Manufacturers producing heavy-duty pickup trucks and vans must submit reports in advance of the model year providing early estimates demonstrating how their fleet(s) would comply with GHG emissions and fuel consumption standards. Note, the agencies understand that early model year reports contain estimates that may change over the course of a model year and that compliance information manufacturers submit prior to the beginning of a new model year may not represent the final compliance outcome. The agencies view the necessity for requiring early model reports as a manufacturer’s good faith projection for demonstrating compliance with emission and fuel consumption standards. 
(1) Report deadlines. For model years 
2013 and later, manufacturer of heavy- duty pickup trucks and vans complying with voluntary and mandatory standards must submit a pre-model year report for the given model year as early as the date of the manufacturer’s annual 
certification preview meeting with EPA and NHTSA, or prior to submitting its first application for a certificate of conformity to EPA in accordance with 40 CFR 86.1819–14(d). For example, a manufacturer choosing to comply in model year 2014 could submit its pre- model year report during its precertification meeting which could occur before January 2, 2013, or could provide its pre-model year report any time prior to submitting its first application for certification for the given model year. 
(2) Contents. Each pre-model year 
report must be submitted including the following information for each model year. 
(i) A list of each unique 
subconfiguration in the manufacturer’s fleet describing the make and model designations, attribute based-values (i.e., GVWR, GCWR, Curb Weight and drive configurations) and standards; 
(ii) The emission and fuel 
consumption fleet average standard derived from the unique vehicle 
configurations; 
(iii) The estimated vehicle 
configuration, test group and fleet production volumes; 
(iv) The expected emissions and fuel 
consumption test group results and fleet average performance; 
(v) If complying with MY 2013 fuel 
consumption standards, a statement must be provided declaring that the manufacturer is voluntarily choosing to comply early with the EPA and NHTSA programs. The manufacturers must also acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for subsequent model years for all the vehicles it manufacturers in each 
regulatory category for a given model year; 
(vi) If complying with MYs 2014, 
2015 or 2016 fuel consumption standards, a statement must be provided declaring whether the manufacturer will use fixed or increasing standards in accordance with § 535.5(a). The manufacturer must also acknowledge that once selected, the decision cannot be reversed and the manufacturer must continue to comply with the same alternative for subsequent model years for all the vehicles it manufacturers in each regulatory category for a given model year; 
(vii) If complying with MYs 2014 or 
2015 fuel consumption standards, a statement must be provided declaring that the manufacturer is voluntarily choosing to comply with NHTSA’s voluntary fuel consumption standards in accordance with § 535.5(a)(4). The manufacturers must also acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for subsequent model years for all the vehicles it manufacturers in each regulatory category for a given model year; 
(viii) The list of Class 2b and 3 
incomplete vehicles (cab-complete or chassis complete vehicles) and the method used to certify these vehicles as complete pickups and vans identifying the most similar complete sister- or other complete vehicles used to derive the target standards and performance test results; 
(ix) The list of Class 4 and 5 
incomplete and complete vehicles and the method use to certify these vehicles as complete pickups and vans identifying the most similar complete or sister vehicles used to derive the target standards and performance test results; 
(x) List of loose engines included in 
the heavy-duty pickup and van category 
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and the list of vehicles used to derive 
target standards and performance test results; 
(xi) Copy of any notices a vehicle 
manufacturer sends to the engine manufacturer to notify the engine manufacturers that their engines are subject to emissions and fuel consumption standards and that it intends to use their engines in excluded vehicles; 
(xii) A fuel consumption credit plan 
as specified § 535.7(a) identifying the manufacturers estimated credit balances, planned credit flexibilities (i.e., credit balances, planned credit 
trading, innovative, advanced and early credits and etc.) and if needed a credit deficit plan demonstrating how it plans to resolve any credit deficits that might occur for a model year within a period of up to three model years after that deficit has occurred; and 
(xiii) The supplemental information 
specified in paragraph (h) of this section. 
Note to paragraph (b): NHTSA may also 
ask a manufacturer to provide additional information if necessary to verify compliance with the fuel consumption requirements of this section. 
(c) Applications for certificate of 
conformity. Manufacturers producing 
vocational vehicles, tractors and heavy- duty engines are required to submit applications for certificates of conformity to EPA in accordance with 40 CFR 1036.205 and 1037.205 in advance of introducing vehicles for commercial sale. Applications contain early model year information demonstrating how manufacturers plan to comply with GHG emissions. For model years 2013 and later, manufacturers of vocational vehicles, tractors and engine complying with NHTSA’s voluntary and mandatory standards must submit applications for certificates of conformity in accordance through the EPA database including both GHG emissions and fuel consumption information for each given model year. 
(1) Submission deadlines. 
Applications are primarily submitted in 
advance of the given model year to EPA but cannot be submitted any later than December 31 of the given model year. 
(2) Contents. Each application for 
certificates of conformity submitted to EPA must include the following equivalent fuel consumption. 
(i) Equivalent fuel consumption 
values for emissions CO
2FCLs values 
used to certify each engine family in accordance with 40 CFR 1036.205(e). This provision applies only to manufacturers producing heavy-duty engines. (ii) Equivalent fuel consumption 
values for emission CO
2data engines 
used to comply with emission standards 
in 40 CFR 1036.108. This provision applies only to manufacturers producing heavy-duty engines. 
(iii) Equivalent fuel consumption 
values for emissions CO
2FELs values 
used to certify each vehicle families or subfamilies in accordance with 40 CFR 1037.205(k). This provision applies only to manufacturers producing vocational vehicles and tractors. 
(iv) Report modeling results for ten 
configurations in terms of CO
2 
emissions and equivalent fuel consumption results in accordance with 40 CFR 1037.205(o). Include modeling inputs and detailed descriptions of how they were derived. This provision applies only to manufacturers producing vocational vehicles and tractors. 
(v) Credit plans including the fuel 
consumption credit plan described in § 535.7(a). 
(3) Additional supplemental 
information. Manufacturers are required 
to submit additional information as specified in paragraph (h) of this section for the NHTSA program before or at the same time it submits its first application for a certificate of conformity to EPA. Under limited conditions, NHTSA may also ask a manufacturer to provide additional information directly to the Administrator if necessary to verify the 
fuel consumption requirements of this regulation. 
(d) End of the Year (EOY) and Final 
reports. Heavy-duty vehicle and engine 
manufacturers participating in the ABT program are required to submit EOY and final reports containing information for NHTSA as specified in paragraph (d)(2) of this section and in accordance with 40 CFR 86.1865, 1036.730, and 1037.730. Only manufacturers without credit deficits may decide not to participate in the ABT or may waive the requirement to send an EOY report. The EOY and final reports are used to review a manufacturer’s preliminary or final compliance information and to identify manufacturers that might have a credit deficit for the given model year. For model years 2013 and later, heavy-duty vehicle and engine manufacturers complying with NHTSA’s voluntary and mandatory standards must submit EOY and final reports through the EPA database including both GHG emissions and fuel consumption information for each given model year. 
(1) Report deadlines. (i) For model 
year 2013 and later, heavy-duty vehicle and engine manufacturers complying with NHTSA voluntary and mandatory standards must submit EOY reports through the EPA database including both GHG emissions and fuel consumption information within 90 days after the end of the given model year and no later than March 31 of the next calendar year. 
(ii) For model year 2013 and later, 
heavy-duty vehicle and engine manufacturers complying with NHTSA voluntary and mandatory standards must submit final reports through the EPA database including both GHG emissions and fuel consumption information within 270 days after the end of the given model year and no later than September 30 of the next calendar year. 
(iii) A manufacturer may ask NHTSA 
and EPA to extend the deadline of a final report by up to 30 days. A manufacturer unable to provide, and requesting to omit an emissions rate or fuel consumption value from a final report must obtain approval from the agencies prior to the submission deadline of its final report. 
(iv) If a manufacturer expects 
differences in the information reported between the EOY and the final year report specified in 40 CFR 1036.730 and 1037.730, it must provide the most up- to-date fuel consumption projections in its final report and identify the information as preliminary. 
(v) If the manufacturer cannot provide 
any of the required fuel consumption information, it must state the specific reason for the insufficiency and identify the additional testing needed or explain what analytical methods are believed by the manufacturer will be necessary to eliminate the insufficiency and certify that the results will be available for the final report. 
(2) Contents. Each EOY and final 
report must be submitted including the following fuel consumption information for each model year. EOY reports contain preliminary final estimates and final reports must include the manufacturer’s final compliance information. 
(i) Engine and vehicle family 
designations and averaging sets. 
(ii) Engine and vehicle regulatory 
subcategory and fuel consumption standards including any alternative standards used. 
(iii) Engine and vehicle family FCLs 
and FELs in terms of fuel consumption. 
(iv) Production volumes for engines 
and vehicles. 
(v) A summary as specified in 
paragraph (g)(7) of this section describing the vocational vehicles and vocational tractors that were exempted as heavy-duty off-road vehicles. This applies to manufacturers participating 
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and not participating in the ABT 
program. 
(vi) A summary describing any 
advanced or innovative technology engines or vehicles including alternative fueled vehicles that were produced for the model year identifying the approaches used to determinate compliance and the production volumes. 
(vii) A list of each unique 
subconfiguration included in a manufacturer’s fleet of heavy-duty pickup trucks and vans identifying the attribute based-values (GVWR, GCWR, Curb Weight, and drive configurations) and standards. This provision applies only to manufacturers producing heavy- duty pickup trucks and vans. 
(viii) The fuel consumption fleet 
average standard derived from the unique vehicle configurations. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans. 
(ix) The subconfiguration and test 
group production volumes. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans. 
(x) The fuel consumption test group 
results and fleet average performance. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans. 
(xi) Manufacturers may correct errors 
in EOY and final reports as follows: 
(A) Manufacturers may correct any 
errors in their end-of-year report when preparing the final report, as long as manufacturers send us the final report by the time it is due. 
(B) If manufacturers or the agencies 
determine within 270 days after the end of the model year that errors mistakenly decreased he manufacturer’s balance of fuel consumption credits, manufacturers may correct the errors and recalculate the balance of its fuel consumption credits. Manufacturers may not make any corrections for errors that are determined more than 270 days after the end of the model year. If manufacturers report a negative balance of fuel consumption credits, NHTSA may disallow corrections under this paragraph (d)(2)(xi)(B). 
(C) If manufacturers or the agencies 
determine any time that errors mistakenly increased its balance of fuel consumption credits, manufacturers must correct the errors and recalculate the balance of fuel consumption credits. 
(xii) Under limited conditions, 
NHTSA may also ask a manufacturer to provide additional information directly to the Administrator if necessary to verify the fuel consumption requirements of this regulation. (e) Amendments to applications for 
certification. At any time, a 
manufacturer modifies an application 
for certification in accordance with 40 CFR 1036.225 and 1037.225, it must submit GHG emissions changes with equivalent fuel consumption values for the information required in paragraphs (b) through (e) and (h) of this section. 
(f) Confidential information. 
Manufacturers must submit a request for confidentiality with each electronic submission specifying any part of the for information or data in a report that it believes should be withheld from public disclosure as trade secret or other 
confidential business information. Information submitted to EPA should follow EPA guidelines for treatment of confidentiality. Requests for confidential treatment for information submitted to NHTSA must be filed in accordance with the requirements of 49 CFR part 512, including submission of a request for confidential treatment and the information for which confidential 
treatment is requested as specified by part 512. For any information or data requested by the manufacturer to be withheld under 5 U.S.C. 552(b)(4) and 49 U.S.C. 32910(c), the manufacturer shall present arguments and provide evidence in its request for confidentiality demonstrating that— 
(1) The item is within the scope of 5 
U.S.C. 552(b)(4) and 49 U.S.C. 32910(c); 
(2) The disclosure of the information 
at issue would cause significant competitive damage; 
(3) The period during which the item 
must be withheld to avoid that damage; and 
(4) How earlier disclosure would 
result in that damage. 
(g) Additional required information. 
The following additional information is required to be submitted through the EPA database. NHTSA reserves the right to ask a manufacturer to provide additional information if necessary to verify the fuel consumption requirements of this regulation. 
(1) Small businesses. For model years 
2013 through 2020, vehicles and engines produced by small business manufacturers meeting the criteria in 13 CFR 121.201 are exempted from the requirements of this part. Qualifying small business manufacturers must notify EPA and NHTSA Administrators before importing or introducing into U.S. commerce exempted vehicles or engines. This notification must include a description of the manufacturer’s qualification as a small business under 13 CFR 121.201. Manufacturers must submit this notification to EPA, and EPA will provide the notification to NHTSA. The agencies may review a manufacturer’s qualification as a small 
business manufacturer under 13 CFR 121.201. 
(2) Emergency vehicles. For model 
years 2021 and later, emergency vehicles produced by heavy-duty pickup truck and van manufacturers are exempted except those produced by manufacturers voluntarily complying with standards in § 535.5(a). Manufacturers must notify the agencies in writing if using the provisions in § 535.5(a) to produce exempted emergency vehicles in a given model year, either in the report specified in 40 CFR 86.1865 or in a separate submission. 
(3) Early introduction. The provision 
applies to manufacturers seeking to comply early with the NHTSA’s fuel consumption program prior to model year 2014. The manufacturer must send the request to EPA before submitting its first application for a certificate of conformity. 
(4) NHTSA voluntary compliance 
model years. Manufacturers must submit a statement declaring whether the manufacturer chooses to comply voluntarily with NHTSA’s fuel consumption standards for model years 2014 through 2015. The manufacturers must acknowledge that once selected, the decision cannot be reversed and the manufacturer will continue to comply with the fuel consumption standards for 
subsequent model years. The manufacturer must send the statement to EPA before submitting its first application for a certificate of conformity. 
(5) Alternative engine standards. 
Manufacturers choosing to comply with the alternative engine standards must notify EPA and NHTSA of their choice and include in that notification a demonstration that it has exhausted all available credits and credit opportunities. The manufacturer must send the statement to EPA before submitting its EOY report. 
(6) Alternate phase-in. Manufacturers 
choosing to comply with the alternative engine phase-in must notify EPA and NHTSA of their choice. The manufacturer must send the statement to EPA before submitting its first application for a certificate of conformity. 
(7) Off-road exclusion (tractors and 
vocational vehicles only). (i) Tractors and vocational vehicles primarily designed to perform work in off-road environments such as forests, oil fields, and construction sites may be exempted without request from the requirements of this regulation as specified in 49 CFR 523.2 and § 535.5(b). Within 90 days after the end of each model year, 
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manufacturers must send EPA and 
NHTSA through the EPA database a report with the following information: 
(A) A description of each excluded 
vehicle configuration, including an explanation of why it qualifies for this exclusion. 
(B) The number of vehicles excluded 
for each vehicle configuration. 
(ii) A manufacturer having an off-road 
vehicle failing to meet the criteria under the agencies’ off-road exclusions will be allowed to request an exclusion of such a vehicle from EPA and NHTSA. The approval will be granted through the certification process for the vehicle family and will be done in collaboration between EPA and NHTSA in accordance with the provisions in 40 CFR 1037.150, 1037.210, and 1037.631. 
(8) Vocational tractors. Tractors 
intended to be used as vocational tractors may comply with vocational vehicle standards in § 535.5(b). Manufacturers classifying tractors as vocational tractors must provide a description of how they meet the qualifications in their applications for certificates of conformity as specified in 40 CFR 1037.205. 
(9) Approval of alternate methods to 
determine drag coefficients (tractors only). Manufacturers seeking to use 
alternative methods to determine aerodynamic drag coefficients must provide a request and gain approval by EPA in accordance with 40 CFR 1037.525. The manufacturer must send 
the request to EPA before submitting its first application for a certificate of conformity. 
(10) Innovative and off-cycle 
technology credits. Manufacturers pursuing innovative and off-cycle technology credits must submit information to the agencies and may be subject to a public evaluation process in which the public would have opportunity for comment if the manufacturer is not using a test procedure in accordance with 40 CFR 1037.610(c). Whether the approach involves on-road testing, modeling, or some other analytical approach, the manufacturer would be required to present a final methodology to EPA and NHTSA. EPA and NHTSA would approve the methodology and credits only if certain criteria were met. Baseline emissions and fuel consumption and control emissions and fuel consumption would need to be clearly demonstrated over a wide range of real world driving conditions and over a sufficient number of vehicles to address issues of uncertainty with the data. Data would need to be on a vehicle model-specific basis unless a manufacturer demonstrated model- specific data was not necessary. The agencies may publish a notice of availability in the Federal Register notifying the public of a manufacturer’s proposed alternative off-cycle credit calculation methodology and provide opportunity for comment. Any notice will include details regarding the methodology, but not include any Confidential Business Information. 
(11) Credit trades. If a manufacturer 
trades fuel consumption credits, it must send EPA and NHTSA a fuel consumption credit plan as specified in § 535.7(a) and provide the following additional information: 
(i) As the seller, the manufacturer 
must include the following information: 
(A) The corporate names of the buyer 
and any brokers. 
(B) A copy of any contracts related to 
the trade. 
(C) The averaging set corresponding to 
the engine families that generated fuel consumption credits for the trade, including the number of fuel consumption credits from each averaging set. 
(ii) As the buyer, the manufacturer or 
entity must include the following information in its report: 
(A) The corporate names of the seller 
and any brokers. 
(B) A copy of any contracts related to 
the trade. 
(C) How the manufacturer or entity 
intends to use the fuel consumption credits, including the number of fuel consumption credits it intends to apply for each averaging set. 
(D) A copy of the contract with 
signatures from both the buyer and the seller. 
(12) Production reports. Within 90 
days after the end of the model year and no later than March 31st, manufacturers participating and not-participating in the ABT program must send to EPA and NHTSA a report including the total U.S.-directed production volume of vehicles it produced in each vehicle and engine family during the model year (based on information available at the time of the report) as required by 40 CFR 1036.250 and 1037.250. Trailer manufacturers must include a separate report including the total U.S.-directed production volume of excluded trailers as allowed by § 535.3(e). Each manufacturer shall report by vehicle or engine identification number and by configuration and identify the subfamily identifier. Report uncertified vehicles sold to secondary vehicle manufacturers. Small business manufacturers may omit reporting. Identify any differences between volumes included for EPA but excluded for NHTSA. (13) Transition to engine-based model 
years. The following provisions apply 
for production and ABT reports during 
the transition to engine-based model year determinations for tractors and vocational vehicles in 2020 and 2021: 
(i) If a manufacturer installs model 
year 2020 or earlier engines in the manufacturer’s vehicles in calendar year 2020, include all those Phase 1 vehicles 
in its production and ABT reports related to model year 2020 compliance, although the agencies may require the manufacturer to identify these separately from vehicles produced in calendar year 2019. 
(ii) If a manufacturer installs model 
year 2020 engines in its vehicles in calendar year 2021, submit production and ABT reports for those Phase 1 vehicles separate from the reports it submits for Phase 2 vehicles with model year 2021 engines. 
(h) Public information. Based upon 
information submitted by manufacturers and EPA, NHTSA will publish fuel consumption standards and performance results. 
(i) Information received from EPA. 
NHTSA will receive information from EPA as specified in 40 CFR 1036.755 and 1037.755. 
(j) Recordkeeping. NHTSA has the 
same recordkeeping requirements as the EPA, specified in 40 CFR 86.1865–12(k), 1036.250, 1036.735, 1036.825, 1037.250, 1037.735, and 1037.825. The agencies each reserve the right to request information contained in reports separately. 
(1) Manufacturers must organize and 
maintain records for NHTSA as described in this section. NHTSA in conjunction or separately from EPA may review a manufacturers records at any time. 
(2) Keep the records required by this 
section for at least eight years after the due date for the end-of-year report. Manufacturers may not use fuel consumption credits for any engines if it does not keep all the records required under this section. Manufacturers must therefore keep these records to continue to bank valid credits. Store these records in any electronic format and on any media, as long as the manufacturer can promptly send the agencies organized records in English if the agencies ask for them. Manufacturers must keep these records readily available. NHTSA may review them at any time. 
(3) Keep a copy of the reports required 
in § 535.8 and 40 CFR 1036.725,1036.730, 1037.725 and 1037.730. 
(4) Keep records of the vehicles and 
engine identification number (usually the serial number) for each vehicle and 
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engine produced that generates or uses 
fuel consumption credits under the ABT program. Manufacturers may identify 
these numbers as a range. If manufacturers change the FEL after the start of production, identify the date started using each FEL/FCL and the range of vehicles or engine identification numbers associated with each FEL/FCL. Manufacturers must also identify the purchaser and destination for each vehicle and engine produced to the extent this information is available. 
(5) The agencies may require 
manufacturers to keep additional records or to send relevant information not required by this section in accordance with each agency’s authority. 
(6) If collected separately and NHTSA 
finds that information is provided fraudulent or grossly negligent or otherwise provided in bad faith, the manufacturer may be liable to civil penalties in accordance with each agency’s authority. 
§ 535.9 Enforcement approach. 
(a) Compliance. (1) Each year NHTSA 
will assess compliance with fuel consumption standards as specified in § 535.10. 
(i) NHTSA may conduct audits or 
verification testing prior to first sale throughout a given model year or after the model year in order to validate data received from manufacturers and will discuss any potential issues with EPA and the manufacturer. Audits may periodically be performed to confirm manufacturers credit balances or other credit transactions. 
(ii) NHTSA may also conduct field 
inspections either at manufacturing plants or at new vehicle dealerships to validate data received from manufacturers. Field inspections will be carried out in order to validate the condition of vehicles, engines or technology prior to first commercial sale to verify each component’s certified configuration as initially built. NHTSA reserves the right to conduct inspections at other locations but will target only those components for which a violation would apply to OEMs and not the fleets or vehicle owners. Compliance inspections could be carried out through a number of approaches including during safety inspections or during compliance safety testing. 
(iii) NHTSA will conduct audits and 
inspections in the same manner and, when possible, in conjunction with EPA. NHTSA will also attempt to coordinate inspections with EPA and share results. 
(iv) Documents collected under 
NHTSA safety authority may be used to support fuel efficiency audits and 
inspections. 
(2) At the end of each model year 
NHTSA will confirm a manufacturer’s fleet or family performance values against the applicable standards and, if a manufacturer uses a credit flexibility, the amount of credits in each averaging set. The averaging set balance is based upon the engines or vehicles performance above or below the applicable regulatory subcategory standards in each respective averaging set and any credits that are traded into or out of an averaging set during the model year. 
(i) If the balance is positive, the 
manufacturer is designated as having a credit surplus. 
(ii) If the balance is negative, the 
manufacturer is designated as having a credit deficit. 
(iii) NHTSA will provide notification 
to each manufacturer confirming its credit balance(s) after the end of each model year directly or through EPA. 
(3) Manufacturer are required to 
confirm the negative balance and submit a fuel consumption credit plan as specified in § 535.7(a) along with 
supporting documentation indicating how it will allocate existing credits or earn (providing information on future vehicles, engines or technologies), and/ or acquire credits, or else be liable for a civil penalty as determined in paragraph (b) of this section. The manufacturer must submit the information within 60 days of receiving agency notification. 
(4) Credit shortfall within an 
averaging set may be carried forward only three years, and if not offset by earned or traded credits, the manufacturer may be liable for a civil penalty as described in paragraph (b) of this section. 
(5) Credit allocation plans received 
from a manufacturer will be reviewed and approved by NHTSA. NHTSA will approve a credit allocation plan unless it determines that the proposed credits are unavailable or that it is unlikely that the plan will result in the manufacturer earning or acquiring sufficient credits to offset the subject credit shortfall. In the case where a manufacturer submits a plan to acquire future model year credits earned by another manufacturer, NHTSA will require a signed agreement by both manufacturers to initiate a review of the plan. If a plan is approved, NHTSA will revise the respective manufacturer’s credit account accordingly by identifying which existing or traded credits are being used to address the credit shortfall, or by identifying the manufacturer’s plan to earn future credits for addressing the respective credit shortfall. If a plan is 
rejected, NHTSA will notify the respective manufacturer and request a revised plan. The manufacturer must submit a revised plan within 14 days of receiving agency notification. The agency will provide a manufacturer one opportunity to submit a revised credit allocation plan before it initiates civil penalty proceedings. 
(6) For purposes of this regulation, 
NHTSA will treat the use of future credits for compliance, as through a credit allocation plan, as a deferral of civil penalties for non-compliance with an applicable fuel consumption standard. 
(7) If NHTSA receives and approves a 
manufacturer’s credit allocation plan to earn future credits within the following three model years in order to comply with regulatory obligations, NHTSA will defer levying civil penalties for non- compliance until the date(s) when the manufacturer’s approved plan indicates that credits will be earned or acquired to achieve compliance, and upon 
receiving confirmed CO
2emissions and 
fuel consumption data from EPA. If the manufacturer fails to acquire or earn sufficient credits by the plan dates, NHTSA will initiate civil penalty proceedings. 
(8) In the event that NHTSA fails to 
receive or is unable to approve a plan for a non-compliant manufacturer due to insufficiency or untimeliness, NHTSA may initiate civil penalty proceedings. 
(9) In the event that a manufacturer 
fails to report accurate fuel consumption data for vehicles or engines covered under this rule, noncompliance will be assumed until corrected by submission of the required data, and NHTSA may initiate civil penalty proceedings. 
(10) If EPA suspends or revoke a 
certificate of conformity as specified in 40 CFR 1036.255 or 1037.255, and a manufacturer is unable to take a corrective action allowed by EPA, noncompliance will be assumed, and NHTSA may initiate civil penalty proceedings or revoke fuel consumption credits. 
(b) Civil penalties—(1) Generally. 
NHTSA may assess a civil penalty for any violation of this part under 49 U.S.C. 32902(k). This section states the procedures for assessing civil penalties for violations of § 535.3(h). The provisions of 5 U.S.C. 554, 556, and 557 do not apply to any proceedings conducted pursuant to this section. 
(2) Initial determination of 
noncompliance. An action for civil 
penalties is commenced by the execution of a Notice of Violation. A determination by NHTSA’s Office of 
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Enforcement of noncompliance with 
applicable fuel consumption standards utilizing the certified and reported CO
2 
emissions and fuel consumption data provided by the Environmental Protection Agency as described in this part, and after considering all the flexibilities available under § 535.7, underlies a Notice of Violation. If NHTSA Enforcement determines that a manufacturer’s averaging set of vehicles or engines fails to comply with the applicable fuel consumption standard(s) by generating a credit shortfall, the incomplete vehicle, complete vehicle or engine manufacturer, as relevant, shall be subject to a civil penalty. 
(3) Numbers of violations and 
maximum civil penalties. Any violation shall constitute a separate violation with respect to each vehicle or engine within the applicable regulatory averaging set. The maximum civil penalty is not more than $37,500.00 per vehicle or engine. The maximum civil penalty under this section for a related series of violations shall be determined by multiplying $37,500.00 times the vehicle or engine production volume for the model year in question within the regulatory averaging set. NHTSA may adjust this civil penalty amount to account for inflation. 
(4) Factors for determining penalty 
amount. In determining the amount of 
any civil penalty proposed to be assessed or assessed under this section, NHTSA shall take into account the gravity of the violation, the size of the violator’s business, the violator’s history of compliance with applicable fuel consumption standards, the actual fuel consumption performance related to the applicable standards, the estimated cost to comply with the regulation and applicable standards, the quantity of vehicles or engines not complying, and the effect of the penalty on the violator’s ability to continue in business. The ‘‘estimated cost to comply with the regulation and applicable standards,’’ will be used to ensure that penalties for non-compliance will not be less than the cost of compliance. 
(5) NHTSA enforcement report of 
determination of non-compliance. (i) If NHTSA Enforcement determines that a violation has occurred, NHTSA Enforcement may prepare a report and send the report to the NHTSA Chief Counsel. 
(ii) The NHTSA Chief Counsel will 
review the report prepared by NHTSA Enforcement to determine if there is sufficient information to establish a likely violation. 
(iii) If the Chief Counsel determines 
that a violation has likely occurred, the Chief Counsel may issue a Notice of Violation to the party. 
(iv) If the Chief Counsel issues a 
Notice of Violation, he or she will prepare a case file with recommended actions. A record of any prior violations by the same party shall be forwarded with the case file. 
(6) Notice of violation. (i) The Notice 
of Violation will contain the following information: 
(A) The name and address of the 
party; 
(B) The alleged violation(s) and the 
applicable fuel consumption standard(s) violated; 
(C) The amount of the proposed 
penalty and basis for that amount; 
(D) The place to which, and the 
manner in which, payment is to be made; 
(E) A statement that the party may 
decline the Notice of Violation and that if the Notice of Violation is declined within 30 days of the date shown on the Notice of Violation, the party has the right to a hearing, if requested within 30 days of the date shown on the Notice of Violation, prior to a final assessment of a penalty by a Hearing Officer; and 
(F) A statement that failure to either 
pay the proposed penalty or to decline the Notice of Violation and request a hearing within 30 days of the date shown on the Notice of Violation will result in a finding of violation by default and that NHTSA will proceed with the civil penalty in the amount proposed on the Notice of Violation without processing the violation under the hearing procedures set forth in this subpart. 
(ii) The Notice of Violation may be 
delivered to the party by— 
(A) Mailing to the party (certified mail 
is not required); 
(B) Use of an overnight or express 
courier service; or 
(C) Facsimile transmission or 
electronic mail (with or without attachments) to the party or an employee of the party. 
(iii) At any time after the Notice of 
Violation is issued, NHTSA and the party may agree to reach a compromise on the payment amount. 
(iv) Once a penalty amount is paid in 
full, a finding of ‘‘resolved with payment’’ will be entered into the case file. 
(v) If the party agrees to pay the 
proposed penalty, but has not made payment within 30 days of the date shown on the Notice of Violation, NHTSA will enter a finding of violation by default in the matter and NHTSA will proceed with the civil penalty in the amount proposed on the Notice of Violation without processing the violation under the hearing procedures set forth in this subpart. 
(vi) If within 30 days of the date 
shown on the Notice of Violation a party fails to pay the proposed penalty on the Notice of Violation, and fails to request a hearing, then NHTSA will enter a finding of violation by default in the case file, and will assess the civil penalty in the amount set forth on the Notice of Violation without processing the violation under the hearing procedures set forth in this subpart. 
(vii) NHTSA’s order assessing the 
civil penalty following a party’s default is a final agency action. 
(7) Hearing Officer. (i) If a party 
timely requests a hearing after receiving a Notice of Violation, a Hearing Officer shall hear the case. 
(ii) The Hearing Officer will be 
appointed by the NHTSA Administrator, and is solely responsible for the case referred to him or her. The Hearing Officer shall have no other responsibility, direct or supervisory, for the investigation of cases referred for the assessment of civil penalties. The Hearing Officer shall have no duties related to the light-duty fuel economy or medium- and heavy-duty fuel efficiency programs. 
(iii) The Hearing Officer decides each 
case on the basis of the information before him or her. 
(8) Initiation of action before the 
Hearing Officer. (i) After the Hearing Officer receives the case file from the Chief Counsel, the Hearing Officer notifies the party in writing of— 
(A) The date, time, and location of the 
hearing and whether the hearing will be conducted telephonically or at the DOT Headquarters building in Washington, DC; 
(B) The right to be represented at all 
stages of the proceeding by counsel as set forth in paragraph (b)(9) of this section; and 
(C) The right to a free copy of all 
written evidence in the case file. 
(ii) On the request of a party, or at the 
Hearing Officer’s direction, multiple proceedings may be consolidated if at any time it appears that such consolidation is necessary or desirable. 
(9) Counsel. A party has the right to 
be represented at all stages of the proceeding by counsel. A party electing to be represented by counsel must notify the Hearing Officer of this election in writing, after which point the Hearing Officer will direct all further communications to that counsel. A party represented by counsel bears all of its own attorneys’ fees and costs. 
(10) Hearing location and costs. (i) 
Unless the party requests a hearing at which the party appears before the 
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Hearing Officer in Washington, DC, the 
hearing may be held telephonically. In Washington, DC, the hearing is held at the headquarters of the U.S. Department of Transportation. 
(ii) The Hearing Officer may transfer 
a case to another Hearing Officer at a party’s request or at the Hearing Officer’s direction. 
(iii) A party is responsible for all fees 
and costs (including attorneys’ fees and costs, and costs that may be associated with travel or accommodations) associated with attending a hearing. 
(11) Hearing procedures. (i) There is 
no right to discovery in any proceedings conducted pursuant to this subpart. 
(ii) The material in the case file 
pertinent to the issues to be determined by the Hearing Officer is presented by the Chief Counsel or his or her designee. 
(iii) The Chief Counsel may 
supplement the case file with information prior to the hearing. A copy of such information will be provided to the party no later than three business days before the hearing. 
(iv) At the close of the Chief Counsel’s 
presentation of evidence, the party has the right to examine respond to and rebut material in the case file and other information presented by the Chief Counsel. In the case of witness testimony, both parties have the right of cross-examination. 
(v) In receiving evidence, the Hearing 
Officer is not bound by strict rules of evidence. In evaluating the evidence presented, the Hearing Officer must give due consideration to the reliability and relevance of each item of evidence. 
(vi) At the close of the party’s 
presentation of evidence, the Hearing Officer may allow the introduction of rebuttal evidence that may be presented by the Chief Counsel. 
(vii) The Hearing Officer may allow 
the party to respond to any rebuttal evidence submitted. 
(viii) After the evidence in the case 
has been presented, the Chief Counsel and the party may present arguments on the issues in the case. The party may also request an opportunity to submit a written statement for consideration by the Hearing Officer and for further review. If granted, the Hearing Officer shall allow a reasonable time for submission of the statement and shall specify the date by which it must be received. If the statement is not received within the time prescribed, or within the limits of any extension of time granted by the Hearing Officer, it need not be considered by the Hearing Officer. 
(ix) A verbatim transcript of the 
hearing will not normally be prepared. A party may, solely at its own expense, cause a verbatim transcript to be made. 
If a verbatim transcript is made, the party shall submit two copies to the Hearing Officer not later than 15 days after the hearing. The Hearing Officer shall include such transcript in the record. 
(12) Determination of violations and 
assessment of civil penalties. (i) Not later than 30 days following the close of the hearing, the Hearing Officer shall issue a written decision on the Notice of Violation, based on the hearing record. This may be extended by the Hearing officer if the submissions by the Chief Counsel or the party are voluminous. The decision shall address each alleged violation, and may do so collectively. For each alleged violation, the decision shall find a violation or no violation and provide a basis for the finding. The decision shall set forth the basis for the Hearing Officer’s assessment of a civil penalty, or decision not to assess a civil penalty. In determining the amount of the civil penalty, the gravity of the violation, the size of the violator’s business, the violator’s history of compliance with applicable fuel consumption standards, the actual fuel consumption performance related to the applicable standard, the estimated cost to comply with the regulation and applicable standard, the quantity of vehicles or engines not complying, and the effect of the penalty on the violator’s ability to continue in business. The assessment of a civil penalty by the Hearing Officer shall be set forth in an accompanying final order. The Hearing Officer’s written final order is a final agency action. 
(ii) If the Hearing Officer assesses civil 
penalties in excess of $1,000,000, the 
Hearing Officer’s decision shall contain a statement advising the party of the right to an administrative appeal to the Administrator within a specified period of time. The party is advised that failure to submit an appeal within the prescribed time will bar its consideration and that failure to appeal on the basis of a particular issue will constitute a waiver of that issue in its appeal before the Administrator. 
(iii) The filing of a timely and 
complete appeal to the Administrator of a Hearing Officer’s order assessing a civil penalty shall suspend the operation of the Hearing Officer’s penalty, which shall no longer be a final agency action. 
(iv) There shall be no administrative 
appeals of civil penalties assessed by a Hearing Officer of less than $1,000,000. 
(13) Appeals of civil penalties in 
excess of $1,000,000. (i) A party may appeal the Hearing Officer’s order assessing civil penalties over $1,000,000 to the Administrator within 21 days of the date of the issuance of the Hearing Officer’s order. 
(ii) The Administrator will review the 
decision of the Hearing Officer de novo, and may affirm the decision of the hearing officer and assess a civil penalty, or 
(iii) The Administrator may— 
(A) Modify a civil penalty; (B) Rescind the Notice of Violation; or (C) Remand the case back to the 
Hearing Officer for new or additional 
proceedings. 
(iv) In the absence of a remand, the 
decision of the Administrator in an appeal is a final agency action. 
(14) Collection of assessed or 
compromised civil penalties. (i) Payment of a civil penalty, whether assessed or compromised, shall be made by check, postal money order, or electronic transfer of funds, as provided in instructions by the agency. A payment of civil penalties shall not be considered a request for a hearing. 
(ii) The party must remit payment of 
any assessed civil penalty to NHTSA within 30 days after receipt of the Hearing Officer’s order assessing civil penalties, or, in the case of an appeal to the Administrator, within 30 days after receipt of the Administrator’s decision on the appeal. 
(iii) The party must remit payment of 
any compromised civil penalty to NHTSA on the date and under such terms and conditions as agreed to by the party and NHTSA. Failure to pay may result in NHTSA entering a finding of violation by default and assessing a civil penalty in the amount proposed in the Notice of Violation without processing the violation under the hearing procedures set forth in this part. 
(c) Changes in corporate ownership 
and control. Manufacturers must inform NHTSA of corporate relationship changes to ensure that credit accounts are identified correctly and credits are assigned and allocated properly. 
(1) In general, if two manufacturers 
merge in any way, they must inform NHTSA how they plan to merge their credit accounts. NHTSA will subsequently assess corporate fuel consumption and compliance status of the merged fleet instead of the original separate fleets. 
(2) If a manufacturer divides or 
divests itself of a portion of its automobile manufacturing business, it must inform NHTSA how it plans to divide the manufacturer’s credit holdings into two or more accounts. NHTSA will subsequently distribute holdings as directed by the manufacturer, subject to provision for 
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reasonably anticipated compliance 
obligations. 
(3) If a manufacturer is a successor to 
another manufacturer’s business, it must inform NHTSA how it plans to allocate credits and resolve liabilities per 49 CFR part 534. 
§ 535.10 How do manufacturers comply 
with fuel consumption standards? 
(a) Pre-certification process. (1) 
Regulated manufacturers determine 
eligibility to use exemptions or exclusions in accordance with § 535.3. 
(2) Manufacturers may seek 
preliminary approvals as specified in 40 CFR 1036.210 and 40 CFR 1037.210 from EPA and NHTSA, if needed. Manufacturers may request to schedule pre-certification meetings with EPA and NHTSA prior to submitting approval requests for certificates of conformity to address any joint compliance issues and gain informal feedback from the agencies. 
(3) The requirements and prohibitions 
required by EPA in special circumstances in accordance with 40 CFR 1037.601 and 40 CFR part 1068 apply to manufacturers for the purpose of complying with fuel consumption standards. Manufacturers should use good judgment when determining how EPA requirements apply in complying with the NHTSA program. Manufacturers may contact NHTSA and EPA for clarification about how these requirements apply to them. 
(4) In circumstances in which EPA 
provides multiple compliance approaches manufacturers must choose the same compliance path to comply with NHTSA’s fuel consumption standards that they choose to comply with EPA’s greenhouse gas emission standards. 
(5) Manufacturers may not introduce 
new vehicles into commerce without a certificate of conformity from EPA. Manufacturers must attest to several compliance standards in order to obtain a certificate of conformity. This includes stating comparable fuel consumption results for all required CO
2emissions 
rates. Manufacturers not completing these steps do not comply with the NHTSA fuel consumption standards. 
(6) Manufacturers apply the fuel 
consumption standards specified in § 535.5 to vehicles, engines and components that represent production units and components for vehicle and engine families, sub-families and configurations consistent with the EPA specifications in 40 CFR 86.1819, 1036.230, and 1037.230. 
(7) Only certain vehicles and engines 
are allowed to comply differently between the NHTSA and EPA programs as detailed in this section. These 
vehicles and engines must be identified by manufacturers in the ABT and production reports required in § 535.8. 
(b) Model year compliance. 
Manufacturers are required to conduct testing to demonstrate compliance with CO
2exhaust emissions standards in 
accordance with EPA’s provisions in 40 CFR part 600, subpart B, 40 CFR 1036, subpart F, 40 CFR part 1037, subpart R, and 40 CFR part 1066. Manufacturers determine equivalent fuel consumption performance values for CO
2results as 
specified in § 535.6 and demonstrate compliance by comparing equivalent results to the applicable fuel consumption standards in § 535.5. 
(c) End-of-the-year process. 
Manufacturers comply with fuel 
consumption standards after the end of each model year, if— 
(1) For heavy-duty pickup trucks and 
vans, the manufacturer’s fleet average performance, as determined in § 535.6, is less than the fleet average standard; or 
(2) For truck tractors, vocational 
vehicles, engines and box trailers the manufacturer’s fuel consumption performance for each vehicle or engine family (or sub-family), as determined in § 535.6, is lower than the applicable regulatory subcategory standards in § 535.5. 
(3) For non-box and non-aero trailers, 
a manufacturer is considered in compliance with fuel consumption standards if all trailers meet the specified standards in § 535.5(e)(1)(i). 
(4) NHTSA will use the EPA final 
verified values as specified in 40 CFR 86.1819, 40 CFR 1036.755, and 1037.755 for making final determinations on whether vehicles and engines comply with fuel consumption standards. 
(5) A manufacturer fails to comply 
with fuel consumption standards if its final reports are not provided in accordance with § 535.8 and 40 CFR 86.1865, 1036.730, and 1037.730. Manufacturers not providing complete or accurate final reports or any plans by the required deadlines do not comply with fuel consumption standards. A manufacturer that is unable to provide any emissions results along with comparable fuel consumption values must obtain permission for EPA to exclude the results prior to the deadline for submitting final reports. 
(6) A manufacturer that would 
otherwise fail to directly comply with fuel consumption standards as described in paragraphs (c)(1) through (3) of this section may use one or more of the credit flexibilities provided under the NHTSA averaging, banking and trading program, as specified in § 535.7, but must offset all credit deficits in its 
averaging sets to achieve compliance. 
(7) A manufacturer failing to comply 
with the provisions specified in this 
part may be liable to pay civil penalties in accordance with § 535.9. 
(8) A manufacturer may also be liable 
to pay civil penalties if found by EPA 
or NHTSA to have provided false information as identified through NHTSA or EPA enforcement audits or new vehicle verification testing as specified in § 535.9 and 40 CFR parts 86, 1036, and 1037. 
PART 538—MANUFACTURING 
INCENTIVES FOR ALTERNATIVE FUEL VEHICLES 
■382. Revise the authority citation for 
part 538 to read as follows: 
Authority: 49 U.S.C. 32901, 32905, and 
32906; delegation of authority at 49 CFR 1.95. 
■383. Revise § 538.5 to read as follows: 
§ 538.5 Minimum driving range. 
(a) The minimum driving range that a 
passenger automobile must have in order to be treated as a dual fueled automobile pursuant to 49 U.S.C. 32901(c) is 200 miles when operating on its nominal useable fuel tank capacity of the alternative fuel, except when the alternative fuel is electricity or compressed natural gas. Beginning model year 2016, a natural gas passenger automobile must have a minimum driving range of 150 miles when operating on its nominal useable fuel tank capacity of the alternative fuel 
to be treated as a dual fueled automobile, pursuant to 49 U.S.C. 32901(c)(2). 
(b) The minimum driving range that a 
passenger automobile using electricity as an alternative fuel must have in order to be treated as a dual fueled automobile pursuant to 49 U.S.C. 32901(c) is 7.5 miles on its nominal storage capacity of electricity when operated on the EPA urban test cycle and 10.2 miles on its nominal storage capacity of electricity when operated on the EPA highway test cycle. 
Dated: August 16, 2016. 
Anthony Foxx, 
Secretary,Department of Transportation. 
Dated: August 16, 2016. 
Gina McCarthy, Administrator, Environmental Protection 
Agency. 
[FR Doc. 2016–21203 Filed 10–24–16; 8:45 am] 
BILLING CODE 6560–50–P 
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