Environmental Protection Agency

40 CFR Chapter I For the reasons set forth in the preamble, the Environmental Protect ion Agency proposes to amend is amending 40 CFR chapter I of the Code of Federal Regulations as follows:

PART 85-- CONTROL OF AIR POLLUTION FROM MOBILE SOURCES

1. The authority citation for part 85 continues to read as follows: Authority: 42 U.S.C. 7401-7671q.

Subpart F—[Amended]

2. Section 85.525 is revised to read as follows:

§ 85.525 Applicable standards. To qualify for an exemption from the tampering prohibition, vehicles/eng ines that have been converted to operate on a different fuel must meet emission standards and related requirements as follows: (a) The modified vehicle/engine must meet the requirements that applied for the OEM vehicle/engine, or the most stringent OEM vehicle/engine standa rds in any allowable grouping. Fleet average standards do not apply unless clean alternative fuel conversions are specifically listed as subject to the standards. (1) If the vehicle/engine was certified with a Family Emiss ion Limit for NOx, NOx+HC, or particulate matter, as noted on the vehicle/engine emission c ontrol information label, the modified vehicle/engine may not exceed this Family Emission Limit. (2) Compliance with greenhouse gas emission standards is demonstrated as fol lows: (i) (i) Subject to the following exceptions and special provisions, compliance with light-duty vehicle greenhouse gas emission standards is demonstrated by complying with the N 2 O 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). (A) If the OEM complied with the light-duty greenhouse gas standards usin g the fleet averaging option for nitrous oxide ( N 2 O ) and methane ( CH 4 ),

, asallowed under 40 CFR 86.1818–12(f)(2), the calculations of the carbonrelated exhaust emissions require the input of grams/mile values for N 2 O and CH 4 . Compliance with N2O and CH4 exhaust emission standards may be optionally demonstrated by following the same procedures set forth in 40 CFR 86.1818

– 12(f)(2), except that the carbon

- related exhaust emission value determined for the fuel conversion EDV must comply with the in

- use CO2 exhaust emission standard set forth in 40 CFR 86.1818

– 12(d) and determined by the OEM for the subconfiguration that is identical to the fuel conversi on EDV. , and you are not required to demonstrate compliance with the standalone CH 4 and N 2 O standards.(B) If the OEM complied with alternate standards for N 2 O and/or CH 4 , as allowed under 40 CFR 86.1818–12(f)(3), you may demonstrate compliance with the same alternate standards. (C) If the OEM complied with the nitrous oxide (N 2 O) and methane (CH 4 ) standards and provisions set forth in 40 CFR 86.1818–12(f)(1) or 40 CFR 86.1818–12(f)(3), and the fuel conversion CO 2 measured value is lower than the in-use CO 2 exhaust emission standard, you also have the option to convert the difference between the in-use CO 2 exhaust emission standard and the fuel conversion CO 2 measured value into GHG equivalents of CH 4 and/or N 2 O, using 298 g CO 2 to represent 1 g N 2 O and 25 g CO 2 to represent 1 g CH 4

. You may then subtract the applicable converted values from the fuel conversion measured values of CH 4 and/or N 2 O to demonstrate compliance with the CH 4 and/or N 2 O standards. (ii) Compliance with heavy-duty engine greenhouse gas emission standards i s demonstrated by complying with the CO 2 , N 2 O, and CH 4 standards (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). 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 2 standard (or FEL, as applicable) and the fuel conversion CO 2 measured value into GHG equivalents of CH 4 and/or N 2 O, using 298 g/hp-hr CO 2 to represent 1 g/hphr N 2 O and 25 g/hp-hr CO 2 to represent 1 g/hp-hr CH 4 . You may then subtract the applicable converted values from the fuel conversion measured v alues of CH 4 and/or N 2 O to demonstrate compliance with the CH 4 and/or N 2 O standards (or FEL, as applicable). (3) Conversion systems for engines that would have qualified for chassis ce rtification 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 veh icle chassis certification requirements set forth in 40 CFR part 86, subpart S. (b) [Reserved]

Subpart P—[Amended]

3. Section 85.1511 is revised to read as follows:

§ 85.1511 Exemptions and exclusions. (a) Individuals, as well as certificate holders, shall be eligible for importing vehicles into the United States under the provisions of this section, unless otherwise s pecified. (b) Notwithstanding any other requirements of this subpart, a motor ve hicle or motor vehicle engine entitled to a temporary exemption under this paragraph ( b) may be conditionally admitted into the United States if prior written approval f or such conditional admission is obtained from the Administrator. Conditional ad mission shall be under bond. A written request for approval from the Administrator shall cont ain the identification required in § 85.1504(a)(1) (except for § 85.1504(a)(1)(v)) and i nformation that indicates that the importer is entitled to the exemption. Non compliance withprovisions of this section may result in the forfeiture of the total a mount of the bond or

exportation of the vehicle or engine. The following temporary exemptions ar e permitted by this paragraph (b): (1) Exemption for repairs or alterations . Vehicles and engines may qualify for a temporary exemption under the provisions of 40 CFR 1068.325(a). Such vehicles or engines may not be registered or licensed in the United States for use on pu blic roads and highways. (2) Testing exemption . Vehicles and engines may qualify for a temporary exemption under the provisions of 40 CFR 1068.325(b). Test vehicles or engines may be operated on and registered for use on public roads or highways provided that the operation is an integral part of the test. (3) Precertification exemption . Prototype vehicles for use in applying to EPA for certification may be imported by independent commercial importe rs subject to applicable provisions of 40 CFR 85.1706 and the following requirements: (i) No more than one prototype vehicle for each engine family for whi ch an independent commercial importer is seeking certification shall be im ported by each independent commercial importer. (ii) Unless a certificate of conformity is issued for the prototype vehicle, the total amount of the bond shall be forfeited or the vehicle must be exported within 180 days from the date of entry. (4) Display exemptions . Vehicles and engines may qualify for a temporary exemption under the provisions of 40 CFR 1068.325(c). Display vehicles or engines may not be registered or licensed for use or operated on public roads or highways in the Uni ted States, unless an applicable certificate of conformity has been recei ved. (c) Notwithstanding any other requirements of this subpart, a motor veh icle or motor vehicle engine may be finally admitted into the United States under this pa ragraph (c) if prior written approval for such final admission is obtained from the Admi nistrator. Conditional admission of these vehicles is not permitted for the purpose of obt aining written approval from the Administrator. A request for approval sha ll contain the identification information required in § 85.1504(a)(1) (except for § 85.1504(a) (1)(v)) and information that indicates that the importer is entitled to the e xemption or exclusion. The following exemptions or exclusions are permitted by this paragraph ( c): (1) National security exemption . Vehicles may be imported under the national security exemption found at 40 CFR 1068.315(a). Only persons who are manufacturers may import a vehicle under a national security exem ption. (2) Hardship exemption . The Administrator may exempt on a case-by-case basis certain motor vehicles from Federal emission requirements to ac commodate unforeseen cases of extreme hardship or extraordinary circumstances . Some examples are as follows: (i) Handicapped individuals who need a special vehicle unavailable i n a certified configuration; (ii) Individuals who purchase a vehicle in a foreign country where resa le is prohibited upon the departure of such an individual; (iii) Individuals emigrating from a foreign country to the U.S. in circum stances of severe hardship.(d) Foreign diplomatic and military personnel may import nonconforming ve hicles

without bond. At the time of admission, the importer shall submit to the Adm inistrator the written report required in § 85.1504(a)(1) (except for information require d by § 85.1504(a)(1)(v)). Such vehicles may not be sold in the United States. (e) Racing vehicles may be imported by any person provided the vehicles m eet one or more of the exclusion criteria specified in § 85.1703. Racing vehicles may not be registered or licensed for use on or operated on public roads and highways in t he United States. (f) The following exclusions and exemptions apply based on date of original manufacture: (1) Notwithstanding any other requirements of this subpart, the follow ing motor vehicles or motor vehicle engines are excluded from the requiremen ts of the Act in accordance with section 216(3) of the Act and may be imported by any person: (i) Gasoline-fueled light-duty vehicles and light-duty trucks origi nally manufactured prior to January 1, 1968. (ii) Diesel-fueled light-duty vehicles originally manufactur ed prior to January 1, 1975. (iii) Diesel-fueled light-duty trucks originally manufactured prior to January 1, 1976. (iv) Motorcycles originally manufactured prior to January 1, 1978. (v) Gasoline-fueled and diesel-fueled heavy-duty engines originally ma nufactured prior to January 1, 1970. (2) Notwithstanding any other requirements of this subpart, a motor v ehicle or motor vehicle engine not subject to an exclusion under paragraph (f)(1) of this section but greater than twenty OP years old is entitled to an exemption from the requirements of the Act, provided that it is imported into the United States by a cer tificate holder. At the time of admission, the certificate holder shall submit to the Administrator the written report required in § 85.1504(a)(1) (except for information require d by § 85.1504(a)(1)(v)). (g) Applications for exemptions and exclusions provided for in paragraphs (b) and (c ) of this section shall be mailed to the Designated Compliance Officer (see 40 CFR 1068.30). (h) Vehicles conditionally or finally admitted under this section mus t still comply with all applicable requirements, if any, of the Energy Tax Act of 1978, the Energy Policy and Conservation Act and any other Federal or state requirements.

Subpart R—[Amended]

4. Section 85.1701 is revised to read as follows: § 85.1701 General applicability. (a) The provisions of this subpart regarding exemption s are applicable to new and in-use motor vehicles and motor vehicle engines, except as specified in t his paragraph (a). (1) Beginning January 1, 2014 the exemption importation provisions of 40 CFR part 1068, subpart C, apply for heavy-duty motor vehicle vehicles and engines, except that the competition exemption of 40 CFR 1068.235 and the hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 1068.255 do not apply for motor vehicle engines.(2) Prior to January 1, 2014, the provisions of §§85.1706, 85.1707, 85.1708, and 85.1709 apply for heavy-duty motor vehicle engines. (b) The provisions of this subpart regarding exclusion are applicable after th e effective date of these regulations. (c) References in this subpart to engine families and emission contr ol systems shall be deemed to apply to durability groups and test groups as applicable for manu facturers certifying new light-duty vehicles, light-duty trucks, and Otto-cyc le complete heavy-duty vehicles under the provisions of 40 CFR part 86, subpart S. (d) In a given model year, manufacturers of motor vehicles and motor vehicle engines may ask us to approve the use of administrative or compliance proce dures specified in 40 CFR part 1068 instead of the comparable procedures that apply for vehicles or engines certified under this part or 40 CFR part 85 or 86.

Subpart T—[Amended]

5. Section 85.1901 is revised to read as follows: § 85.1901 Applicability. Except as specified in this section, the requirements of this subpa rt shall be applicable to all 1972 and later model year vehicles and engines. The requirement to re port emissionrelated 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 wh ich such vehicles or engines were manufactured. Manufacturers of heavy-duty motor vehicle engines may comply with the defect reporting requirements of 40 CFR 1068.501 instead of the requirements of this subpart.

PART 86--CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES AND ENGINES

6. The authority citation for part 86 continues to read as follows: Authority: 42 U.S.C. 7401-7671q.

7. Section 86.1 is amended by adding paragraphs (b)(2)(xli) and (b)(2)(xli i) and removing and reserving paragraph (b)(4)(i)(A) to read as follows: § 86.1 Reference materials. * * * * * (b) * * * (2) * * * (xli) SAE J1711, Recommended Practice for Measuring the Exhaust Emissions and Fuel Economy of Hybrid-Electric Vehicles, Including Plug-In Hybrid Vehicles, J une 2010, IBR approved for § 86.1811-04(n). (xlii) SAE J1634, Electric Vehicle Energy Consumption and Range Test Procedure

, Cancelled October 2002, IBR approved for § 86.1811-04(n). * * * * * (4) * * * (i) * * * (A) [Reserved]* * * * *

Subpart A – [Amended]

7. 8. Section 86. 007

- 23 010-18 is amended by adding paragraph (o paragraphs (j)(1)(ii)(E) and (q ) to read as follows: § 86.007

- 23 Required data.

* * * * * (o) The provisions of this paragraph (o) apply for certification testing starting with the 2014 model year and apply for HC, CO, NOx, PM, and CO2

. (1) For heavy

- duty engines tested over the transient engine test cycle, manufacturers must report these emissions separately for cold

- start testing and hot

- start testing. (2) For heavy

- duty en gines test ed over the SET cycle, manufacturers must g/hp

- hr emission results for each steady

- state test mode for each pollutant except PM

. Where we require you to measure SET emissions using a ramped modal cycle, comp liance with the duty cycle emission s tandards is based on the ramped modal results and not the individual modal results. We may waive this requirement where you provide equi valent data from other testing.

§ 86.010-18 On-board Diagnostics for engines used in applications greater than 14,000 pounds GVWR. * * * * * (j) * * * (1) * * * (ii) * * * (E) For hybrid engine families with projected U.S.-directed product ion volume of less than 5,000 engines, the manufacturers are only required to test one engine-hy brid combination per family. * * * * * (q) Optional phase-in for hybrid vehicles. This paragraph (q) applies f or model year 2013 - 2015 engines when used with hybrid powertrain systems. It also applies for model year 2016 engines used with hybrid powertrain systems that were offered for sale prior to January 1, 2013, as specified in paragraph (q)(4) of this section. Manufactu rers choosing to use the provisions of this paragraph (q) must submit an annual pre-com pliance report to EPA for model years 2013 and later, as specified in paragraph (q)(5) of this sec tion. Note that all hybrid powertrain systems must be fully compliant with the OBD requirements of this section no later than model year 2017. (1) If an engine-hybrid system has been certified by the California A ir Resources Board with respect to its OBD requirements and it effectively meets the full OBD requirements of this section, all equivalent systems must meet those same requirem ents and may not be certified under this paragraph (q). For purposes of this paragraph (q)(1), an e nginehybrid system is considered to be equivalent to the certified system if it uses the same basic design (e.g. displacement) for the engine and primary hybrid component s (see paragraph (q)(4) of this section). Equivalent systems may have minor ha rdware or calibration differences.(2) As of 2013, if an engine-hybrid system has not been certified to meet the full OBD

requirements of this section, it must comply with the following requ irements: (i) The engine in its installed configuration must meet the EMD a nd EMD+ requirements in 13 CCR § 1971.1(d)(7.1.4) of the California Code of Regulations. For purposes of this paragraph (q), a given EMD requirement is deemed to be me t if the engine’s OBD system addresses the same function. This allo wance does not apply for OBD monitors or diagnostics that have been modified under paragraph (q)(2)(ii) of this section. (ii) The engine-hybrid system must maintain existing OBD capability for engines where the same or equivalent engine has been OBD certified. An equivale nt engine is one produced by the same engine manufacturer with the same fundamental design, but that may have hardware or calibration differen ces that do not impact OBD functionality, such as slightly different displacement, rated power, or fuel system. (Note that engines with the same fundamental des ign will be presumed to be equivalent unless the manufacturer demonstrates t hat the differences effectively preclude applying equivalent OBD systems .) Though the OBD capability must be maintained, it does not have to meet detection t hresholds (as described in Tables 1 and 2 of this section) and in-use performance f requency requirements (as described in paragraph (d) of this section). A manufactur er may modify detection thresholds to prevent false detection, and must indicate all deviations from the originally certified package with engineering justif ication in the certification documentation. (iii) This paragraph (q)(2)(iii) applies for derivatives of hybrid pow ertrain system designs that were offered for sale prior to January 1, 2013. Until these syste ms achieve full OBD certification, they must at a minimum mai ntain all faultdetection and diagnostic capability included on similar systems offered for s ale prior to 2013. Manufacturers choosing to use the provisions of this paragraph (q)(2) must keep copies of the service manuals (and similar documents) for these previous model years to show the technical description of the system’ s fault detection and diagnostic capabilities. (iv) You must submit an annual pre-compliance report to EPA for model year s 2013 and later, as specified in paragraph (q)(5) of this section. (3) Engine-hybrid systems may be certified to the requirements of par agraph (q)(2) of this section by the engine manufacturer, the hybrid system manufac turer, or the vehicle manufacturer. If engine manufacturers certify the engine hybrid system , they must provide detailed installation instructions. Where the engine manufacturer d oes not specifically certify its engines for use in hybrid vehicles under th is paragraph (q), the hybrid system manufacturer and vehicle manufacturer must install the engine to conform to the requirements of this section (i.e., full OBD) or recertify unde r paragraph (q)(2) of this section. (4) The provisions of this paragraph (q) apply for model year 2016 engines where you demonstrate that the hybrid powertrain system used is a derivative of a design that was offered for sale prior to January 1, 2013. In this case, you may ask us to conside r the original system and the later system to be the same model for purposes o f this paragraph (q), unless the systems are fundamentally different. In determining whet her such systemsare derivative or fundamentally different, we will consider factors such as the similarity

of the following: (i) Transmissions. (ii) Hybrid machines (where “hybrid machine” means any system that is the part of a hybrid vehicle system that captures energy from and returns en ergy to the powertrain). (iii) Hybrid architecture (such as parallel or series). (iv) Motor/generator size, controller/CPU (memory or inputs/outputs ), control algorithm, and batteries. This paragraph (q)(4)(iv) applies only if all of these are modified simultaneously. (5) Manufacturers choosing to use the provisions of this paragraph (q) must submi t an annual pre-compliance report to EPA for model years 2013 and later. Engine manufacturers must submit this report with their engine certific ation information. Hybrid manufacturers that are not certifying the engine-hybrid system must submi t their report by June 1 of the model year, or at the time of certification if they choos e to certify. Include the following in the report: (i) A description of the manufacturer’s product plans and of the engine- hybrid systems being certified. (ii) A description of activities undertaken and progress made by the manu facturer towards achieving full OBD certification, including monitoring, diagnos tics, and standardization. (iii) For model year 2016 engines, a description of your basis for applying the provision of this paragraph (q) to the engines.

9. A new § 86.012-2 is added to subpart A to read as follows: § 86.012-2 Definitions. The definitions of §86.010–2 continue to apply to model year 2010 and later model ye ar vehicles. The definitions listed in this section apply beginning with model year 2012.

Urban bus means a passenger-carrying vehicle with a load capacity of fifteen or more passengers and intended primarily for intracity operation, i.e., within t he confines of a city or greater metropolitan area. Urban bus operation is characterize d by short rides and frequent stops. To facilitate this type of operation, more than one set of quick-operating entrance and exit doors would normally be installed. Since fares are usuall y paid in cash or tokens, rather than purchased in advance in the form of tickets, urban buses woul d normally have equipment installed for collection of fares. Urban buses ar e also typically characterized by the absence of equipment and facilities for long di stance travel, e.g., rest rooms, large luggage compartments, and facilities for stowing carry- on luggage.

8. 10. A new § 86.016-1 is added to subpart A to read as follows: § 86.016-1 General applicability. (a) Applicability . The provisions of this subpart generally apply to 2005 and later model year new Otto-cycle heavy-duty engines used in incomplete vehicles and vehicles above 14,000 pounds GVWR and 2005 and later model year new diesel-cycle heavy-duty engines. In cases where a provision applies only to a certain vehicle group ba sed on its model year, vehicle class, motor fuel, engine type, or other distingu ishing characteristics,the limited applicability is cited in the appropriate section or par agraph. The provisions of

this subpart continue to generally apply to 2000 and earlier model year ne w Otto-cycle and diesel-cycle light-duty vehicles, 2000 and earlier model year new Otto -cycle and diesel-cycle light-duty trucks, and 2004 and earlier model year new Otto-c ycle complete heavy-duty vehicles at or below 14,000 pounds GVWR. Provisions generally applica ble to 2001 and later model year new Otto-cycle and diesel-cycle light-duty vehicles, 2001 and later model year new Otto-cycle and diesel-cycle light-duty trucks, and 2005 and later model year Otto-cycle complete heavy-duty vehicles at or below 14,000 pounds GVWR are located in subpart S of this part. (b) Optional applicability . A manufacturer may request to certify any incomplete Ottocycle heavy-duty vehicle of 14,000 pounds Gross Vehicle Weight Rating or less in accordance with the provisions for Otto-cycle complete heavy-duty ve hicles located in subpart S of this part. Heavy-duty engine or heavy-duty vehicle provisions of this subpart A do not apply to such a vehicle. (c) Otto-cycle heavy-duty engines and vehicles . The following requirements apply to Otto-cycle heavy-duty engines and vehicles: (1) Exhaust emission standards according to the provisions of § 86.008-10 or § 86.1816, as applicable. (2) On-board diagnostics requirements according to the provisions of § 86.007–17 or § 86.1806, as applicable. (3) Evaporative emission standards as follows: (i) Evaporative emission standards for complete vehicles according to the provisions of §§ 86.1810 and 86.1816. (ii) For 2013 and earlier model years, evaporative emission standards for incomplete vehicles according to the provisions of § 86.008-10, or §§ 86.1810 and 86.1816, as applicable. (iii) For 2014 and later model years, evaporative emission standards for incomplete vehicles according to the provisions of §§ 86.1810 and 86.1816, or 40 CFR part 1037, as applicable. (4) Refueling emission requirements for Otto-cycle complete vehicl es according to the provisions of §§ 86.1810 and 86.1816. (d) Non-petroleum fueled vehicles . The standards and requirements of this part apply to model year 2016 and later non-petroleum fueled motor vehicles as f ollows: (1) The standards and requirements of this part apply as specified for vehicles fueled with methanol, natural gas, and LPG. (2) The standards and requirements of subpart S of this part apply as specifie d for light-duty vehicles and light-duty trucks. (3) The standards and requirements of this part applicable to methanol -fueled heavyduty vehicles and engines (including flexible fuel vehicles and engines ) apply to heavy-duty vehicles and engines fueled with any oxygenated fuel (inc luding flexible fuel vehicles and engines). Most significantly, this means that the hydrocarbon standards apply as NMHCE and the vehicles and engines must be tested using t he applicable oxygenated fuel according to the test procedures in 40 CFR part 1065 applicable for oxygenated fuels. For purposes of this paragraph (d), oxygenated f uel means any fuel containing at least 50 volume percent oxygenated compou nds. For example, a fuel mixture of 85 gallons of ethanol and 15 gallons of gasoline is anoxygenated fuel, while a fuel mixture of 15 gallons of ethanol and 85 gallons of gasoline is not an oxygenated fuel. (4) The standards and requirements of subpart S of this part applicable t o heavy-duty vehicles under 14,000 pounds GVWR apply to all heavy-duty vehicles powered solely by electricity, including plug-in electric vehicles and solar -powered vehicles. Use good engineering judgment to apply these requirements to these vehicl es, including applying these provisions to vehicles over 14,000 pounds GVWR. Electric heavy-duty vehicles may not generate NOx or PM emission credits. H eavy-duty vehicles powered solely by electricity are deemed to have zero emis sions of regulated pollutants. (5) The standards and requirements of this part applicable to diesel-f ueled heavy-duty vehicles and engines apply to all other heavy-duty vehicles and engines not otherwise addressed in this paragraph (d). (6) See 40 CFR parts 1036 and 1037 for requirements related to greenhouse gas emissions. (7) Manufacturers may voluntarily certify to the standards of pa ragraphs (d)(3) through (5) of this section before model year 2016. Note that other provisions i n this part require compliance with the standards described in paragraphs (d)( 1) and (2) of this section for model years before 2016. (e) Small volume manufacturers . Special certification procedures are available for any manufacturer whose projected combined U.S. sales of light-duty vehicles , light-duty trucks, heavy-duty vehicles, and heavy-duty engines in its product line (incl uding all vehicles and engines imported under the provisions of 40 CFR 85.1505 and 85.1509 of this chapter) are fewer than 10,000 units for the model year in which the manufacture r seeks certification. To certify its product line under these optional procedu res, the smallvolume manufacturer must first obtain the Administrator's approva l. The manufacturer must meet the eligibility criteria specified in § 86.098-14(b) befor e the Administrator's approval will be granted. The small-volume manufacturer's certifi cation procedures are described in § 86.098-14. (f) Optional procedures for determining exhaust opacity . (1) The provisions of subpart I of this part apply to tests which are performed by the Administr ator, and optionally, by the manufacturer. (2) Measurement procedures, other than those described in subpart I o f this part, may be used by the manufacturer provided the manufacturer satisfies the r equirements of § 86.007-23(f). (3) When a manufacturer chooses to use an alternative measurement proce dure, it has the responsibility to determine whether the results obtained by th e procedure will correlate with the results which would be obtained from the meas urement procedure in subpart I of this part. Consequently, the Administrator will not routinel y approve or disapprove any alternative opacity measurement procedure or any assoc iated correlation data which the manufacturer elects to use to sati sfy the data requirements for subpart I of this part. (4) If a confirmatory test is performed and the results indicate the re is a systematic problem suggesting that the data generated under an optional alternative mea surement procedure do not adequately correlate with data obtained in accordance wi th theprocedures described in subpart I of this part, EPA may require that al l certificates of conformity not already issued be based on data obtained from procedures describe d in subpart I of this part.

11. Section 86.090-2 is amended by revising the definition of “primary intended se rvice class” to read as follows: § 86.090-2 Definitions. * * * * * Primary intended service class has the meaning given in 40 CFR 1036.140. * * * * *

Subpart B – [Amended]

9. 12. Section 86.144-94 is amended by adding paragraphs (b)(11) and (c)(10) to read as follows: § 86.144-94 Calculations; exhaust emissions. * * * * * (b) * * * (11) Nitrous Oxide Mass: V mix x Density N2O x (N 2 O conc /1,000,000) (c) * * * (10)(i) N 2 O mass =Nitrous oxide emissions, in grams per test phase. (ii) Density N2O =Density of nitrous oxide is 51.81 g/ft 3 (1.83 kg/m 3 ), at 68 °F (20 °C) and 760 mm Hg (101.3kPa) pressure. (iii)(A) N 2 O conc =Nitrous oxide concentration of the dilute exhaust sample corrected for background, in ppm. (B) N 2 O conc =N 2 O e -N 2 O d (1-(1/DF)). Where: N 2 O e =Nitrous oxide concentration of the dilute exhaust sample as measured, i n ppm. N 2 O d = Nitrous oxide concentration of the dilution air as measured, in ppm. * * * * *

Subpart F – [Amended]

10. 13. Section 86.544-90 is amended by adding paragraphs (b)(8) and (c)(8) to read as follows: § 86.544-90 Calculations; exhaust emissions. * * * * * (b) * * * (8) Nitrous Oxide Mass: V mix x Density N2O x (N 2 O conc /1,000,000) (c) * * * (8)(i) N 2 O mass =Nitrous oxide emissions, in grams per test phase. (ii) Density N2O =Density of nitrous oxide is 51.81 g/ft 3 (1.83 kg/m 3 ), at 68 °F (20 °C) and 760 mm Hg (101.3kPa) pressure. (iii)(A) N 2 O conc =Nitrous oxide concentration of the dilute exhaust sample corrected for background, in ppm. (B) N 2 O conc =N 2 O e -N 2 O d (1-(1/DF)).Where:

N 2 O e =Nitrous oxide concentration of the dilute exhaust sample as measured, i n ppm. N 2 O d = Nitrous oxide concentration of the dilution air as measured, in ppm. * * * * *

Subpart N – [Amended]

11. 14. Section 86.1305-2010 is amended by revising paragraph (b) to read as follows: § 86.1305-2010 Introduction; structure of subpart. * * * * * (b) Use the applicable equipment and procedures for spark-ignition or c ompressionignition engines in 40 CFR part 1065 to determine whether engines meet the du ty-cycle emission standards in subpart A of this part. Measure the emissions of all regulated pollutants as specified in 40 CFR part 1065. Use the duty cycles and procedures s pecified in §§86.1333–2010, 86.1360–2007, and 86.1362–2010. Adjust emission results from engines using aftertreatment technology with infrequent regenerati on events as described in §86.004–28. * * * * *

Subpart S – [Amended]

§ 86.1806-01—[Amended] 15. Section 86. 1362

- 2010 1806-01 is amended by adding removing and reserving paragraph ( f

b)(8)(ii).

§ 86.1806-05—[Amended] 16. Section 86.1806-05 is amended by removing and reserving paragraph (b)(8)(ii).

12. 17. Section 86.1811-04 is amended by revising paragraph (n ) to read as follows: § 86. 1362

- 2010 Steady

- state testing with a ramped

- modal cycle 1811-04 Emission standards for light-duty vehicles, light-duty trucks and medium- duty passenger vehicles

. * * * * * ( f) Starting in the 2014 model year, use continuous sampling to determine separ ate emission rates at each test mode during the test run for each polluta nt except PM , as described in 40 CFR 1036.501

. n) Hybrid electric vehicle (HEV) and Zero Emission Vehicle (ZEV) requirements. For FTP and SFTP exhaust emissions, manufac turers must measure emissions from all HEVs and ZEVs according to the procedures spe cified in SAE J1711 and SAE J1634, respectively (incorporated by reference in § 86.1). Subpart S

– [Amended] * * * * *

13. 18. Section 86.1818-12 is amended by revising paragraph (f) to read as follows:

§ 86.1818-12 Greenhouse gas emission standards for light-duty vehicles, light -duty trucks, and medium-duty passenger vehicles.* * * * *

* * * * * (f) Nitrous oxide (N 2 O) and methane (CH 4 ) exhaust emission standards for passenger automobiles and light trucks. Each manufacturer's fleet of combined passenger automobile and light trucks must comply with N 2 O and CH 4 standards using either the provisions of paragraph (f)(1), (f)(2), or (f)(3) of this section. The Except with prior EPA approval, a manufacturer may not use the provisions of both paragraphs (f)(1) and (f)( 2) of this section in a model year. For example, a manufacturer may not use t he provisions of paragraph (f)(1) of this section for their passenger automobile fle et and the provisions of paragraph (f)(2) for their light truck fleet in the same model year. The manufacturer may use the provisions of both paragraphs (f)(1) and (f)(3) of this section i n a model year. For example, a manufacturer may meet the N 2 O standard in paragraph (f)(1)(i) of this section and an alternative CH 4 standard determined under paragraph (f)(3) of this section. Use of the provisions in paragraph (f)(3) is limited to the 2012 thr ough 2016 model years. (1) Standards applicable to each test group . (i) Exhaust emissions of nitrous oxide (N 2 O) shall not exceed 0.010 grams per mile at full useful life, as measured acc ording to the Federal Test Procedure (FTP) described in subpart B of this part. Manuf acturers may optionally determine an alternative N 2 O standard under paragraph (f)(3) of this section. (ii) Exhaust emissions of methane (CH 4 ) shall not exceed 0.030 grams per mile at full useful life, as measured according to the Federal Test Procedure (FT P) described in subpart B of this part. Manufacturers may optionally determine an alterna tive CH 4 standard under paragraph (f)(3) of this section. (2) Include N 2 O and CH 4 in fleet averaging program . Manufacturers may elect to not meet the emission standards in paragraph (f)(1) of this section. Manufac turers making this election shall include N 2 O and CH 4 emissions in the determination of their fleet average carbon-related exhaust emissions, as calculated in subpart F of p art 600 of this chapter. Manufacturers using this option must include both N 2 O and CH 4 full useful life values in the fleet average calculations for passenger automobile s and light trucks. Use of this option will account for N 2 O and CH 4 emissions within the carbon-related exhaust emission value determined for each model type according to the provisions of part 600 of this chapter. This option requires the determination of full useful life emission values for both the Federal Test Procedure and the Highway Fuel Economy Test. Manufac turers selecting this option are not required to demonstrate compliance with the standards in paragraph (f)(1) of this section. (3) Optional use of alternative N 2 O and/or CH 4 standards. Manufacturers may select an alternative standard applicable to a test group, for either N 2 O, CH 4 , or both. For example, a manufacturer may choose to meet the N 2 O standard in paragraph (f)(1)(i) of this section and an alternative CH 4 standard in lieu of the standard in paragraph (f)(1)(ii) of this section. The alternative standard for each pollutant must be greater t han the applicable exhaust emission standard specified in paragraph (f)(1) of this section. Al ternative N 2 O and CH 4 standards apply to emissions measured according to the Federal Test Procedure (FTP) described in Subpart B of this part for the full useful life, and be come the applicable certification and in-use emission standard(s) for the te st group. Manufacturersusing an alternative standard for N 2 O and/or CH 4 must calculate emission debits

according to the provisions of paragraph (f)(4) of this section for each te st group/alternative standard combination. Debits must be included in the cal culation of total credits or debits generated in a model year as required under § 86.1865-12(k)(5). For flexible fuel vehicles (or other vehicles certified for m ultiple fuels) you must meet these alternative standards when tested on any applicable test f uel type. (4) CO 2 -equivalent debits . CO 2 -equivalent debits for test groups using an alternative N 2 O and N 2 Oand /or CH 4 standard CH 4 standard as determined under paragraph (f)(3) of this section shall be calculated according to the following equation and rounded to the nearest
megagram: Debits = [GWP x (Production) x (AltStd – Std) x VLM] / 1,000,000

Where: Debits = N 2 O or CH 4 CO 2 -equivalent debits for a test group using an alternative N 2 O or CH 4 standard; GWP = 25 if calculating CH 4 debits and 298 if calculating N 2 O debits; Production = The number of vehicles of that test group domestically produc ed plus those imported as defined in §600.511–80 of this chapter; AltStd = The alternative standard (N 2 O or CH 4 ) selected by the manufacturer under paragraph (f)(3) of this section; Std = The exhaust emission standard for N 2 O or CH 4 specified in paragraph (f)(1) of this section; and VLM = 195,264 for passenger automobiles and 225,865 for light trucks.

19. Section 86.1823-08 is amended by revising paragraphs (m)(1)(i), (m)(2), (m)(3), and (m)(4) to read as follows: § 86.1823-08 Durability demonstration procedures for exhaust emissions.

* * * * * (m) * * * (1) * * * (i) Unless otherwise specified under paragraph (m)(1)(ii) of this s ection, manufacturers may use a multiplicative CO 2 deterioration factor of one or an additive deterioration factor of zero to determine full useful life emissions for the FTP and HF ET tests. * * * * * (2) N 2 O and CH

4 . (i) For manufacturers complying with the FTP emission standards for N 2 O and CH 4 specified in §86.1818–12(f)(1) or determined under §86.1818–12 (f)(3), FTP-based deterioration factors for N 2 O and CH 4 shall be determined according to the provisions of paragraphs (a) through (l) of this section. (ii) For manufacturers complying with the fleet averaging option for N 2 O and CH 4 as allowed under §86.1818–12(f)(2), deterioration factors based on FTP testing shall be determined and may be used to determine full useful life emissions for the FTP and HFET tests. The manufacturer may at its option determine separ ate deterioration factors for the FTP and HFET test cycles, in which case each FTP test perform ed on the durability data vehicle selected under §86.1822–01 of this part must also be accomp anied by an HFET test.(iii) For the 2012 through 2014 model years only, manufacturers may use alternat ive

deterioration factors. For N 2 O, the alternative deterioration factor to be used to adjust FTP and HFET emissions is the deterioration factor determined for NOx e missions according to the provisions of this section. For CH 4 , the alternative deterioration factor to be used to adjust FTP and HFET emissions is the deterioration factor determ ined for NMOG or NMHC emissions according to the provisions of this section. (3) Other carbon-related exhaust emissions . FTP-based deterioration factors shall be determined for carbon-related exhaust emissions (CREE), hydrocarbons, and CO according to the provisions of paragraphs (a) through (l) of this section. The FTP-based deterioration factor shall be used to determine full useful life emiss ions for both the FTP (city) and HFET (highway) test cycles. The manufacturer may at its option determine separate deterioration factors for the FTP and HFET test cycles , in which case each FTP test performed on the durability data vehicle selected under §86.1822 of this part must also be accompanied by an HFET test. In lieu of determining emission- specific deterioration factors for the specific hydrocarbons of CH 3 OH (methanol), HCHO (formaldehyde), C 2 H 5 OH (ethanol), and C 2 H 4 O (acetaldehyde) as may be required for some alternative fuel vehicles, manufacturers may use the addi tive or multiplicative deterioration factor determined for (or derived from, using good engineering judg ment) NMOG or NMHC emissions according to the provisions of this section. (4) Air Conditioning leakage and efficiency or other emission credit requirem ents to comply with exhaust CO 2 standards . Manufactures will attest to the durability of components and systems used to meet the CO 2 standards. Manufacturers may submit engineering data to provide durability demonstration. Deterioration factors do not apply to emission-related components and systems used to generate air conditi oning leakage and/or efficiency credits.

20. Section 86.1844-01 is amended by revising paragraph (d)(15) to read as follows: § 86.1844-01 Information requirements: Application for certification and submittal of information upon request. * * * * * (d) * * * (15)(i) For HEVs and EVs, describe the recharging procedures and methods for determining battery performance, such as state of charge and charging ca pacity. (ii) For vehicles with fuel-fired heaters, include the information spec ified in this paragraph (d)(15)(ii). Describe the control system logic of the fuel- fired heater, including an evaluation of the conditions under which it can be operated and an evaluation of the possible operational modes and conditions under which evaporat ive emissions can exist. Use good engineering judgment to establish an estimat ed exhaust emission rate from the fuel-fired heater in grams per mile . Describe the testing used to establish the exhaust emission rate. * * * * *

14. 21. Section 86.1863-07 is revised to read as follows: § 86.1863-07 Chassis certification for diesel vehicles. (a) A manufacturer may optionally certify heavy-duty diesel vehicl es 14,000 pounds GVWR or less to the standards specified in § 86.1816. Such vehicles must meet all therequirements of this subpart S that are applicable to Otto-cycl e vehicles, except for

evaporative, refueling, and OBD requirements where the diesel-specif ic OBD requirements would apply. (b) For OBD, diesel vehicles optionally certified under this section are subject to the OBD requirements of § 86.1806. (c) Diesel vehicles certified under this section may be tested using t he test fuels, sampling systems, or analytical systems specified for diesel engines in subpar t N of this part or in 40 CFR part 1065. (d) Diesel vehicles optionally certified under this section to t he standards of this subpart may not be included in any averaging, banking, or trading program for criteria emissions under this part. (e) The provisions of § 86.004–40 apply to the engines in vehicles certified u nder this section. (f) Diesel vehicles may be certified under this section to the st andards applicable to model year 2008 in earlier model years. (g) Diesel vehicles optionally certified under this section in m odel years 2007, 2008, or 2009 shall be included in phase-in calculations specified in § 86.007–11(g). (h) Diesel vehicles subject to the standards of 40 CFR 1037.104 are subject to the provisions of this subpart as specified in 40 CFR 1037.104

. (

. ( i) Non-petroleum fueled complete vehicles subject to the st andards and requirements of this part under §86.016-01(d)(5) are subject to the provisions of this section applicable to diesel-fueled heavy-duty vehicles.

15. 22. Section 86.1865-12 is amended by adding paragraphs (k)(5)(iv), and by revising paragraphs (k)(5), (l)(1)(i)(F), and (l)(2)(i) to read as follows: § 86.1865-12 How to comply with the fleet average CO 2 standards. * * * * * (k) * * * (5) Total credits or debits generated in a model year, maintained and reporte d separately for passenger automobiles and light trucks, shall be the sum of the cred its or debits calculated in paragraph (k)(4) of this section and any of the following c redits or debits, if applicable:

(i) Air conditioning leakage credits earned according to the pr ovisions of §86.1866

– 12(b);

(ii) Air conditioning efficiency credits earned according to the provi sions of §86.1866

– 12(c);

(iii) Off

- cycle technology credits earned according to the provisions of §86.1866

– 12(d);

(5) * * * (iv) N 2 O and/or CH 4 CO 2 -equivalent debits accumulated according to the provisions of § 86.1818-12(f)(4). * * * * *(l) * * *

(1) * * * (i) * * * (F) Carbon-related exhaust emission standard, N 2 O emission standard, and CH 4 emission standard to which the passenger car or light truck is certified. * * * * * (2) * * * (i) Each manufacturer must submit an annual report. The annual report m ust contain for each applicable CO 2 standard, the calculated fleet average CO 2 value, all values required to calculate the CO 2 emissions 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 2 O and/or CH 4 standard selected under the provisions of § 86.1818-12(f)(3), the report must contain the N 2 O and/or CH 4 CO 2 - equivalent debits calculated according to § 86.1818-12(f)(4) for each test group a nd all values required to calculate the number of debits incurred. * * * * *

PART 600— FUEL ECONOMY AND GREENHOUSE GAS EXHAUST EMISSIONS OF MOTOR VEHICLES

23. The authority citation for part 600 continues to read as follows: Authority: 49 U.S.C. 32901—23919q, Pub. L. 109–58.

Subpart A—[Amended]

24. Section 600.011 is amended by revising paragraph (c)(3) to read as follow s: § 600.011 Incorporation by reference. * * * * * (c) * * * (3) SAE J1711, Recommended Practice for Measuring the Exhaust Emissions a nd Fuel Economy of Hybrid-Electric Vehicles, Including Plug-In Hybrid Vehicles, J une 2010, IBR approved for §§ 600.114-12(c) and (f), 600.116–12(b), and 600.311-12(d), (j), and (k). * * * * *

Subpart B—[Amended]

25. Section 600.114-12 is amended by revising paragraphs (c), (e)(2)(ii), and (f) to rea d as follows: § 600.114-12 Vehicle-specific 5-cycle fuel economy and carbon-related exhaust emission calculations. * * * * * (c) Fuel economy calculations for hybrid electric vehicles. Test hybrid electric vehicles as described in SAE J1711 (incorporated by reference in § 600.011). For FTP testing, t his generally involves emission sampling over four phases (bags) of the UDDS (cold-start,transient, warm-start, transient); however, these four phases may be combined into two

phases (phases 1 + 2 and phases 3 + 4). Calculations for these sampling methods follo w: * * * * * (e) * * * (2) * * * (ii) Determine the 5-cycle highway carbon-related exhaust emissi ons according to the following formula:



### ( ) Start CREE RunningCREE HighwayCREE 0.905 +

=

Where: 

### ( )

( )

60 StartCREE 13637 .1 A 005515 .0 33.0 StartCREE 75 × + × × =



### ( )
75 75 75 CREE 3 Bag CREE 1 Bag 3.6 CREE Start

−

× =



### ( ) ( ) 

### [ ] ( ) ( ) ( ) 

### [ ] CREE US06 1357 .0 A 00540 .0 133 .0 377 .0 CREE HFET 0.21 CREE Highway US06 79.0 007 .1 CREE Running

× + × × × + × + × × =

* * * * * (f) CO 2 and carbon-related exhaust emissions calculations for hybrid electric vehi cles. Test hybrid electric vehicles as described in SAE J1711 (incorporated by r eference in § 600.011). For FTP testing, this generally involves emission sampling over four phase s (bags) of the UDDS (cold-start, transient, warm-start, transient ); however, these four phases may be combined into two phases (phases 1 + 2 and phases 3 + 4). Calcu lations for these sampling methods follow: * * * * *

26. Section 600.115-11 is amended by revising the introductory text to read as foll ows: § 600.115-11 Criteria for determining the fuel economy label calculation met hod. This section provides the criteria to determine if the derived 5-cyc le method for determining fuel economy label values, as specified in § 600.210–08(a)(2) or (b)(2 ) or § 600.210–12(a)(2) or (b)(2), as applicable, may be used to determine label values. Separate criteria apply to city and highway fuel economy for each te st group. The provisions of this section are optional. If this option is not chosen, or if the c riteria provided in this section are not met, fuel economy label values must be deter mined according to the vehicle-specific 5-cycle method specified in § 600.210–08(a)( 1) or (b)(1) or § 600.210–12(a)(1) or (b)(1), as applicable. However, dedicated altern ative-fuel vehicles, dual fuel vehicles when operating on the alternative fuel, plug-i n hybrid electric vehicles while operating in charge-depleting mode, MDPVs, and vehicles im ported by Independent Commercial Importers may use the derived 5-cycle metho d for determining fuel economy label values whether or not the criteria provided in this section are met. Manufacturers may alternatively account for this effect by multiplying 2-cycle fuel economy values by 0.7 and dividing 2-cycle CO 2 emission values by 0.7. * * * * *

27. Section 600.116-12 is amended by adding paragraph (a)(6) and revising the equationfor UF i in paragraph (b)(4) to read as follows: § 600.116-12 Special procedures related to electric vehicles and plug-in hybrid electric vehicles. (a) * * * (6) All label values related to fuel economy, energy consumption, and range must be based on 5-cycle testing or on values adjusted to be equivalent to 5-cycl e results. (b) * * * (4) * * *

1 1 1 1 exp j

k n

i i j i j i d UF C UF

ND −

= =          

= −  − × 

−

         

      

## ∑ ∑

* * * * *

Subpart C—[Amended]

28. Section 600.210-12 is amended by revising paragraph (d)(3)(ii) to read as follows: § 600.210-12 Calculation of fuel economy and CO 2 emission values for labeling. * * * * * (d) * * * (3) * * * (ii) Multiply 2-cycle fuel economy values by 0.7 and divide 2-cycle CO 2 emission values by 0.7. * * * * *

Subpart D—[Amended]

29. Section 600.302-12 is amended by revising paragraph (e)(4) to read as follows: § 600.302-12 Fuel economy label—general provisions. (e) * * * (4) Insert a slider bar in the right portion of the field to character ize the vehicle’s level of emission control for ozone-related air pollutants relative to that o f all vehicles. Position a box with a downward-pointing wedge above the slider bar positioned to show w here that vehicle's emission rating falls relative to the total range. Includ e the vehicle’s emission rating (as described in § 600.311) inside the box. Include the number 1 in the border at the left end of the slider bar; include the number 10 in the border at the right end of the slider bar and add the term “Best” below the slider bar, directly und er the number. EPA will periodically calculate and publish updated range values as described in § 600.311. Add color to the slider bar such that it is blue at the left end of the range , white at the right end of the range, and shaded continuously across the range. * * * * * PART 1033— CONTROL OF EMISSIONS FROM LOCOMOTIVES

30. The authority citation for part 1033 continues to read as follows: Authority: 42 U.S.C. 7401-7671q.

Subpart G—[Amended]31. Section 1033.625 is amended by revising paragraph (a)(2) to read as follows:

§ 1033.625 Special certification provisions for non-locomotive-specific e ngines. * * * * * (a) * * * (2) The engines were certified to PM, NOx, and hydrocarbon standards that are numerically lower than the applicable locomotive standards of thi s part. * * * * *

16. 32. A new part 1036 is added to subchapter U to read as follows:PART 1036--CONTROL OF EMISSIONS FROM NEW AND IN-USE HEAVYDUTY 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. 1036.150 Interim provisions.

Subpart C—Certifying Engine Families

1036.205 What must I include in my application? 1036.210 May I get Preliminary approval before I complete my application? 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 pollutant standards. 1036.250 Reporting and recordkeeping for certification. 1036.255 What decisions may EPA make regarding my certificate of conformit y?

Subpart D—[Reserved]Subpart E—In-use Testing

1036.401 In-use testing.

Subpart F—Test Procedures

1036.501 How do I run a valid emission test? 1036.525 Hybrid engines. 1036.530 Calculating greenhouse gas emission rates.

Subpart G—Special Compliance Provisions

1036.601 What compliance provisions apply to these engines? 1036.610 Innovative 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 2 standards based on model year 2011 compression ignition engines.

Subpart H—Averaging, Banking, and Trading for Certification

1036.701 General provisions. 1036.705 Generating and calculating emission credits. 1036.710 Averaging and using emission credits

. 1036.715 Banking emission credits

. 1036.720 Trading emission credits

. 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 2 credit 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, acronyms, and abbreviations. 1036.810 Incorporation by reference. 1036.815 What provisions apply to confidential information? 1036.820 Requesting a hearing. 1036.825 Reporting and recordkeeping requirements.

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 to all new 2014 model year and later heavy-duty engines. This includes engines fuel ed by conventional and alternative fuels. (b) This part does not apply with respect to exhaust emission standards f or HC, CO, NOx, or PM except that the provisions of §1036.601 apply.

§ 1036.2 Who is responsible for compliance? The regulations in this part 1036 contain provisions that affect both engin e manufacturers and others. However, the requirements of this part are generally addres sed to the engine manufacturer. The term "you" generally means the engine manufacture r, especially for issues related to certification.

§ 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-dut y passenger vehicles that are subject to regulation under 40 CFR part 86, subpart S, exc ept as specified in 40 CFR part 86, subpart S

. and §1036.108(a)(4). For example, this exclusion applies for engines used in vehicles certified to the standards of 40 CFR 1037.1 04. (b) Engines installed in heavy-duty vehicles that do not provide motive power are nonroad engines. The provisions of this part therefore do not apply to these en gines. See 40 CFR parts 1039, 1048, or 1054 for other requirements that apply for these auxiliary engines. See 40 CFR part 1037 for requirements that may apply for vehicl es 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 pa rt 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. (e) The provisions of this part do not apply to engines used in heavy-duty vehicle s that are subject to light-duty greenhouse gas standards under 40 CFR part 86, subpart S, except as specified in 40 CFR part 86, subpart S and §1036.108(a)(4).

§ 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 requir ements that must be met to certify engines under this part. Note that § 1036.150 desc ribes 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) [Reserved] (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 (includ ing references to other parts of the Code of Federal Regulations). (g) Subpart G of this part describes requirements, prohibitions, and other provis ions thatapply to engine manufacturers, vehicle manufacturers, owners, operato rs, rebuilders, and

all others. (h) Subpart H of this part describes how you may generate and use emission cre dits to certify your engines. (i) [Reserved] (j) Subpart J of this part contains definitions and other reference informati on.

§ 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 C FR part 86. For example, the regulations of part 86 specify emission standards and certif ication procedures related to criteria pollutants. (b) Part 1037 of this chapter describes requirements for controlling e vaporative 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 specif ications 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 engi nes meet the exhaust emission standards in this part. (d) Certain provisions of part 1068 of this chapter apply as specified in § 10 36.601 to everyone, including anyone who manufactures, imports, installs, owns, opera tes, or rebuilds any of the engines subject to this part 1036, or vehicles cont aining these engines. Part 1068 of this chapter describes general provisions , including that apply broadly, but do not necessarily apply for all engines or all persons. The issues addressed b y these provisions include these seven areas: (1) Prohibited acts and penalties for engine manufacturers, vehi cle 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. Send all reports and requests for approval to the Designated Compliance Off icer (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 f or greenhouse gas pollutants described in 40 CFR 1037.104 are not subject to the standards spec ified 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 emiss ion of the air pollutant defined as the aggregate group of six greenhouse gases: carbon dioxide, nit rous oxide, methane, hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride. This section describes the applicable CO 2 , N 2 O, and CH 4 standards for engines. Except as specified in paragraph (a)(4) of this section, these standards do not apply for engines used in vehicles subject to (or voluntarily certified to) the CO 2 , N 2 O, and CH 4 standards for vehicles specified in 40 CFR 1037.104. (a) Emission standards . Emission standards apply for engines measured using the test procedures specified in subpart F of this part as follows: (1) CO 2 emission standards apply as specified in this paragraph (a)(1). For medium The applicable test cycle for measuring CO 2 emissions differs depending on the engine family’s primary intended service class and heavy heavy

- duty the extent to which the engines certified as will be (or were designed to be) used in tractors. For medium and heavy heavy-duty engines certified as tractor engines, measure CO 2 emissions using only the steady-state duty cycle specified in 40 CFR 86.1362

- 2010 (referred to as the SET cycle). This is intended for engines designed to be used primarily in tractors and other line-haul applications. Note that t he use of some SETcertified tractor engines in vocational applications does not affec t your certification obligation under this paragraph; 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 s and vocational engines vocational engines , measure CO 2 emissions using the steady-state duty cycle and the transient duty cycle ( commonly sometimes referred to as the FTP engine cycle ) ), both of which

are specified in 40 CFR part 86, subpart N. Note This is intended for engines that the are designed for

use of in both tractor engines in and vocational applications does not affect your certification obligation under this paragraph . For all other engines

, (including all spark-ignition engines), measure CO 2 emissions using only the transient duty cycle specified in 40 CFR part 86, subpart N. (i) The CO 2 standard for model year 2016 and later spark-ignition engines is 627 g/hp-hr. (ii) The following CO 2 standards apply for compression-ignition engines and all other engines (in g/hp-hr): Model Years Light

HeavyDuty Medium HeavyDuty – Vocational Heavy HeavyDuty –Vocational Medium HeavyDuty –Tractor Heavy HeavyDuty – Tractor

2014-2016 600 600 567 502 475 2017 and later 576 576 555 487 460

(2) The CH 4 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 ye ar 2014 for compression ignition engines and in model year 2016 for spark-ignition engines. Note that this standard applies for all fuel types just as the other standards of this section do.(3) The N 2 O emission standard for all model year 2014 and later engines is 0.10 g/hp-hr when measured over the transient duty cycle specified in 40 CF R part 86, subpart N. This standard begins in model year 2014 for compression igniti on engines and in model year 2016 for spark-ignition engines. (4) This paragraph (a)(4) describes alternate emission standards for e ngines certified under 40 CFR 1037.150(m). The standards of paragraphs (a)(1) through (3) do not apply for these engines. The standards in this paragraph (a)(4) apply for em issions measured with the engine installed in a complete vehicle consis tent with the provisions of 40 CFR 1037.150(m)(6). The CO 2 standard for the engines equals the test result specified in 40 CFR 1037.150(m)(6) multiplied by 1.10 and rounded to the nearest 0.1 g/mile. The N 2 O and CH 4 standards are both 0.05 g/mile (or any alternate standards that apply to the corresponding vehicle test group). The only req uirements of this part that apply to these engines are those in this paragraph (a)(4) and those in §§1036.115 through 1036.135. (b) Family certification levels . You must specify a CO 2 Family Certification Level (FCL) for each engine family. The FCL may not be less than the cer tified emission level for the engine family. The CO 2 Family Emission Limit (FEL) for the engine family is equal to the FCL multiplied by 1.03. (c) Averaging, banking, and trading . You may generate or use emission credits under the averaging, banking, and trading (ABT) program described in subpart H of this part f or demonstrating compliance with CO 2 emission standards. Credits (positive and negative) are calculated from the difference between the FCL and the app licable emission standard. As described in §1036.705, you may use CO 2 credits to certify your engine families to FELs for N 2 O and/or CH 4 , instead of the N 2 O/CH 4 standards of this section that otherwise apply. Except as specified in § 1036.150 or and 1036.705, you may not generate or use credits for N 2 O or CH 4 emissions. (d) Useful life . Your engines must meet the exhaust emission standards of this section

over throughout

their full useful life, expressed in service miles or calendar y ears, 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. (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 appli cable test cycles )

, ) of testable configurations, including certification, selective enforcement audits, and in-use testing. The CO 2 FCLs serve as the CO 2 emission standards for the engine family with respect to certification and confirmatory testing instead of the st andards specified in paragraph (a)(1) of this section. The FELs serve as the emission standar ds for the engine family with respect to all other testing. See §§1036.235 and 1036.241 to determine which engine configurations within the engine family are subject t o testing. (f) Multi-fuel engines. For dual

- fuel, multi-fuel, and flex ible -fuel engines, perform exhaust testing on each fuel type (for example, gasoline and E85). (1) If we determine that

This paragraph (f)(1) applies where you have demonstrated 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 may to submit the weighted average of your emission results. For example, if you certify an E85 flex ible -fuel engine and we determine the enginewill produce one-half of its work from E85 and one-half of its work from gasoline, you may average your E85 and gasoline emission results. (2) If you certify your engine family to N 2 O and/or CH 4 FELs the FELs apply for testing on all fuels 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 parame ter provisions, and defeat device prohibition of 40 CFR part 86 apply with respect to the standards of this part. (b) 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 the emission standards specified in 40 CFR 1037.103. (2) For incomplete heavy

- duty vehicle s and 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 certi fying 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. (b) [Reserved.]

§ 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 o f this part. Include all information necessary to ensure that an engine will be installed in i ts certified configuration. (b) Make sure these instructions have the following information: (1) Include the heading: “Emission-related installation instruct ions”. (2) State: “Failing to follow these instructions when installing a ce rtified engine in a heavy-duty motor vehicle violates federal law, subject to fine s or other penalties as described in the Clean Air Act.” (3) Provide all instructions needed to properly install the exhaust syste m and any other components. (4) Describe any necessary steps for installing any diagnostic sys tem required under 40 CFR part 86. (5) Describe how your certification is limited for any type of app lication. For example, if you certify heavy heavy-duty engines to the CO 2 standards using only steady-state testing, you must make clear that the engine may be installed only in

tractors. (6) Describe any other instructions to make sure the installed engin e will operate according to design specifications in your application for certificatio n. This may include, for example, instructions for installing aftertreatment device s 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 aduplicate label on the vehicle, as described in 40 CFR 1068.105.”

(c) You do not need installation instructions for engines that you install i n your own vehicles. (d) Provide instructions in writing or in an equivalent format. For exa mple, you may post instructions on a publicly available website for downloading or printing. If you do not provide the instructions in writing, explain in your application for certi fication how you will ensure that each installer is informed of the installation re quirements.

§ 1036.135 Labeling. Label your engines as described in 40 CFR 86.007-35(a)(3), with the followi ng additional information: (a) State the FEL ( s ) to which the engines are certified under this part

. If you certify your engines for use in both vocational and tractor applications, include the FEL for both the transient FTP cycle and the SET cycle. (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 i f you show that it is necessary or appropriate. We will approve your reques t if your alternate label is consistent with the requirements of this part. We may al so specify modified labeling requirement to be consistent with the intent of 40 CFR part 1037.

§ 1036.140 Primary intended service class. You must identify a single primary intended service class for each compre ssion-ignition engine family. Select the class that best describes vehicles f or which you design and market the engine. The three primary intended service classes are : light heavy-duty, medium heavy-duty, and heavy heavy-duty. Note that provisions that apply based on primary intended service class often treat spark-ignition engines as if they were a separate service class. (a) Light heavy-duty engines are 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 for a light-duty truck chassis, van trucks, multi-stop vans, mot or homes and other recreational vehicles, and some straight trucks with a single rea r axle. Typical applications would include personal transportation, light-load commercia l delivery, passenger service, agriculture, and construction. The GVWR of these vehicle s is normally below 19,500 pounds. (b) Medium heavy-duty engines may be designed for rebuild and may have cyl inder liners. Vehicle body types in this group would typically include school buses, s traight trucks with dual rear axles, city tractors, and a variety of specia l purpose vehicles such as small dump trucks, and refuse trucks. Typical applications would include c ommercial short haul and intra-city delivery and pickup. Engines in this group are normal ly used in vehicles whose GVWR ranges from 19,500 to 33,000 pounds. (c) Heavy heavy-duty engines are designed for multiple rebuilds and have cy linder liners.Vehicles in this group are normally tractors, trucks, and buses used in int er-city, longhaul applications. These vehicles normally exceed 33,000 pounds GVWR.

§ 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 engine s) to the standards of § 1036.108. To do so (1)Except as specified in paragraph (a)(2) of this section, to generate ea rly credits

, you must certify your entire U.S.-directed production volume within that averaging set to these standards. If some engine families within an This means that you may not generate early credits while you produce engines in the averaging set that are certified after the start of

to the 2013 model year (201 5 for spark

- ignition engines) , you may generate credits only for production that occurs after all your families are certified 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 compressi on-ignition engine family where you demonstrate that you have improved a model year 2013 engine model’s CO 2 emissions relative to its 2012 baseline level and certify it to an F CL below the applicable standard. Calculate emission credits as des cribed in subpart H of this part relative to the lesser of the standard that would apply f or 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 t hat it replaces it. (3) You may bank credits equal to the surplus credits you generate under thi s paragraph 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 aver aging set prior to model year 2014 (2016 for spark-ignition engines) do not carry over to mode l year 2014 (2016 for spark-ignition engines). We recommend that you notify us of your intent to use this provision before submitting your applicatio ns. (b) Model year 2014 N 2 O standards. In model year 2014 and earlier, manufacturers may show compliance with the N 2 O standards using an engineering analysis. However, you may not certify to an N2O FEL different than the standard if you do not measure N2O emissions. This allowance also applies for later families certified us ing carryover CO 2 data from model 2014 consistent with §1036.235(d). (c) Engine cycle classification. 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, engines meeting the definition of compression-ignition, but regulated as Otto-cycle unde r 40 CFR part 86 must be certified to the requirements applicable to spark-igniti on engines under this part. Such engines are deemed to be spark-ignition engines for purposes of this part. (d) Small manufacturers. Manufacturers meeting the small business criteria specified for“Gasoline Engine and Engine Parts Manufacturing” or “Other Engine Equi pment

Manufacturers” in 13 CFR 121.201 are not subject to the greenhouse gas emission standards in § 1036.108. Qualifying manufacturers must notify the Designated Compliance Officer before importing or introducing into U.S. commerce excluded engines. This notification must include a description of the manuf acturer’s qualification as a small business under 13 CFR 121.201. You must label your excluded vehicles w ith the statement: “THIS ENGINE IS EXCLUDED UNDER 40 CFR 1037.150(c).” in order for this exclusion to be valid. (e) Alternate phase

- in standards. Where a manufacturer certifies all it 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 for model years 2013 through 2016. Note This means that once a manufacturer chooses to certify a primary intended service class to the standards of this paragraph (e), it is not allowed to opt out of these standards. Engines certified to these standards are not eligible for early credits under paragraph (a) of this section.

Tractors LHD Engines MHD Engines HHD Engines Model Years 2013- 2015 NA 512 g/hp-hr 485 g/hp-hr

Model Years 2016 and later a 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 and later † 576 g/hp-hr 576 g/hp-hr 555 g/hp-hr

(f) Alternate certification procedures. Manufacturers may ask us to modify the administrative requirements for certification for model years before 2015.

a Note: these alternate standards for 2016 and later are the same as the ot herwise applicable standards for 2017 and later. (f) Separate OBD families. This paragraph (f) applies where you sepa rately certify engines for the purpose of applying OBD requirements (for engines used in vehic les 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 e ngine family in certain respects for the purpose of this part, as specified in this paragraph (f). (1) This paragraph applies only where the two families are identic al 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 tw o separate families except for the following: (i) Specify the testable configurations of the non-OBD engine family a s the testable configurations for the OBD family. (ii) Submit the same CO 2 , N 2 O, and CH 4 emission data for both engine families. (g) Assigned deterioration factors. You may use assigned deterioration factors (DFs) without performing your own durability emission tests or engineering an alysis asdescribed in this paragraph (g). (1) You may use an assigned additive DF of 0.0 g/hp-hr for CO 2 emissions from engines that do not use advanced or innovative technologies. If we determine i t 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 2 emissions from your engines with advanced or innovative technologies. (2) You may use an assigned additive DF of 0.02 g/hp-hr for N 2 O emissions from any engine. (3) You may use an assigned additive DF of 0.02 g/hp-hr for CH 4 emissions from any engine. (h) Advance d technology credits. If you generate credits from engines certified for advance d technology you may multiply these credits by 1.5, except that you may no t apply this multiplier and the early

- credit multiplier of paragraph (a) of this section

. (

. ( i) CO 2 credits for low N 2 O emissions. If you certify your model year 2014, 2015, or 2016 engines to an N 2 O FEL less than 0.04

, g/hp-hr (provided you measure N 2 O emissions from your emission-data engines), you may generate additional CO 2 credits under this paragraph (i). Calculate the additional CO 2 credits from the following equation instead of the equation in §1036.705: CO 2 Credits (Mg) = (0.04 – FEL N2O ) · (CF) · (Volume) · (UL) · (10 -6 ) · (298)

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, wit h the following additional information: (a) Describe the engine family’s specifications and other basic param eters of the engine’s design and emission controls with respect to compliance with the requir ements 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 separat e 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 wi ll 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 FCLs with which you are certifying engines in the engine family. Identify configurations within the family that have emission rates at or below the FCL. The The actual U.S.-directed production volume of these configurations that have emission rates at or below the FCL must be at least 10 one percent of your total actual (not projected) U.S.-directed production volume for the engine family. Identify configurations within the family that have emission rates at or below t he FCL and meet the one percent requirement. For example, if your total U.S.-directe d production volumefor the engine family is 10,583, and the U.S.-directed production volume fo r 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 descr ibe 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 foll ows: (1) Present exhaust emission data for CO 2 , CH 4 , and N 2 O on an emission-data engine to show that your engines meet the applicable emission standards w e specify in § 1036.108. Show emission figures before and after applying deterioration factors for each engine. In addition to the composite results, show individual measur ements for cold-start testing and hot-start testing over the transient test cycle. (2) Note that § § § 1036.235 allow s you to submit an application in certain cases without new emission data. (h) State whether your certification is limited for certain engines. For example, if you certify heavy heavy-duty engines to the CO 2 standards using only transient testing, the engines may be installed only in vocational vehicles. (i) Unconditionally certify that all the engines in the engine family c omply with the requirements of this part, other referenced parts of the CFR, and the Cle an Air Act. Note that § 1036.235 specifies which engines to test to show that engines in the ent ire family comply with the requirements of this part. (j) Include the information required by other subparts of this part. For exa mple, include the information required by § 1036.725 if you participate in the ABT program

. ( k (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. ( l m ) For imported engines or equipment, identify the following: (1) Describe your normal practice for importing engines. For example, t his may include identifying the names and addresses of any agents you have aut horized to import your engines. Engines imported by nonauthorized agents are not cov ered by your certificate. (2) The location of a test facility in the United States where you c an test your engines if we select them for testing under a selective enforcement a udit, as specified in 40 CFR part 1068, subpart E.

§ 1036.210 May I get Preliminary approval before I complete my application ? certification. If you send us information before you finish the application, we may revie w it and make any appropriate determinations, especially for questions related to engine family definitions, auxiliary emission control devices, adjustable parame ters, deterioration factors, testing for service accumulation, and maintenance. Decisions m ade 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 prel iminary 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, wewill 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, but before the end of the model year, 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 pr ovisions of this section. You must amend your application if any changes occur with res pect 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 engi ne 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 w ay that may affect emissions, or change any of the components you described in yo ur 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 informat ion to the Designated Compliance Officer. (1) Describe in detail the addition or change in the engine model or conf iguration you intend to make. (2) Include engineering evaluations or data showing that the amended engi ne family complies with all applicable requirements. You may do this by showing t hat the original emission-data engine is still appropriate for showing that the a mended family complies with all applicable requirements. (3) If the original emission-data engine for the engine famil y is not appropriate to show compliance for the new or modified engine configuration, include ne w test data showing that the new or modified engine configuration meets the requireme nts of this part. (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 conf ormity, we will determine whether the existing certificate of conformity covers your newly ad ded 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 conf ormity, you may start producing the new or modified engine configuration anytime after you sen d us your amended application and before we make a decision under paragraph (d) of this se ction. However, if we determine that the affected engines do not meet appl icable requirements, we will notify you to cease production of the engines and may require you to r ecall 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 d o not meet applicableemission standards or other requirements and to remedy the nonconformit y 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 2 is automatically set to your new FEL divided by 1.03. The changed FEL may not apply to engines you have already introduced into U.S. commerce, e xcept as described in this paragraph (f). If we approve a changed FEL after the sta rt of production, you must include the new FEL on the emission control information l abel for all engines produced after the change. You may ask us to approve a change to your FEL in the following cases: (1) You may ask to raise your FEL for your engine family at any time. In your request, you must show that you will still be able to meet the emission s tandards as specified in subparts B and H of this part. Use the appropriate FELs/FCLs with corresponding production volumes to calculate emission credits for th e model year, as described in subpart H of this part. (2) You may ask to lower the FEL for your engine family only if y ou have test data from production engines showing that emissions are below the proposed lowe r 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 t he model year, as described in subpart H of this part.

§ 1036.230 Selecting engine families. See 40 CFR 86.001-24 for instructions on how to divide your product line into fami lies 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 followin g provisions also apply: (a) Engines certified as hybrid engines or power packs may not be inc luded in an engine family with engines with conventional powertrains. Note that t his does not prevent you from including engines in a conventional family if they are used in hy brid 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 standa rd 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 appl ications. You may assign the numbers and configurations of engines within the respective subfamilies at any time before submitting the end-of-year repor t 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; w e may alternatively allow you to use statistical methods to determine this for a fracti on of your engines. Keep records to document this determination.(2) If you restrict use of the test configuration for your split famil y to only tractors, or only vocational vehicles, you must identify a second testable configura tion for the other type of vehicle (or an unrestricted configuration). Identify t his configuration in your application for certification. The FCL for the engine family a pplies 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, c ount the two families as one family for purposes of determining your obligations with re spect to the OBD requirements and in-use testing requirements of 40 CFR part 86. Indicat e in the applications for certification that the two engine families are c overed by this paragraph (c). (d) Engine configurations within an engine family must use equivalent gre enhouse gas emission controls. Non

- tested Unless we approve it, you may not produce nontested configurations may not be decontented relative to without the same emission control hardware included on the tested configuration in a way . We will only approve it if you demonstrate that increases the exclusion of the hardware does not increase greenhouse gas emissions.

§ 1036.235 Testing requirements for certification. This section describes the emission testing you must perform to show com pliance with the greenhouse gas emission standards in § 1036.108. (a) Select a single emission-data engine from each engine famil y as specified in 40 CFR part 86. The standards of this part apply only with respect to emissions m easured 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 configurati ons” 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. (b) Test your emission-data engines using the procedures and equipment spec ified 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 cer tify the engine. Measure CO 2 , CH 4 , and N 2 O emissions using the specified transient duty cycle

, (s), including cold-start and hot-start testing as specified in 40 CFR pa rt 86, subpart N. If you are certifying the engine for use only in tractors, you must measure CO 2 emissions using the SET cycle

. and measure CH 4 , and N 2 O emissions using the transient cycle. If you are certifying the engine for use in vocational application s, you must measure CO 2 , CH 4 , and N 2 O emissions using the specified transient duty cycle, including cold-start and hot-start testing as specified in 40 CFR part 86, subpart N. Engin es certified for use in tractors may also be used in vocational vehicle s; however, you may not knowingly circumvent the intent of this part (to reduce in-use emi ssions of CO 2 ) by certifying engines designed for vocational vehicles (and rarely use d in tractors) to the SET and not the transient cycle. For example, we would generally not allow you to certify all your engines to the SET without certifying any to the tr ansient cycle. You may certify your engine family for both tractor and vocational use by submitting CO 2 emission data from both SET and transient cycle testing and specifying F CLs for both. (c) We may measure emissions from any of your emission-data engi nes.(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 engi ne you provide must include appropriate manifolds, aftertreatment devices, elec tronic 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 possi ble and make available the instruments, personnel, and equipment we need. (2) If we measure emissions on your engine, the results of that testi ng become the official emission results for the engine at that test point.

. Unless we later invalidate these data, we may decide not to consider your data at that test point in determining if your engine family meets applicable requirements. (3) Before we test one of your engines, we may set its adjustable para meters to any point within the physically adjustable ranges. (4) Before we test one of your engines, we may calibrate it within norm al 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 vari ability because it is adjustable during production, but is not considered an adjustable parameter (as defined in § 1036.801) because it is permanently sealed. (d) You may ask to use carryover emission data from a previous model ye ar 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 or other characteristics unrelated to emissions. (2) The emission-data engine from the previous model year remains the a ppropriate 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 certificati on. (e) We may require you to test a second engine of the same configuration i n addition to the engine tested under paragraph ( b a ) of this section. (f) If you use an alternate test procedure under 40 CFR 1065.10 and later testi ng shows that such testing does not produce results that are equivalent to the procedur es specified in subpart F of this part, we may reject data you generated using the alte rnate procedure.

§ 1036.241 Demonstrating compliance with greenhouse gas pollutant standar ds. (a) For purposes of certification, your engine family is considered in compl iance with the emission standards in § 1036.108 if all emission-data engines represent ing the tested configuration of that engine family have test results showing officia l 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 co mply for certification. (b) Your engine family is deemed not to comply if any emission-data e ngine representing the tested configuration of that engine family has test results showi ng an official emission result or a deteriorated emission level for any pollutant that is abo ve 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 deteriorati on factors must take into account any available data from in-use testing with similar eng ines. Applydeterioration factors as follows: (1) Additive deterioration factor for greenhouse gas emissions . Except as specified in paragraph (c)(2) of this section, use an additive deterioration factor f or 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 eac h 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 m ore decimal place than the applicable standard. (2) Multiplicative deterioration factor for greenhouse gas emiss ions . Use a multiplicative deterioration factor for a pollutant if good engineeri ng judgment calls for the deterioration factor for that pollutant to be the ratio of exhaust emissions 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 te st 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 appropria te in cases where testing variability is significantly greater than e ngine-to-engine variability. Multiplicative deterioration factors must be spec ified to one more significant figure than the applicable standard. (3) Sawtooth deterioration patterns. The deterioration factors descr ibed 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 thi s 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 per formed, then return to the low-hour emission levels and begin increasing again. Such a pattern m ay occur with battery-based electric hybrid engines. Base deteriorati on 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 a pplies for maintenance-related deterioration only where we allow such cr itical emission-related maintenance. (d) Collect emission data using measurements to one more decimal plac e than the applicable standard. Apply the deterioration factor to the official emiss ion result, as described in paragraph (c) of this section, then round the adjusted figure to t he same number of decimal places as the emission standard. Compare the rounded emi ssion levels to the emission standard for each emission-data engine. (e) If you identify more than one configuration in §1036.205(e), we may tes t (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 lis ted 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 Compli ance Officer a report including the total U.S.-directed production volume o f engines you produced in each engine family during the model year (based on informat ion available at the time of the report). Report the volumes production by serial number and engineconfiguration. 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 i n 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 c an 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 subjec t to additional conditions. (b) We may deny your application for certification if we determine tha t your engine family fails to comply with emission standards or other requiremen ts 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 certi ficate 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 s ection applies if this is fraudulent). This includes doing anything after submission of y our application to render any of the submitted information false or incomplete. (3) Render inaccurate any test data. (4) Deny us from completing authorized activities despite our presenti ng a warrant or court order (see 40 CFR 1068.20). This includes a failure to provide reasonabl e assistance. However, you may ask us to reconsider our decision by showing that your failure under this paragraph (c)(4) did not involve engines related to th e certificate or application in question to a degree that would justify our decision. (5) Produce engines for importation into the United States at a location whe re local law prohibits us from carrying out authorized activities. (6) Fail to supply requested information or amend your application to incl ude 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 o r 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 s ubmitted false or incomplete information. This includes rendering submitted information fa lse orincomplete after submission.

(f) If we deny your application or suspend, revoke, or void your certifi cate, you may ask for a hearing (see § 1036.820).

Subpart D—[Reserved]

Subpart E—In-use Testing

§ 1036.401 In-use testing. We may perform in-use testing of any engine family subject to the s tandards of this part, consistent with the provisions of § 1036.235. Note that this provisions does not affe ct 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 40 CFR 86.1305

- 2010 to determine whether engines meet the emission standards in § 1036.108. (b) You may use special or alternate procedures to the extent we al low them under 40 CFR 1065.10. (c) This subpart is addressed to you as a manufacturer, but it appli es equally to anyone who does testing for you, and to us when we perform testing to determine i f your engines meet emission standards. (d) For engines that use aftertreatment technology with infrequen t regeneration events, invalidate any test interval in which such a regeneration event occurs with respect to CO 2 , N 2 O, and CH 4 measurements. (e) Test hybrid engines as described in 40 CFR part 1065 and § 1036.525. (f) For compression

- ignition en gines, use continuous sampling to determine separate emission rates at each test mode during the test run over the rampe d

- modal cycle for each pollutant except PM. Perform this emission sampling using good engineering judgment by measuring emissions durin g the whole mode; do not measure emissions during the transitions between modes. Calculate emission results for each mode using the procedures of 40 CFR part 1065.

(f) [Reserved.] (g) If your engine requires special components for proper testing, you must provide any such components to us if we ask for them.

§ 1036.525 Hybrid engines. (a) If your engine system includes features that recover and store energ y during engine motoring operation test the engine as described in paragraph (d) of this se ction

. ,. . See § 1036.615 (a)(2) for engine systems intended to include features that recover and st ore energy from braking unrelated to engine motoring operation. For pur poses of this paragraph, features that recover energy between the engine and transmiss ion are considered “related to engine motoring”. (b) If you produce a hybrid engine designed with power take-off capabili ty and sell theengine coupled with a transmission, you may calculate a reduction in CO 2 emissions

resulting from the power take-off operation as described in 40 CFR 1037.5 25. Use good engineering judgment to use the vehicle-based procedures to quantify t he CO 2 reduction for your engines. (c) If your engine system requires special components for proper testi ng, you must provide any such components to us if we need to test your engine. (c) The hardware that must be included in these tests is the engine , 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 to allow testing non-electric hybrid vehicles, consistent w ith good engineering judgment. (d) Measure emissions using the same procedures that apply for te sting non-hybrid engines under this part, except as specified otherwise in this part and /or 40 CFR part 1065. The four

If you test hybrid engines using the SET, deactivate the hybrid features unless we have specified otherwise. The five differences that apply under this section are related to engine mapping, engine shutdown during the test cycle, calculating work, limits on braking energy, and state of charge constraints. (1) Map the engine as specified in 40 CFR 1065.510. This requires separate torqu e maps for the engine with and without the hybrid features active. For transient testing, denormalize the test cycle using the map generated with the hybrid feat ure active. For steady-state testing, denormalize the test cycle using the m ap generated with the hybrid feature inactive. (2) This paragraph applies if the engine will be configured in actual use such that the engine will automatically shutdown during idle operation, you may let the engine speed equal zero during the idle portions of the test cycle. (3) (i) Calculate brake energy fraction (x b ) (3) Follow 1065.650(d) to calculate the work done over the cycle except as specified in this paragraph (d)(3). For the positive work over the cycle set negative power from hybrid to zero. For the ne gative work over the cycle set the positive power to zero and the set the non-hybrid po wer to zero. (4)(i) Calculate brake energy fraction, x b , as the integrated negative work over the cycle divided by the integrated positive work over the cycle accordin g to equation 1036.525-1. Calculate the brake energy limit for the engine (

, x bl )

, according to equation 1036.525-2. If x b is less than x

bl , continue to use the normal cycle

weighted integrated positive work for your emission calculations. If the x b is greater than x

bl use equation 1036.525-3 to calculate the positive work done over the cycle. Use W pos2 W cycle as the integrated positive work when calculating brakespecific emissions. To avoid the need to delete extra brake work from positive work you may set an instantaneous brake limit target that will prevent x b from being larger than x bl
.

neg b

pos 

### W

x W = Eq. 1036.525-1

4

max 

### 4.158 10 0.2247 bl 

### x P

− 

### = ⋅ ⋅ + Eq. 1036.525-2 

# ( ) cycle pos neg bl pos 

### W W W x W = − − ⋅ Eq. 1036.525-3(ii) The following definitions of terms apply for this paragraph ( 3). d)(4):

RP x b = the rated power of

brake energy fraction. W neg = the engine in kW negative work over the cycle. W pos = the positive work over the cycle

.
x bl = the brake energy fraction limit

. x bl = the brake energy fraction

(4 P max = the maximum power of the engine with the hybrid system engaged (kW ). W cycle = the work over the cycle when x b is greater than x bl.

(iii) Note that these calculations are specified with SI units ( such as kW), consistent with 40 CFR part 1065. Emission results are converted to g/hp-h r at the end of the calculations. (5 ) Correct for the net energy change of the energy storage feature according to the provisions of SAE J2711 device as described in 40 CFR 1066.501

.
§ 1036.530 Calculating greenhouse gas emission rates. This section describes how to calculate official emission resu lts for CO 2 , CH 4 , and N 2 O. (a) Calculate brake-specific emission rates for each applicable du ty cycle as specified in 40 CFR 1065.650. Do not apply infrequent regeneration adjustment factors to your results. (b) Adjust CO 2 emission rates calculated under paragraph (a) of this section for measured test fuel properties as specified in this paragraph (b) to obtain the off icial emission results. You are not required to apply this adjustment for fuels contai ning at least 75 percent pure alcohol, such as E85. The purpose of this adjustment is to make of ficial emission results independent of differences in test fuels within a f uel type. Use good engineering judgment to develop testing protocols and apply these provisions to minimize the impact of variations in test fuels. If you control test fuel properties so that variations in the actual carbon

- specific energy content are the same as or smaller tha n the repeatability of measuring carbon

- specific energy content , you may use a constant value equal to the average carbon

- specific energy content of your test fuel. and apply testing protocols to minimize the impact of variations in test fuels. If you use a constant value, you must update or verify the value at least once per year, or after c hanges in test fuel

s uppliers or specifications. (1) For liquid fuels, determine the net energy content (Btu per pound of fu el) according to ASTM D4809 ( or ASTM D240 (both incorporated by reference in § 1036.810) and carbon weight fraction (dimensionless) of your test fuel ac cording to ASTM D5291 (incorporated by reference in § 1036.810). (Note that we recommend using ASTM D4809.) For gaseous fuels, use good engineering judgment to determine the fuel’s net energy content and carbon weight fraction. (Note: Net e nergy content is also sometimes known as lower heating value.) Calculate the tes t fuel’s carbonspecific net energy content (Btu/lbC) by dividing the net energy content by t he carbon fraction and rounding to the nearest B tu /lbC. , expressed to at least five significant figures. You may perform these calculations using SI units with the following conversion factors: one Btu equals 1055.06 Joules and one Btu/lb equals 0.0023260 MJ/kg.(2) If you control test fuel properties so that variations in the act ual carbon-specific energy content are the same as or smaller than the repeatabilit y of measuring carbonspecific energy content, you may use a constant value equal to the average carbonspecific energy content of your test fuel. Otherwise, use the meas ured value for the specific test fuel used for a given test. If you use a constant value, you must update or verify the value at least once per year, or after changes in test f uel suppliers or specifications. (2 (3 ) Calculate the adjustment factor for carbon-specific net ene rgy content by dividing the carbon-specific net energy content of your test fuel by the refe rence level in the following table and rounding , expressed to at least five decimal places. Note that as used in this section, the unit lbC means pound of carbon and kgC means kilogram of carbon. Fuel Type Reference carbon-specific net

energy content (Btu/lbC) Reference carbon-specific net energy content (MJ/kgC) Diesel fuel 21,200 49.3112 Gasoline 21,700 50.4742 Natural Gas 28,500 66.2910 LPG 24,300 56.5218

( 3 4 ) Your official emission result equals your calculated brake-specific emission rate multiplied by the adjustment factor specified in paragraph (b)(2) of this section. For example, if the net energy content and carbon fraction of your diesel test fuel are 18,400 Btu/lb and 0.870, the carbon-specific net energy content of the test fuel would be 21,149 Btu/lbC. The adjustment factor in the example above would be 0.99759 (21,149/21,200). If your brake-specific CO 2 emission rate was 630.0 g/hp-hr, your official emission result would be 628.5 g/hp-hr.

Subpart G—Special Compliance Provisions

§ 1036.601 What compliance provisions apply to these engines? (a) Engine and equipment 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 the Clean Air Act, and the foll owing provisions of 40 CFR part 1068: (1) The exemption and importation provisions of 40 CFR part 1068, subparts C and D, apply for engines subject to this part 1036, except that the hardship exemp tion provisions of 40 CFR 1068.245, 1068.250, and 1068.255 do not apply for motor vehicle engines. (2) Manufacturers may comply with the defect reporting requirements of 40 CFR 1068.501 instead of the defect reporting requirements of 40 CFR part 85. (b) Engines exempted from the applicable standards of 40 CFR part 86 are e xempt from the standards of this part without request.

§ 1036.610 Innovative technology credits and adjustments for reducing greenhouse gas emissions. Formatted Table

Inserted Cells(a) You may ask us to apply the provisions of this section applies 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. We may allow you to generate will apply these provisions only for technologies that will result in a measurable, demonstrable, and ve rifiable real-world CO 2 reduction. (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. We recommend that you base your credit/adjustment on A to B testing of pairs of engines/vehicles differing only with respect to the tech nology 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 i mprovementfactor approach where good engineering judgment indicates that the act ual benefit will be proportional to emissions measured over the test procedures sp ecified in this part. For example, the benefits from technologies that reduce engine ope ration 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 ra te without the technology. Multiply this difference by the number of engines, standard payload, and u seful life. We may also allow you to calculate the credits based on g/hp-hr emissio n rates. Use the separate-credit approach where good engineering judgment indicates that the actual benefit will not be proportional to emissions measured ove r 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. Include a det ailed description of the technology and a recommended test plan. Also state wh ether you recommend applying these provisions using the improvement-factor method or the separate-credit method. We recommend that you do not begin collecting t est data (for submission to EPA) before contacting us. For technologies for which the vehicle manufacturer could also claim credits (such as transmissions in cer tain circumstances), we may require you to include a letter from the vehicle manufa cturer stating that it will not seek credits for the same technology. (d) We may seek public comment on your request, consistent with the provisions of 40 CFR 86.1866-12(d ). )(3). However, we will generally not seek public comment on credits/adjustments based on A to B engine dynamometer testing, chassis testing, or inuse testing.

§ 1036.615 Engines with Rankine cycle waste heat recovery and hybrid powertrains. This section specifies how to generate advanced technology-specif ic emission credits for hybrid powertrains that include energy storage systems and regenerat ive braking (including regenerative engine braking) and for engines that include Ranki ne-cycle (or other bottoming cycle) exhaust energy recovery systems. (a) Hybrid powertrains. This paragraph (a) applies for pre-transmission and post-transmission hybrid powertrains. Measure (1) Pre-transmission hybrid powertrains are those engine system s that include features that recover and store energy during engine motoring operati on but not from the effectiveness of vehicle wheels. These powertrains are tested using the hybrid system engine test procedures of 40 CFR part 1065 or using the post-transmission test procedures in 40 CFR 1037.550. (2) Post-transmission hybrid powertrains are those powertrains that i nclude features that recover and store energy from braking but that cannot function as hyb rids without the transmission. These powertrains must have a single outpu t shaft to the final drive and are tested by simulating the chassis test procedure applicable for hybrid vehicles under 40 CFR part 1037, using go od engineering judgment 1037.550

. You need our approval before you begin testing. (b) Rankine engines. Test engines that include Rankine-cycle exhaust energy recove ry 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 m ay be used in other averaging sets as described in § 1036.740(d ). § ). Credits may not be generated under this section and 40 CFR 1037.615 for the same technology on the same vehicle. (d) Innovative technologies. You may certify using both provisions of this section and the innovative technology provisions of §1036.610, provided you do not double count emission benefits.

§ 1036.620 Alternate CO 2 standards based on model year 2011 compressionignition engines. For model years 2014 through 2016, you may certify your compression-ignit ion engines to the CO 2 standards of this section instead of the CO 2 standards in § 1036.108. However, you may not certify engines to these alternate standards if they are part of an averaging set in which you carry a balance of banked credits. You may submit applications for certifications before using up banked credits in the avera ging set, but such certificates will not become effective until you have used up (or ret ired) your banked credits in the averaging set. For purposes of this section, y ou are deemed to carry credits in an averaging set if you carry credits from advance d technology that are allowed to be used in that averaging set. (a) The standards of this section are determined from the measured emission rate of the test engine of the applicable baseline 2011 engine family(ies) as de scribed in paragraphs (b) and (c) of this section. Calculate the CO 2 emission rate of the baseline test engine using the same equations used for showing compliance with the otherwise appl icable standard. The alternate CO 2 standard for light and medium heavy

- duty FTP vocational

certified ( vocational ) engines (certified for CO 2 using the transient cycle) is equal to the baseline emission rate multiplied by 0.975. The alternate CO 2 standard for SET

- certified ( tractor ) -certified engines (certified for CO 2 using the SET cycle) and all other heavy heavy

- duty engines is equal to the baseline emission rate multiplie d 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 fam ilies in the averaging set to the alternate standards of this section. Identify separate baseline enginefamilies for each engine family that you are certifying to the alte rnate standards of this

section. For an engine family to be considered the baseline engine famil y, it must meet the following criteria: (1) It must have been certified to all applicable emission standards in model year 2011. If it the baseline engine was certified to a NOx FEL above the standard and incorporated the same emission control technologies as the new engine family , you may adjust the baseline CO 2 emission rate to be equivalent to an engine meeting the 0.20 g/hp-hr NOx standard

, (or your higher FEL as specified in this paragraph (b)(1)), using certification results from model years 200 0 9 through 2011, consistent with good engineering judgment. Use the following equation to relate NOx and CO2 emission rates (g/hp

- hr): CO2 = a•log(NOx)+b. (i) Use the following equation to relate model year 2009-2011 NOx and CO 2 emission rates (g/hp-hr): CO 2 = a×log(NOx)+b. (ii) For model year 2014-2016 engines certified to NOx FELs above 0.20 g/hp-h r, correct the baseline CO 2 emissions to the actual NOx FELs of the 2014-2016 engines. (iii) Calculate separate adjustments for transient and SET emiss ions. (2) The baseline configuration tested for certification must have the same engine displacement as the engines in the engine family being certified to t he alternate standards, and its rated power must be within 5 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 10 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 familie s in the averaging

se t 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 2 emission rate as the sales production

weighted emission rate of the certified engines engine families you produced in the 2011 model year. If you produce engines for both tractors and vocational vehic les, treat FTP

certified and SET

- certified engines them as separate averaging sets. Adjust the CO 2 emission rate s to be equivalent to an engine meeting the average NOx FEL of new engines (assuming engines certified to the 0.20 g/hp-hr NOx standard have a NOx FEL equal to 0.20 g/hp-hr), as described in paragraph (b)(1) of this section. (d) Include the following statement on the emission control infor mation label: “THIS ENGINE WAS CERTIFIED TO AN ALTERNATE CO 2 STANDARD UNDER § 1036.620.” (e) You may not bank CO 2 emission credits for any engine family in the same averaging set and model year in which you certify engines to the standards of th is section. This

means 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 with respect to for deficits generated with respect to the standards of this section. (f) You need our approval before you may certify engines under this sect ion, especiallywith respect to the numerical value of the alternate standards. We w ill not approve your

request if we determine that you manipulated your engine fa milies

, or test ed engines test engine configurations to certify to less stringent standards, or that you otherwise hav e 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 thi s section. Keep these records for at least five years after you stop producing engines certi fied under this section

.
Subpart H

— Averaging, Banking, and Trading for Certification

§ 1036 .701 General provisions. (a) 1036.625 In-use compliance with family emission limits (FELs). You may use averag ing, banking, ask us to apply a higher in-use FEL for certain in-use engines, subject to the provisions of this section. Note that §1036.225 contains provisions related to changing FELs during a model year. (a) Purpose. This section is intended to address circumstances in which it is in the public interest to apply a higher in-use FEL based on forfeiting an appropria te number of emission credits. (b) FELs. When applying higher in-use FELs to your engines, we would inte nd to accurately reflect the actual in-use performance of your engines, consistent with the specified testing provisions of this part. (c) Equivalent families. We may apply the higher FELs to othe r families in other model years if they used equivalent emission controls. (d) Credit forfeiture. Where we specify higher in-use FELs unde r this section, you must forfeit CO 2 emission credits based on the difference between the in-use FEL and th e otherwise applicable FEL. Calculate the amount of credits to be fo rfeited using the applicable equation in §1036.705, by substituting the otherwise applicable FEL for the standard and the in-use FEL for the otherwise applicable FEL. (e) Requests. Submit your request to the Designated Compliance Of ficer. Include the following in your request: (1) The engine family name and model year of the engines affected. (2) A list of other engine families/model years that may be affe cted. (3) The otherwise applicable FEL for the engine families along with your recommendations for higher in-use FELs. (4) Your source of credits for forfeiture. (f) Relation to recall. You may not request higher in-use FELs fo r any engine families for which we have made a determination of nonconformance and ordered a r ecall. You may, however, make such requests for engine families for which you are perfor ming a voluntary emission recall. (g) Approval. We may approve your request if we determine that you meet the requirements of this section and such approval is in the public interest. We may include appropriate conditions with our approval or we may approve your request wi th modifications.

Subpart H—Averaging, Banking, and Trading for Certification§ 1036.701 General provisions.

trading (ABT) (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 emission credit program is voluntary. (Note: As described in subpart B of this part, you m ust assign an FCL to all engine families, whether or not they participate in t he ABT provisions of this subpart.) (b) [Reserved] (c) The definitions of subpart I of this part apply to this subpart. The fo llowing definitions also apply: (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. Credits generated by one engine may only be used by other engines in the same averaging set. See § 1036.740. (3) Broker

means any entity that facilitates a trade of emission credits be tween a buyer and seller. (4) Buyer means the entity that receives emission credits as a result o f 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 f or engines not participating in the ABT program of this subpart. (8) Trade means to exchange emission credits, either as a buyer or seller. (d) Emission credits may be exchanged only within an averaging set as spec ified in § 1036.740. (e) You may not use emission credits generated under this subpart to offs et 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 exa mple, during a selective enforcement audit), you may use emission credits to recer tify the engine family with a higher FCL that applies only to future production. (f) Emission credits may be used in the model year they are generated or in future model
years. . Surplus emission credits may not be banked for future model years. Surplus emission credits may sometimes be used for past model years, except as specified described in §1036.745. (g) You may increase or decrease an FCL during the model year by ame nding your application for certification under § 1036.225. The new FCL may apply only to engi nes you have not already introduced into commerce. Each engine’s emission control information label must include the applicable FELs. (h) You may donate or sell trade emission credits generated from any number of your engines to the engine purchasers or other parties to retire the cre dits. Identify any such credits in the reports described in § 1036. 725 730 . Engines must comply with the applicable FELs even if you donate or sell the corresponding emission credi ts under this paragraph (h). Those credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards.(i) See §1036. 745 740 for special credit provisions that apply for credits generated under

§1036.615 or 40 CFR 1037.104(d)(7) or 1037.615. (j) Unless the regulations explicitly allow it, you to have a negative credit balance for up to three consecutive model years with respect to may not calculate credits more than once for any emission reduction. For example, if you generate CO 2 emissions. emission credits for a hybrid engine under this part for a given vehicle, no one may ge nerate CO 2 emission credits for that same hybrid engine and vehicle under 40 CFR part 1037. However, credits could be generated for identical vehicles using en gines that did not generate credits under this part.

§ 1036.705 Generating and calculating emission credits. (a) The provisions of this section apply separately for calculating e mission credits for each pollutant. (b) For each participating family, calculate positive or negative em ission credits relative to the otherwise applicable emission standard based on the engine fami ly’s FCL for greenhouse gases. If your engine family is certified to both the vocational and tract or engine standards, calculate credits separately for the vocational en gines 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. Calculat e negative emission credits for a family that has an FCL above the standard. Sum your positive and negative credits for the model year before roundi ng. Round the sum of emission credits to the nearest megagram (Mg), using consistent un its 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), calcul ated 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 spark-ignition engines and 6.5 miles for compression-ignition engines. T his 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. 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 pa rt for engines not participating in the ABT program of this subpart (the “otherwise applicable standard”). FCL = the Family Certification Level for the engine family, i n g/hp-hr, measured over the SET duty cycle rounded to the same number of decimal places as the emission standard. CF = the a transient cycle conversion factor (hp-hr/mile), calculated under paragraph (b)(1) 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 spark-ignition engines and 6.5 miles f or compression-ignition engines. This represents the average work perform ed by tractor engines in the family over the mileage represented by operat ion over the duty cycle. Note that this section. calculation requires you to use the transient cycle conversion factor even for engines certified to SET-based standards. Volume = the number of tractor engines eligible to participate in the averaging, banking, and trading progra m 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) (3) For engine families certified to both the vocational and tractor e ngine standards, we may allow you to use statistical methods to estimate the total production volumes where a small fraction of the engines cannot be tra cked precisely. (4) You may not generate emission credits for tractor engines (i.e., e ngines not certified to the transient cycle for CO 2 ) installed in vocational vehicles (including vocational tractors certified pursuant to 40 CFR 1037.630 or exempted pursuant to 40 CFR 1037.631). We will waive this requirement where you demonstrate t hat less than five percent of the engines in your tractor family were installe d in vocational vehicles. For example, if you know that 96 percent of your tractor engi nes were installed in non-vocational tractors, but cannot determine the vehicl e type for the remaining four percent, you may generate credits for all the engines in the family. (c) As described in § 1036.730, compliance with the requirements of this subpa rt is determined at the end of the model year based on actual U.S.-directe d production volumes. Keep appropriate records to document these production volumes. D o not include any of the following engines to calculate emission credits: (1) Engines (1) Engines that you do not certify to the CO 2 standards of this part because they are permanently exempted under subpart G of this part or under 40 CFR part 1068. (2) Exported engines. (3) Engines not subject to the requirements of this part, such as those exclude d under § 1036.5. For example, do not include engines used in vehicles certified to the greenhouse gas standards of 40 CFR 1037.104. (4) [Reserved] (5) Any other engines if we indicate elsewhere in this part 1036 tha t they are not to be included in the calculations of this subpart. (d) You may use CO 2 emission credits to show compliance with CH 4 and/or N 2 O FELs instead of the otherwise applicable emission standards. To do this, calcu late the CH 4and/or N 2 O emission credits needed (negative credits) using the equation in paragraph (b)

of this section, using the FEL(s) you specify for your engines during cert ification

. instead of the FCL. You must use 25 Mg of positive CO 2 credits to offset 1 Mg of negative CH 4 credits. You must use 298 Mg of positive CO 2 credits to offset 1 Mg of negative N 2 O credits.

§ 1036.710 Averaging and using emission credits

. . (a) Averaging is the exchange of emission credits among your engine fa milies. You may average emission credits only within the same averaging set. (b) You may certify one or more engine families to an FCL above the appl icable 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 project ed balance of all emission-credit transactions in that model year is greater tha n 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 other wise 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 credit s 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 obtai n through trading.

§ 1036.715 Banking emission credits

. (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 t o verify them after reviewing your reports or auditing your records. (d) Banked credits retain the designation of the averaging set in whic h they were generated.

§ 1036.720 Trading emission credits

. (a) Trading is the exchange of emission credits between manufacturer s

. , 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 credi ts may be used only within remain subject to the averaging-set restrictions based on the averaging set in which they were generated , except as allowed under § 1036.745

. (b) You may trade actual emission credits as described in this subpar t. 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 tr aded 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 transac tion, 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 fami lies participating in a trade that results in a manufacturer having a negative balance of emis sion 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 t o 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 spec ifications of subpart B of this part, including the FEL caps. FELs/FCL must be express ed 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 ( or 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 allow ed under § 1037.745

. (2) Detailed calculations of projected emission credits (positive or ne gative) based on projected U.S.-directed production volumes. We may require you to incl ude similar calculations from your other engine families to demonstrate that you will be able to avoid negative project your net credit balances for the model year. If you project negative emission credits for a family, state the source of positive em ission 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 provis ions of this subpart, you must send an end-of-year report within 90 days after the end of the model year and a final report within 270 days after the end of the model year. We may waive the

r equirement to send the end

- of year report, conditioned upon you send ing the final report on time. However, w e will not waive this requirement where you have a deficit f or that model year or an outstanding deficit for an earlier model year. (b) Your end-of-year and final reports must include the following inf ormation 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 star t of production, identify the date that you started using the new FCL and/or give the e ngine identification number for the first engine covered by the new FCL. In thi s 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 mod el year. If you changed an FCL during the model year, identify the actual production volu me associated with each FCL. (5) The transient cycle conversion factor for each engine configur ation as described in§ 1036.705. (6) Useful life. (7) Calculated positive or negative emission credits for the whole engi ne 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 par ticipating engine families in each averaging set in the applicable model year is not ne gative, except as allowed under § 1036.745. (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 r eport: (i) The corporate names of the buyer and any brokers. (ii) A copy of any contracts related to the trade. (iii) The engine families that generated emission credits for th e trade, including the number of emission credits from each family. (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 emi ssion credits you intend to apply to each engine family (if known). (e) Send your reports electronically to the Designated Compliance Of ficer 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 report or final report as foll ows: (1) You may correct any errors in your end-of-year report when you pr epare 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 corr ect the errors and recalculate the balance of emission credits. You may not make the se 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 corr ections under this paragraph (f)(2). (3) If you or we determine anytime that errors mistakenly incre ased your balance of emission credits, you must correct the errors and recalculate the bala nce of emission credits.

§ 1036.735 Recordkeeping. (a) You must organize and maintain your records as described in this sect ion. We may review your records at any time. (b) Keep the records required by this section for at least eight ye ars 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 t hese records to continue to bank valid credits. Store these records in any format and on any media, aslong as you can promptly send us organized, written records in English if we a sk for

them. You must keep these records readily available . We may review them at any time

. (c) Keep a copy of the reports we require in §§ 1036.725 and 1036.730. (d) Keep records of the engine identification number (usually the serial number) for each engine you produce that generates or uses emission credits under the ABT progr am. 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 ide ntify 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 inf ormation 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 an following averaging sets There are four principal averaging sets for engines subject to this subpart : (1) Spark-ignition engines. (2) Compression-ignition light heavy-duty engines. (3) Compression-ignition medium heavy-duty engines. (4) Compression-ignition 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 hybrids hybrid engines and other advanced technologies. The averaging set restrictions of paragraph (a) of this section do not apply for credits generated under § 1036.615 or 40 CFR 1037. 610 104(d)(7) or 1037.615 from hybrid engine power systems with regenerative braking, or from other advanced technologies. Such credi ts may also be used under 40 CFR part 1037 , provided they are converted using good engineering judgment to be equivalent to credits calculated under that part

. The maximum amount of credits you may bring into an averaging set is 40,000 Mg per model year.

. (d) C redit life. (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 e ngines, and light heavy-duty vehicles. This group comprises the averaging sets li sted 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 compression-ignition engines and medium heavy -duty vehicles. This group comprises the averaging sets listed in parag raph (a)(3) of this section and 40 CFR 1037.740(a)(2). (iii) Heavy heavy-duty compression-ignition engines and heavy heavy-duty vehicles. This group comprises the averaging sets listed in parag raph (a)(4) of this section and 40 CFR 1037.740(a)(3). (2) The limit specified in paragraph (c)(1) of this section does not lim it the amount of advanced technology credits that can be used within a service class group i f they were generated in that same service class group.(d) Credit life. Credits expire after fiveyears.

(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 2 credit deficits. Except as allowed by this section, we may void the certificate of any engine family certified to an FCL above the applicable standard is void if 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 sufficie nt CO 2 credits will not be void if you remedy the deficit with surplus credits wi thin three model years. For example, if you have a credit deficit of 500 Mg for an engine family at the end of model year 2015, you must generate (or otherwise obtain) a surplus of at least 500 Mg in that same averaging set by the end of model year 2018. (b) You may not bank or trade away CO 2 credits in the averaging set in any model year in which you have a deficit. (c) You may only apply only surplus credits to your deficit. You may not apply credits to a deficit from an earlier model year if the new credits are they were generated in a model
year in for which you have a net credit deficit at the end any of the year your engine families for that averaging set had an end-of-year credit deficit

. (d) If you do not remedy the deficit with surplus credits within thr ee model years, we may void your certificate is void for that engine family. We may void the certificate based on your end-of-year report. Note that voiding a certificate applies ab initio (i.e.,

retr oactively).

. Where the net deficit is less than the total amount of negative cre dits originally generated by the family, we will only void the certificate only with respect to enough 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 t he manufacturer’s net deficit after three years was 250 Mg, we woul d void the certificate with respect to half of the engines in the family.

§ 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 certi ficate 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 satis faction that you fully comply with applicable requirements. We may void the cert ificate of conformity for an engine family if you fail to comply with any provisions of this subp art. (b) You may certify your engine family to an FCL above an applicable sta ndard based on a projection that you will have enough emission credits to offset the defic it for the engine family. However, we may void the certificate of conformity 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 i n 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 failin g to keep records, send reports, or give us information we request is also a vio lation of 42 U.S.C. 7522(a)(2). (d) You may ask for a hearing if we void your certificate under this se ction (see § 1036.820).§ 1036.755 Information provided to the Department of Transportation.

(a) We may require you to submit a pre

- certification compliance report to us for the upcoming model year or the year after the upcoming model year. (b) After receipt of each manufacturer’s final report as specified i n § 1036.730 and completion of any verification testing required to validate the manuf acturer’s submitted final data, we will issue a report to the Department of Transportati on with CO 2 emission information and will verify the accuracy of the each manufacturer’s equivalent fuel consumption data that must be reported required by NHTSA in under 49 CFR 535.8. We will send a report to DOT for each engine manufacturer based on each regula tory category and subcategory, including sufficient information for NHTSA t o 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 g ives 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 §1036.615

. , 40 CFR 1037.104(d)(7) or 1037.615. Innovative technology means technology certified under §1036.610. 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 turbocharge rs are not aftertreatment. Aircraft

means any vehicle capable of sustained air travel above treetop heights

. 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 nomi nal 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 parame ter for the purpose of activating, modulating, delaying, or deactivating the operation of any pa rt of the emission control system. Averaging set

has the meaning given in § 1036. 7 01 740

. Calibration means the set of specifications and tolerances specific to a particul ar design, version, or application of a component or assembly capable of functional ly describing its operation over its working range. Carryover

means relating to certification based on emission data generated fr om 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 require ments in this part.Certified emission level means the highest deteriorated emission level in an engine

family for a given pollutant from either transient or steady

- state testing. the applicable transient and/or steady-state testing, rounded to the same number of dec imal places as the applicable standard. Note that you may have two certified emiss ion levels for CO 2 if you certify a family for both vocational and tractor use. Complete vehicle means a vehicle meeting the definition of complete vehicle in 40 CFR 1037.801 when it is first sold as a vehicle. For example, where a vehicle manufacturer sells an incomplete vehicle to a secondary manufactur er, the vehicle is not a complete vehicle under this part, even after its final assembl y. Compression-ignition means relating to a type of reciprocating, internal-combustion engine that is not a spark-ignition engine. Crankcase emissions means airborne substances emitted to the atmosphere from any part of the engine crankcase’s ventilation or lubrication systems. The crankcase is the housing for the crankshaft and other related internal parts. Criteria pollutants means emissions of NOx, HC, PM, and CO. Note that these pollutants are also sometimes described collectively as “non-gree nhouse gas pollutants”, although they do not necessarily have negligible global warming potentials. Designated Compliance Officer means the Manager, Heavy-Duty and Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460. Designated Enforcement Officer means the Director, Air Enforcement Division (2242A), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460. 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 par t 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 lif e) and emissions at the low-hour/low-mileage test point, expressed in one of the followi ng ways: (1) For multiplicative deterioration factors, the ratio of emiss ions 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 emi ssions at the end of useful life (or point of highest emissions) and emissions at the low-hour test point. 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. Emission control system means any device, system, or element of design that controls or reduces the emissions of regulated pollutants from an engine. Emission-data engine means an engine that is tested for certification. This includes engines tested to establish deterioration factors. Emission-related maintenance means maintenance that substantially affects emissions or is likely to substantially affect emission deterioration. Engine configuration means a unique combination of engine hardware and calibration (related to the emission standards) within an engine family. Engines within a single engine configuration differ only with respect to normal production variabi lity or factors unrelated to emissions 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 to not to be a heavy-duty engine is excluded from this part. (2) Certain heavy-duty engines are excluded from the requirements of thi s part under § 1036.5. (3) Specific regulatory provisions of this part may exclude a heavy-duty e ngine generally subject to this part from one or more specific standards or requirement s 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 int o 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 cham ber(s) that is mixed with incoming air before or during combustion is not considered e xhaust-gas recirculation for the purposes of this part. Family certification level (FCL) means a CO 2 emission level declared by the manufacturer that is at or above emission test results for all emis sion-data engines. The FCL serves as the emission standard for the engine family with respe ct to certification testing if it is different than the otherwise applicable stand ard. 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 (othe r than CO 2 standards) under the ABT program in subpart H of this part. The FEL must be expressed to the same number of decimal places as the emission standard it replaces . The FEL serves as the emission standard for the engine family with respect to all required testing except certification testing for CO 2 . The CO 2 FEL is equal to the CO 2 FCL multiplied by 1. 0 3 00 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. 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 p remium 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 judgmen t. Greenhouse gas pollutants and greenhouse gases means compounds regulated under this part based primarily on their impact on the climate. This includ es CO 2 , CH 4 , and N 2 O. Gross vehicle weight rating (GVWR) means the value specified by the vehicle manufacturer as the maximum design loaded weight of a single vehicle, c onsistent 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. F or purposes of this definition in this part, the term “engine” includes inte rnal combustion engines and other devices that convert chemical fuel into motive power. For example, a fuel cell usedin 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 a rea greater than 45 square feet. Curb weight has the meaning given in 40 CFR 86.1803

- 01

, consistent with the provisions of 40 CFR 1037.140. Basic vehicle frontal area has the meaning given in 40 CFR 86.1803

- 01

. Hybrid engine or hybrid powertrain means an engine or powertrain that includes energy storage features other than a conventional battery system o r conventional flywheel. Supplemental electrical batteries and hydraulic accum ulators are examples of hybrid energy storage systems. Note that certain provisions in this par t treat hybrid engines and powertrains intended for vehicles that include regenerat ive 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 nonmethan e hydrocarbon equivalent (NMHCE). For all other engines, HC means nonm ethane 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 as a vehicle. Innovative technology means technology certified under §1036.610. 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. Low-hour means relating to an engine that has stabilized emissions and represent s the undeteriorated emission level. This would generally involve less than 125 hour s 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 an engine, vehicle, or piece o f equipment for sale in the United States or otherwise introduces a new engine into co mmerce in the United States. This includes importers who import engines or vehi cles for resale. Medium-duty passenger vehicle has the meaning given in 40 CFR 86.1803

- 01

. Model year

means the manufacturer’s annual new model production period, except as restricted under this definition. It must include January 1 of the cale ndar year for which the model year is named, may not begin before January 2 of the previous cal endar 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 emissio n 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 means a motor vehicle engine meeting the criteria of either paragraph (1) or (2) of this definition. (1) A motor vehicle engine for which the ultimate purchaser has never received theequitable 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 pla ces 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. 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 com ply 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 hydrocarbons (NMHC) means the sum of all hydrocarbon species except methane, as measured according to 40 CFR part 1065. Official emission result means the measured emission rate for an emission-data engine on a given duty cycle before the application of any deterioration fa ctor, but after the applicability of any required regeneration 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 engi ne maintenance, applicable warranties, and any other information relate d to operating or keeping the engine. The owners manual is typically provided to the ult imate purchaser at the time of sale. 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. Petroleum

means gasoline or diesel fuel or other fuels normally derived from cr ude oil. This does not include methane or LPG. Placed into service means put into initial use for its intended purpose. Primary intended service class has the meaning given in § 1036.140. Rated power

has the meaning given in 40 CFR part 86. Rechargeable Energy Storage System (RESS) means the compone nt(s) of a hybrid engine or vehicle that store recovered energy for later use, such a s the battery system in an electric hybrid vehicle. 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 ac tions 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 CF R 121.201. For manufacturers owned by a parent company, the production limit applies to the production of the parent company and all its subsidiaries and the employee limit applies and revenue limits apply to the total number of employees and total revenue of the parent company and all its subsidiaries.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 characterist ics significantly similar to the theoretical Otto combustion cycle . Spark-ignition engines usually use a throttle to regulate intake air flow to control powe r 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 certifi cation, productionline 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 suc h 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, “tract or 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 manufac turer 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 res ale. 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 engine units engines , subject to the requirements of this part, produced by a manufacturer for which the m anufacturer has a reasonable assurance that sale was or will be made to ultimate pur chasers in the United States. This does not include engines certified to state emissi on 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 ve hicles, “vocational engine” means an engine that the engine manufacturer reasonably belie ves will be (or has been) installed in a vocational vehicle. Note that the provisi ons of this part may require a manufacturer to document how it determines that an engine is a vocati onal 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 a nd any authorized representatives.

§ 1036.805 Symbols, acronyms, and abbreviations. The following symbols, acronyms, and abbreviations apply to this part:
ABT averaging, banking, and trading. AECD auxiliary emission control device. ASTM American Society for Testing and Materials. BTU British thermal units. CFR Code of Federal Regulations.CH 4 methane. CO carbon monoxide. CO 2 carbon dioxide. DF deterioration factor. DOT Department of Transportation. E85 gasoline blend including nominally 85 percent ethan ol. EPA Environmental Protection Agency. FCL Family Certification Level. FEL Family Emission Limit. g/hp-hr grams per brake horsepower-hour. GVWR gross vehicle weight rating. HC hydrocarbon. kg kilogram. kgC kilogram carbon. kW kilowatts. lb pound. lbC pound carbon. LPG liquefied petroleum gas. Mg megagrams (10 6 grams , or one metric ton ). MJ megajoules. N 2 O nitrous oxide. NARA National Archives and Records Administration. NHTSA National Highway Traffic Safety Administratio n. NMHC nonmethane hydrocarbons. NOx oxides of nitrogen (NO and NO 2 ). NTE not

- to

- exceed. PM particulate matter. RESS rechargeable energy storage system. RPM revolutions per minute. SET Supplemental Emission Test (see 40 CFR 86.1362

- 2010 ). THC U.S. total hydrocarbon. United States. THCE total hydrocarbon equivalent. U.S.C. United States Code.

§ 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. (a) Certain material is incorporated by reference into this part with the approva l 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 Agenc y must publish a notice of the change 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 Arc hives 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 and is available from the sources listed below:

.(b) American Society for Testing and Materials, 100 Barr Harbor Drive, P. O. Box C700,

West Conshohocken, PA, 19428-2959, (610) 832-9585, http://www.astm.org/

. (1) ASTM D4809

- 09a, xxx, IBR D 240–09 Standard Test Method for Heat of Combustion of Liquid Hydrocarbon Fuels by Bomb Calorimeter, approved July 1, 2009, IBR approved for § 1036.530(b). (2) ASTM D4809-09a Standard Test Method for Heat of Combustion of Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method), approved Sept ember 1, 2009, IBR approved for § 1036.530(b). (3) ASTM D5291- 02, xxx 10 Standard Test Methods for Instrumental Determination of Carbon, Hydrogen, and Nitrogen in Petroleum Products and Lubricants, approved May 1, 2010 , IBR approved for § 1036.530(b).

§ 1036.815 What provisions apply to 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 descr ibed 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 approv e your request if we find that your request raises a substantial factual is sue. (c) If we agree to hold a hearing, we will use the procedures specifi ed in 40 CFR part 1068, subpart G.

§ 1036.825 Reporting and recordkeeping requirements. (a) This part includes various requirements to submit and record d ata 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 afte r you send an associated application for certification, or eight years after you generate the da ta 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 i t. We may review these records at any time. You must promptly send us organized, w ritten 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, 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 kee p the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or cri minal 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 a nother 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 re gulations 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 ofManagement 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 certifi cation in this part 1036: (i) In § 1036.135 we require engine manufacturers to keep certain records related to duplicate labels sent to equipment manufacturers. (ii) In subpart C of this part we identify a wide range of information re quired to certify engines. (iii) [Reserved] 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 § 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 p art 1066: (i) In 40 CFR 1066.2 we give an overview of principles for reporting information. ( i ) In 40 CFR 106 6 .2 we give an overview of principles for reporting information. (ii) [Reserved]

A new part 1037 is added to subchapter U to read as follows: PART 1037—CONTROL OF EMISSIONS FROM NEW HEAVY-DUTY MOTOR VEHICLES

Subpart A—Overview and Applicability

Sec. 1037.1 Applicability 1037.5 Excluded vehicles. 1037.10 How is this part organized? 1037.15 Do any other regulation parts apply to me? 1037.30 Submission of information.

Subpart B—Emission Standards and Related Requirements

1037.101 Overview of emission standards for heavy-duty vehicles. 1037.102 Exhaust emission standards for NOx, HC, PM, and CO. 1037.103 Evaporative emission standards. 1037.104 Exhaust emission standards for CO 2 , CH 4 , and N 2 O for heavy-duty vehicles at or below 14,000 pounds GVWR. 1037.105 Exhaust emission standards for CO 2 , CH 4 , and N 2 O for vocational vehicles. 1037.106 Exhaust emission standards for CO 2 , CH 4 , and N 2 O for tractors above 26,000 pounds GVWR. 1037.115 Other requirements. 1037.120 Emission-related warranty requirements. 1037.125 Maintenance instructions and allowable maintenance.1037.135 Labeling.

1037.140 Curb weight and roof height. 1037.141 Determining aerodynamic bins for tractors. 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. 1037.220 Amending maintenance instructions. 1037.225 Amending applications for certification. 1037.230 Vehicle families , sub-families, and configurations

. 1037.241 Demonstrating compliance with exhaust emission standards for greenhouse gas pollutants. 1037.243 Demonstrating compliance with evaporative emission st andards. 1037.250 Reporting and recordkeeping. 1037.255 What decisions may EPA make regarding my certificate of conformit y?

Subpart D—[Reserved]

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 testing. 1037.520 Modeling CO 2 emissions to show compliance. 1037.521 Aerodynamic measurements. 1037.525 Special procedures for testing hybrid vehicles with power take-off. 1037.550 Special procedures for testing post-transmission hybrid systems.

Subpart G—Special Compliance Provisions

1037.601 What compliance provisions apply to these vehicles? 1037.610 Hybrid vehicles and other advanced Vehicles with innovative technologies. 1037. 611 Vehicles with innovative 615 Hybrid vehicles and other advanced technologies. 1037.620 Shipment of incomplete vehicles to secondary vehicle manufacture rs. 1037.630 Special purpose tractors. 1037.631 Exemption for vocational vehicles intended for offroad use. 1037.640 Variable vehicle speed limiters. 1037.645 In-use compliance with family emission limits (FELs). 1037.650 Tire manufacturers.1037.655 Post-useful life vehicle modifications.

1037.660 Automatic engine shutdown systems.

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 What restrictions apply Restrictions for using emission credits ?

. 1037.745 End-of-year CO 2 credit deficits. 1037.750 What can happen if I do not comply with the provisions of this subpart? 1037.755 Information provided to the Department of Transportation.

Subpart I—Definitions and Other Reference Information

1037.801 Definitions. 1037.805 Symbols, acronyms, and abbreviations. 1037.810 Incorporation by reference. 1037.815 What provisions apply to confidential information? 1037.820 Requesting a hearing. 1037.825 Reporting and recordkeeping requirements.

Appendix I to part 1037 — Heavy-duty Transient Chassis Test Cycle Appendix II to part 1037 — Power Take-Off Test Cycle Appendix III to part 1037 —Emission Control Identifiers

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

Subpart A—Overview and Applicability

§ 1037.1 Applicability This part contains standards and other regulations applicable to the emissio n of the air pollutant defined as the aggregate group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride. The regulations in this part 1037 apply for all new heavy-duty vehicles, excep t as provided in §1037.5. This includes electric vehicles and vehicles fueled by convention al and alternative fuels.

§ 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”.

(b) Vehicles excluded from the definition of “heavy-duty vehicle” in §1037.801 because of vehicle weight or , weight rating , and frontal area (such as light-duty vehicles and lightduty trucks). ( b c ) Medium-duty passenger vehicles. ( c d ) Vehicles produced in model years before 2014, unless they are certifie d under § 1037.150. ( d ) Vehicles not meeting the definition of “motor vehicle”. e) 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 ve hicle would be a vehicle meeting the definition of “heavy-duty vehicle” in §1037.801 a nd 40 CFR 86.1803, but also meeting the definition of “light truck” in 40 CFR 86.1818- 12(b)(2).

§ 1037.10 How is this part organized? This part 1037 is divided into subparts as described in this section. Note t hat only subparts A, B

, and I of this part apply for vehicles subject to the standards of § 1037.104, as described in that section. (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 requir ements that must be met to certify vehicles under this part. Note that § 1037.150 disc usses 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) [Reserved] (e) [Reserved] (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 perf orm emission modeling (including references to other parts of the Code of Federal Regu lations) 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, prohibition s, and other provisions that apply to manufacturers, owners, operators, rebuilde rs, and all others. See § Section 1037.601 for a specification of 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 c redits to certify your vehicles for vehicles that are subject to the standards of § 1037.105 or § 1037.106. (i) Subpart I of this part contains definitions and other reference informa tion.

§ 1037.15 Do any other regulation parts apply to me? (a) Parts 1065 and 1066 of this chapter describe procedures and equipment specifi cations for testing engines and vehicles to measure exhaust emissions. Subpart F of th is part 1037 describes how to apply the provisions of part 1065 and part 1066 of this chapte r to determine whether vehicles meet the exhaust emission standards i n this part. (b) As described in § 1037.601, certain requirements and prohibitions of part 1068 of thi schapter apply to everyone, including anyone who manufactures, imports, i nstalls, owns,

operates, or rebuilds any of the vehicles subject to this part 1037. Part 1068 of this chapter describes general provisions , including that apply broadly, but do not necessarily apply for all vehicles or all persons. The issues addressed by these p rovisions 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) Part 86 of this chapter applies for certain vehicles as specifie d in this part. For example, the test procedures and most of part 86, subpart S of part 86

, applies for vehicles subject to § 1037.104. (d) Other parts of this chapter apply if referenced in this part.

§ 1037.30 Submission of information. Send all reports and requests for approval to the Designated Compliance Off icer (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. It also summarizes other standards that apply under 40 CFR part 86. This part contains standards and other regulations applicable to the emission of the air pollu tant defined as the aggregate group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride. (b) The regulated emissions are addressed in three four groups: (1) Exhaust emissions of NOx, HC, PM, and CO. These pollutants are sometimes described collectively as “criteria pollutants” because they are either criteria pollutants under the Clean Air Act or precursors to the criteria pollu tant ozone. These pollutants are also sometimes described collectively as “non-greenhous e gas pollutants”, although they do not necessarily have negligible global warm ing potential s . 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 N 2 O. 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 pr ovided in §§ 1037.104 through 1037.106. (3 (3) Hydrofluorocarbons. These pollutants are also “greenhouse gas pollutan ts” but are treated separately from exhaust greenhouse gas pollutants liste d in paragraph (b)(2) of this section. These standards are provided in § 1037.115. (4 ) Fuel evaporative emissions. These requirements are described i n § 1 037.103 40 CFR part 86

.(c) The regulated heavy-duty vehicles are addressed in different groups as follows: (1) For criteria pollutants, vehicles are regulated based on gross vehicle weight rating (GVWR), whether they are considered “spark-ignition” or “compression-i gnition,” and whether they are first sold as complete or incomplete vehicles. The se groupings apply as described in 40 CFR part 86. (2) For greenhouse gas pollutants, vehicles are regulated in the fol lowing groups: (i) Complete and certain incomplete vehicles at or below 14,000 pounds G VWR (see § 1037.104 for further specification). Certain provisions of 40 CFR part 86 apply for these vehicles; see § 1037.104( i h ) for a list of provisions in this part 1037 that also apply for these vehicles . These provisions may also be optionally applied to certain other vehicles, as described in §1037.104

. (ii) Tractors above 26,000 pounds GVWR. (iii) All other vehicles subject to standards under this part . These other vehicles are referred to as “vocational” vehicles. (3) For evaporative emissions, vehicles are regulated based on the type of fuel they use. Vehicles fueled with volatile liquid fuels and gaseous fuels are subject to evaporative emission standards, while other vehicles are not.

§ 1037.102 Exhaust emission standards for NOx, HC, PM, and CO. See 40 CFR part 86 for the exhaust emission standards for NOx, HC, PM, and CO th at apply for heavy-duty vehicles.

§ 1037.103 Evaporative emission standards

. New vehicles that run on volatile liquid fuel (such as gasoline or ethanol ) or gaseous fuel (such as natural gas or LPG) must meet evaporative emission standards as specified in this section. The standards specified in paragraphs (a) and (b) of this se ction apply over a useful li fe period of 10 years or 110,000 miles, whichever comes first. Note that this section and § 1 037.243 allow you to certify without testing in certain circumstances

. Evaporative emission standards do not apply for diesel

- fueled vehicles. Note that vehicle s subject to the evaporative emission requirements of this part are not subject to the evaporative emission requirements of 40 CFR part 86. (a) Diurnal and hot soak emissions . Evaporative hydrocarbon emissions may not exceed the following standards when me asured using the test procedures specified in § 1 037.501: (1) The sum of diurnal and hot soak measurements from the full three

- day diurnal test sequence described in 40 CFR 86.1230

- 96 may not exceed 1.4 g for vehicles with GVWR at or below 14,000 pounds, a nd may not exceed 1.9 g for vehicles with GVWR above 14,000 pounds. (2) The sum of diurnal and hot soak measurements from the two

- day diurnal test sequence described in 40 CFR 8 6.1230

- 96 may not exceed 1.75 g for vehicles with GVWR at or below 14,000 pou nds, and may not exceed 2.3 g for vehicles with GVWR above 14,000 pounds. The standards in this paragraph (a)(2) do not apply for vehicles that run on natural gas or LPG. (b) Running loss . Running losses may not exceed 0.05 g/mi le when measured using the test procedures specified in § 1 037.501. The running loss standard does not apply for vehicles that run on natural gas or LPG. (c) Fuel spitback . Fuel spitback emissions from vehicles with GVWR at or below 14,000pounds may not exceed 1.0 g when measured using the test procedures specified in

§ 1 037.501. This standard does not apply for vehicles with GVWR above 14,000 pounds or any vehicles that run on natural gas or LPG. The fuel spitback standa rd applies only to newly assembled vehicles. (d) Refueli ng emissions

. Complete vehicles with GVWR at or below 10,000 pounds must meet refueling emission standards as spec i fied in 40 CFR part 86, subpart S. This includes the refueling receptacle requirements in 40 CFR 86.1810

- 01(k)(3) for vehicles that run on natural gas. Incomplete heavy

- duty vehicles are not subject to refueling emission standards. ( e ) Compliance demonstration for vehicles with GVWR above 26,000 pounds . For vehicles with GVWR above 26,000 pounds, the standards described in paragraphs (a) and (b) of this section are based on an engineering analysis showing that the ve hicle design adequately controls emissions. We would expect emission contr ol components and systems to exhibit a comparable degree of control relative to vehi cles that comply based on testing. For example, vehicles that comply under this paragraph ( e ) should rely on comparable material specifications to limit fuel permeation, a nd components should be sized and calibrated to correspond with the appropriate fuel capaciti es, fuel flow rates, and vehicle operating characteristics. ( f ) Incomplete vehicles . If you sell incomplete vehicles, you must identify the maximum fuel tank capac ity for which you designed the vehicle’s evaporative emission control system. ( g ) Auxiliary engines and separate fuel systems . The provisions of this paragraph ( g ) apply for vehicles with auxiliary engines. This includes any engines i nstalled in the fina l 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 fr om a separate f uel 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 r each ed stabilized levels of permeation emissions. The auxiliary engine mus t 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 installat ion of auxiliary engines and associated fuel

- system components as long as those components installed in the final configuration are certified to meet the applicable emis sion standards for Small SI equipment described in 40 CFR 1054.112 or for Large SI engines in 40 CFR 1048.105. (Note: We do not consider installation of aftermarket engines into non

new motor vehicles to be tampering if the installer complies with the requirements of this paragraph (g)(2).) For any fuel

- system components that you do not install, your installation instructions must describe this certification requirement.

§ 1037.104 Exhaust emission standards for CO 2 , CH 4 , and N 2 O for heavy-duty vehicles at or below 14,000 pounds GVWR. This section applies for heavy-duty vehicles at or below 14,000 pounds GVW R. See paragraph s (f) and (g) §1037.150 of this section for provisions excluding certain vehicles from this section, and allowing other vehicles to be certified under this section.(a) Fleet-average CO 2 emission standards . Fleet-average CO 2 emission standards apply

for each manufacturer as follows: (1) First Calculate a work factor, WF, for each vehicle configuration subconfiguration (or group of subconfigurations allowed under paragraph (a)(4) of this secti on), 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 e ach vehicle sub configuration (or submodel groups group of configurations we

approve subconfigurations allowed under paragraph (a)(4) of this section ) you produce using one of the applicable equation of this paragraph (a)(2)

, following equations, rounding the target value to the nearest 0.1 g/mile

. : (i) For spark-ignition vehicles: CO 2 Target (g/mile) = 0.0440 × WF + 339 (ii) For compression-ignition vehicles and vehicles that operate without engines (such as electric vehicles and fuel cell vehicles): CO 2 Target (g/mile) = 0.0416 × WF + 320 (3) Calculate a production-weighted average of the target values and round it to the nearest 0.1 g/mile. This is your fleet-average standard. All ve hicles subject to the standards of this section form a single averaging set. Use the followi ng equation to calculate your fleet-average standard from the target val ue for each vehicle configuration or submodel subconfiguration (Target i ) and U.S.-directed production volume of each vehicle configuration or submodel subconfiguration for the given model year (Volume i ): 

## [ ] [ ] Target Volume Fleet-Average Standard Volume i i

i ×

= 

# ∑ ∑
(4) You may group subconfigurations within a config uration together for purposes of calculating your fleet-average standard as follows: (i) You may group together subconfigurations that h ave the same 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. (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 2 standard that is calculated from your test result and that applies for SEA testing selective enforcement audits and in-use testing. The This in-use CO 2 standard for each vehicle is equal to the applicable deteriorated emission level applicable for that vehicle multiplied by 1.10 and rounded to the nearest 0.1 g/mile. (c) N 2 O and CH 4 standards. Except as allowed under this paragraph (c), all v ehicles subject to the standards of this section must compl y with an N 2 O standard of 0.05 g/mile and a CH 4 standard of 0.05 g/mile. You may specify CH 4 and/or N 2 O FELs and

use alternate standards using CO 2 emission credits to show compliance with those FELs instead of these otherwise applicable emission stan dards for one or more test groups

, consistent with the provisions of 40 CFR 86.1818 . To do this, calculate the CH 4 and/or Field Code ChangedN 2 O emission credits needed (negative credits) using the equation in this paragraph (c)

based on the FEL(s) you specify for your vehicles d uring certification. You must adjust the calculated emissions by the relative global warming potential ( RGWP) : RGWP GWP): GWP equals 25 for CH 4 and 298 for N 2 O. This means you must use 25 Mg of positive CO 2 credits to offset 1 Mg of negative CH 4 credits and 298 Mg of positive CO 2 credits to offset 1 Mg of negative N 2 O credits. Note that 40 CFR 86.1818-12(f )(2 ) does not apply for vehicles subject to the standard s of this section. Calculate credits using the following equation: CO 2 Credits Needed (Mg) = [( FEL - Std

- FEL ) × (U.S.-directed production volume) × (Useful Life)] × ( R GWP) ÷ 1,000,000 (d) Compliance provisions . Except as specified in this paragraph (d) or else where in this section, the provisions of 40 CFR part 86, describi ng compliance with the greenhouse gas standards of 40 CFR part 86, subpart S of that part

, apply with respect to the standards of paragraphs (a) through (c) of this section. (1) The CO 2 standards of this section apply with respect to CO 2 emissions instead of

, not with respect to carbon-related exhaust emissions (CREE). (2) Vehicles subject to the standards of this secti on are included in a single greenhouse gas averaging set separate from any aver aging sets otherwise included in 40 CFR part 86. (3) Special credit and incentive provisions related to flexible

- fuel vehicles and air conditioning in 40 CFR part 86 do not apply for veh icles subject to the standards of this section. (4) The CO 2 , N 2 O, and CH 4 standards apply for a weighted average of the city (55%) and highway (45%) test cycle results as specified f or light-duty vehicles in 40 CFR part 86, subpart S. Note that this differs from th e way the criteria pollutant standards apply for heavy-duty vehicles. (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 actual use. Use good engineering judgment to develop separ ate deterioration factors for N 2 O and CH 4

. (6) Credits are calculated using the useful life va lue (in miles) in place of the “vehicle lifetime miles ” specified in subpart S of 40 CFR part 86 , subpart S

. (7) Credits generated from hybrid vehicles with reg enerative braking or from vehicles (§§1037.610 and 1037.611) with other advanced technologies may be used to show compliance with any standards of this part or 40 CF R part 1036, provided they are converted using good engineering judgment subject to be equivalent to the service class restrictions in §1037.740. Include these v ehicles in a separate fleet-average calculation (and exclude them from your conventiona l fleet-average calculation). You must first apply these advanced technology vehi cle credits calculated under that part to any deficits for other vehicles in the averaging set before applying them to other averaging sets

. (8) The provisions of 40 CFR 86.1818 do not apply. (9) Calculate your fleet-average emission rate consiste nt with good engineering judgment and the provisions of 40 CFR 86.1865. The following additional provisions apply: (i) Unless we approve a lower number, you must test at least tensubconfigurations. If you produce more than 100 su bconfigurations in a given model year, you must test at least ten percent of y our subconfigurations. For purposes of this paragraph (9)(i), count carryover tests, but do not include analytically derived CO 2 emission rates, data substitutions, or other untes ted allowances. We may approve a lower number of tests for manufacturers that have limited product offerings, or low sales volumes. N ote that good engineering judgment and other provisions of this part may requ ire you to test more subconfigurations than these minimum values. (ii) The provisions of paragraph (g) of this sectio n specify how you may use analytically derived CO 2 emission rates. (iii) At least 90 percent of final production volum e at the configuration level must be represented by test data (real, data substituted , or analytical). (10) For dual fuel, multi-fuel, and flex

- ible fuel vehicles, perform exhaust testing on each fuel type (for example, gasoline and E85). (i) For your fleet

- average calculations, use a either the conventional-fueled CO 2 emission rate or a weighted average of your emissio n results as specified in 40 CFR part 86 600.510–12(k) for light-duty trucks. (ii) If you certify to an FEL alternate standard for N 2 O or CH 4 emissions

, you may not exceed the FEL alternate standard when tested on either fuel. ( 10 11 ) Test your vehicles with a an equivalent test weight equal to based on its Adjusted Loaded Vehicle Weight ( i.e., ALVW). Determine equivalent test weight from the numerical average of ALVW as specified in 40 CFR 86.129, except that you may round values to the nearest 500 pound increment for ALVW above 14,000 pounds). (12) The following definitions apply for purposes o f this section: (i) Configuration means a subclassification within a test group which is based on engine code, transmission type and gear ratios, fin al drive ratio, and other parameters which we designate. Note that this diff ers from the definition in 40 CFR 86.1803 because it excludes inertia weight clas s as a criterion. (ii) Subconfiguration means a unique combination wi thin a vehicle curb weight and GVWR)

, configuration (as defined in this paragraph (d)(12) ) of equivalent test weight, road-load horsepower, and any other op erational characteristics or parameters that we determine may significantly affe ct CO 2 emissions within a vehicle configuration. (iii) The terms “complete vehicle” and “incomplete vehicle” have the meanings given for “complete heavy-duty vehicle” and “incomp lete heavy-duty vehicle” in 40 CFR 86.1803. (13) This paragraph (d)(13) applies for CO 2 reductions resulting from technologies that were not in common use before 2010 that are no t reflected in the specified test procedures. We may allow you to generate emission credits consistent with the provisions of 40 CFR 86.1866-12(d). You do not nee d to provide justification for not using the 5-cycle methodology option. (14) You must submit pre-model year reports before you submit your applications for certification for a given model year. Unless we sp ecify otherwise, include the information specified for pre-model year reports in 49 CFR 535.8. (e) Useful life. Your vehicles must meet the exhaust emission standa rds of this sectionthroughout their full useful life, expressed in ser vice miles or calendar years, whichever

comes first. The useful life values for the standards of this se ction are those that apply for criteria pollutants under 40 CFR part 86. (f) Incomplete vehicle exclusion. Exclusion of vehicles not certified as complete vehicles. The standards of this section apply for each vehicl e that is chassis-certified with respect to criteria pollutants . The standards of this section do not apply for o ther vehicles , except as allowed under paragraph (g) of this section

. 40 CFR part 86, subpart S. The standards of this section do not apply for othe r vehicles, except as noted in §1037.150. Note that vehicles excluded under this paragraph (f) are not considered to be “subject to the standards of this section.” The vehicle standards and requirements of § 1037.105 apply for the excluded vehicles. The GH G standards of 40 CFR part 1036 also apply for engines used in these excluded vehic les. If you are not the engine manufacturer, you must notify the engine manufactur er s that their its engines are subject to 40 CFR part 1036 because you intend to use their engines in your excluded vehicles. ( g ) Optional certification under this section. You may certify any vehicle at or below 19,500 pounds GVWR to the standards of this section. (1) You may certify complete and/or incomplete Class 4 and/or C lass 5 vehicles to the standards of this section.

( 2 ) You may apply t he provisions of this section to in complete vehicles in the same manner as they apply to complete vehicles, except as specified in this paragraph (g)(2)

. Calculate the target value based on the same work factor value that applies for the most similar complete vehicle you certify. Test these in complete vehicles using the same test weight and other dynamometer se ttings that apply for the complete vehicle from which you used the work factor value . For certification, you may submit the test data from that similar vehicle instead of performing the test on t he

- in complete vehicle. (g) Analytically derived CO 2 emission rates (ADCs). This paragraph (g) describ es an allowance to use estimated (i.e., analytically deri ved) CO 2 emission rates based on baseline test data instead of measured emission rat es for calculating fleet-average emissions. Note that these ADCs are similar to A DFEs used for light-duty vehicles. Note also that F terms used in this paragraph (g) r epresent coefficients from the following road load equation:
     	
  0  1 ·  
  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 loa d force coefficients (F0, F1, F2), axle ratio, and test weight :   2   2.18 · ∆0  37.4 · ∆1  2257 · ∆2  189 · ∆)  0.0222

· ∆*+,

Where: ADC = Analytically derived combined city/highway CO 2 emission rate (g/mile) for a new vehicle. CO 2base = Combined city/highway CO 2 emission rate (g/mile) of a baseline vehicle. ∆ F0 = F0 of the new vehicle – F0 of the baseline veh icle. ∆ F1 = F1 of the new vehicle – F1 of the baseline veh icle.∆ F2 = F2 of the new vehicle – F2 of the baseline veh icle. ∆ AR = Axle ratio of the new vehicle – axle ratio of the baseline vehicle. ∆ ETW = ETW of the new vehicle – ETW of the baseline vehicle.

(2) The purpose of this section is to accurately es timate CO 2 emission rates. You must apply the provisions of this section consisten t 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 acc urately estimate emissions. You may ask us to approve alternate equations that allo w you to estimate emissions more accurately. (3) You may select, without our prior approval, bas eline test data that meet all the following criteria: (i) Vehicles considered for selection for the basel ine test must comply with all applicable emission standards in the model year ass ociated with the ADC. (ii) You must include in the pool of tests which wi ll be considered for baseline selection all official tests of the same or equival ent basic engine, transmission class, engine code, transmission code, engine horse power, dynamometer drive wheels, and compression ratio as the ADC subconfigu ration. Do not include tests in which emissions exceed any applicable stan dards. (iii) Where necessary to minimize the CO 2 adjustment, you may supplement the pool with tests associated with worst-case engi ne or transmission codes and carryover or carry-across engine families. 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 suppl emental data (i.e., individual test vehicles may not be selected for in clusion). You must also include the supplemental data in all subsequent poo ls, 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 absol ute 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 use baseline test d ata not fully meeting the provisions of paragraph (g)(3) of this section. (5) Calculate the ADC rounded to the nearest 0.1 g/ mile. The downward adjustment of ADC from the baseline is limited to ADC values 2 0 percent below the baseline emission rate (i.e., baseline emission rate × 0.80) . 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 o r on a development vehicle that is eligible to be declared as an emission-data vehicle

. (7) No more than 40 percent of the subconfiguration s tested in your final CO 2 submission may be represented by ADCs. (8) You must retain for five years the pool of test s, the vehicle description and tests chosen as the baseline and the basis for its select ion, the target ADC subconfiguration, and the calculated emission rates . We may ask to see these records at any time.(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 comp ly with the provisions of this paragraph (g), we may rescind the use of ADC data, require generation of actual test data, and require recalculation of your fleet-avera ge emission rate. (h) Applicability of part 1037 provisions . Except as specified in this section, the requirements of this part do not apply to vehicles certified to the standards of this section. The following provisions are the only provisions of this part that apply to vehicles certified under this section: (1) The provisions of this section. (2) The e vaporative emission standards in § 1037.103. [Reserved] (3) The air conditioning standards in § 1037.115. (4) The interim provisions of § 1037.150(a), (b), ( c), (e) - (i), (l), and ( e)

- (h m ). (5) The definitions of § 1037.801, to the extent s uch terms are used in this part relative to vehicles subject to standards under thi s section

.

§ 1037.105 Exhaust emission standards for CO 2 , CH 4 , and N 2 O for vocational vehicles. (a) The standards of this section apply for the fol lowing vehicles: (1) Vehicles above 14,000 pounds GVWR but and at or below 26,000 pounds GVWR

, but not certified to the vehicle standards §1037.10 4

. (2) Vehicles above 26,000 pounds GVWR that are not tractors. (3) Vocational tractors. (4) Vehicles at or below 14,000 pounds GVWR that are ex cluded from the standards in § 1037.104 under § 1037.104 (f ) or use engines certified under §1037.150(m ). (b) The CO 2 standards of this section are given in Table 1 to this section. The provisions of § 1037.241 specify how to comply with these stan dards.

Table 1 to § 1037.105—CO 2 Standards for Vocational Vehicles GVWR (pounds) CO 2 Standard (g/ton-mile) for Model Years 2014-2016 CO 2 Standard (g/ton-mile) for Model Year 2017 and later GVWR < 19,500 387 388 373 19,500 < GVWR < 33,000 234 225 33,000 < GVWR 226 222

(c) No CH 4 or N 2 O standards apply under this section. See 40 CFR p art 1036 for CH 4 or N 2 O standards that apply to engines used in these veh icles. (d) You may generate or use emission credits under the ABT program

, as described in subpart H of this part. This requires that you spe cify a Family Emission Limit (FEL) for each pollutant you include in the ABT program CO 2 for each vehicle subfamily. The FEL may not be less than the result of emission modelin g from § 1037.520. These FELs serve as the emission standards for the vehicle subfamily instead of the standards specified in paragraph (b) of this section. (e) The Your vehicles must meet the exhaust emission standa rds of this section throughout their full useful life values for the , expressed in service miles or calendar years, whichever comes first. The following useful life v alues apply for the standards of thissection : (1) 110,000 miles or 10 years, whichever comes firs t, for vehicles at or below 19,500 pounds GVWR is 110

. (2) 185 ,000 miles or 10 years, whichever occurs comes first . The useful life values for the standards of this section

, for vehicles above 19,500 pounds GVWR but and at or below 33,000 pounds GVWR is 185,000 miles or 10 years, whichever occurs first. The useful life value for the standards of this sec tion for vehicles over 33,000 pounds GVWR is

. (3) 435,000 miles or 10 years, whichever occurs first. comes first, for vehicles above 33,000 pounds GVWR. (f) See § 1037. 630 631 for provisions that exempt certain vehicles used i n offroad 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 higher vehicle service class (such as medium heavy-duty instead of light heavy-duty), provided you do not generate credits w ith the vehicle. If you include smaller vehicles in a credit-generating subfamily ( with an FEL below the standard), exclude its production volume from the credit calcu lation.

§ 1037.106 Exhaust emission standards for CO 2 , CH 4 , and N 2 O for tractors above 26,000 pounds GVWR. (a) The following CO 2 standards CO 2 standards of this section apply for tractors above 26,000 pounds GVWR : . Note that the standards of this section do not a pply for vehicles classified as “vocational tractors” under §1037.630

, (b) The CO 2 standards for tractors above 26,000 pounds GVWR ar e given in Table 1 to this section. The provisions of § 1037.241 specify how to comply with these standards. Table 1 to § 1037.106—CO 2 Standards for Tractors above 26,000 Pounds GVWR GVWR (pounds) Sub-category CO 2 Standard (g/ton-mile) for Model Years 2014-2016 CO 2 Standard

(g/ton-mile) for Model Year 2017 and later

26,000 < GVWR < 33,000 Low-Roof (all cab styles) 107 104

Mid-Roof (all cab styles) 119 115

High-Roof (all cab styles) 122 124 118 120

GVWR > 33,000 Low-Roof Day Cab 81 79 80 Low-Roof Sleeper Cab 68 66 Mid-Roof Day Cab 88 86 Mid-Roof Sleeper Cab 75 76 73 High-Roof Day Cab 90 92 88 89 High-Roof Sleeper Cab 73 75 7 1 72

( b c ) No CH 4 or N 2 O standards apply under this section. See 40 CFR p art 1036 for CH 4 or N 2 O standards that apply to engines used in these veh icles. ( c d ) You may generate or use emission credits under th e ABT program, as described insubpart H of this part. This requires that you spe cify a Family Emission Limit (FEL) for

each pollutant you include in the ABT program for e ach vehicle subfamily. The FEL may not be less than the result of emission modelin g 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. ( d ) The useful life value for (e) Your vehicles must meet the exhaust emission standards of this section for vehicles at or below 33,000 pounds GVWR is 185, 000 throughout their full useful life, expressed in service miles or 10 calendar years, whichever occurs comes first. The following useful life value values apply for the standards of this section : (1) 185,000 miles or 10 years, whichever comes firs t, for vehicles over at or below 33,000 pounds GVWR is

. (2) 435,000 miles or 10 years, whichever o ccurs comes first

.
( e ) See § 1 037.630

, for provisions that exempt certain vehicles use in offroad operation fr o m the above 33,000 pounds GVWR. (f) You may optionally certify a tractor to the standards and useful life applicable to a higher vehicle service class (such as heavy heavy-d uty instead of this section. medium heavy-duty), provided you do not generate credits w ith the vehicle. If you include smaller vehicles in a credit-generating subfamily (with an FEL below the standard), exclude its production volume from the credit calculation.

§ 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 mee t all the requirements of this part for any adjustment in the physically adjustable range. We may require that you set adjustable parameters to any s pecification within the adjustable range during any testing. See 40 CFR part 86 for informa tion related to determining whether or not an operating parameter is considered adjustable . You must ensure safe vehicle operation throughout the physically adjustable rang e of each adjustable parameter, including consideration of production tolerances. Note that adjustable roof fairings are deemed to not

to be adjustable parameters. (b) Prohibited controls. You may not design your vehicles with emission co ntrol devices, systems, or elements of design that cause or contri bute to an unreasonable risk to public health, welfare, or safety while operating. For ex ample, this would apply if the vehicle emits a noxious or toxic substance it would otherwi se not emit that contributes to such an unreasonable risk. (c) Air conditioning leakage. Loss of refrigerant from your air conditioning sy stems may not exceed 1.50 percent per year

. , except as allowed by paragraphs (c)(2) and (3) of this section. Calculate the total leakage rate in g/year as spe cified in 40 CFR 86.166

- 12

. Calculate the percent leakage rate as: [total leaka ge rate (g/yr)] ÷ [total refrigerant capacity (g)] × 100. Round your leakage rate to the nearest one-hundre dth of a percent. See § 1037.150 for vocational vehicles.(1) For purpose of this requirement, “refrigerant c apacity” 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 g ood engineering judgment to convert the pressure and system volume to a mass. (2) If your system uses a refrigerant other than HF C–134a, adjust your leakage rate by multiplying it by the global warming potential o f your refrigerant and dividing the product by 1430 (which is the global warming potent ial of HFC–134a). Apply this adjustment before comparing your leakage rate to th e standard. Determine global warming potentials consistent with 40 CFR 86.1866

- 12 . Note that global warming potentials represent the equivalent grams of CO 2 that would have the same global warming impact (over 100 years) as one gram of the refrigerant. (3) If your total refrigerant capacity is less than 734 grams, your leakage rate may exceed 1.50 percent, as long as the total leakage r ate does not exceed 11.0 g/yr. If your system uses a refrigerant other than HFC–134a, you may adjust your leakage rate as specified in paragraph (c)(2) of this secti on.

§ 1037.120 Emission-related warranty requirements. (a) General requirements . You must warrant to the ultimate purchaser and ea ch subsequent purchaser that the new vehicle, includin g all parts of its emission control system, meets two conditions: (1) It is designed, built, and equipped so it confo rms at the time of sale to the ultimate purchaser with the requirements of this part. (2) It is free from defects in materials and workma nship that may keep it from meeting these requirements cause the vehicle to fail to conform to the require ments 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 spark-ignition veh icles and light heavy

- duty vehicles. (ii) 5 years or 100,000 miles for medium and heavy heavy

- duty vehicles.

. (iii) 2 years or 24,000 miles for tires. (2) You may offer an emission-related warranty more generous than we require. The emission-related warranty for the vehicle may not b e shorter than any basic mechanical warranty you provide with or to that owner without charge for the vehicle. Similarly, the emission-related warranty for any co mponent may not be shorter than any warranty you provide to that owner with or without charge for that component. This means that your warranty for a given vehicle m ay not treat emission-related and nonemission-related defects differently for any com ponent. The warranty period begins when the vehicle is placed into service. (c) Components covered . The emission-related warranty covers vehicle spee d limiters, idle shutdown systems, fairings, and hybrid system components, to the extent such emission-related components are included in the certified emission controls. The emission-related warranty covers tires and all comp onents whose failure would increase a vehicle's evaporative emissions (for vehicles subje ct to evaporative emission standards). The emission-related warranty covers these componen ts even if another company produces the component. Your emission-related warr anty does not need to covercomponents whose failure would not increase a vehic le's emissions of any regulated

pollutant. (d) Limited applicability . You may deny warranty claims under this section i f the operator caused the problem through improper mainte nance or use, as described in 40 CFR 1068.115. (e) Owners manual . Describe in the owners manual the emission-relate d warranty provisions from this section that apply to the vehi cle.

§ 1037.125 Maintenance instructions and allowable maintenance. Give the ultimate purchaser of each new vehicle wri tten instructions for properly maintaining and using the vehicle, including the em ission control system. The maintenance instructions also apply to service accu mulation on any of your emission-data vehicles. See paragraph (i) of this section for re quirements related to tire replacement. (a) Critical emission-related maintenance . Critical emission-related maintenance includes any adjustment, cleaning, repair, or repla cement of critical emission-related components. This may also include additional emiss ion-related maintenance that you determine is critical if we approve it in advance. You may schedule critical emissionrelated maintenance on these components if you demo nstrate that the maintenance is reasonably likely to be done at the recommended int ervals on in-use vehicles. We will accept scheduled maintenance as reasonably likely t o occur if you satisfy any of the following conditions: (1) You present data showing that, if a lack of mai ntenance increases emissions, it also unacceptably degrades the vehicle’s performanc e. (2) You present survey data showing that at least 8 0 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 r easonably 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 paragrap h (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 sp ecified in paragraph (a) of this section, but not the recommended additional maintenance, thi s does not allow you to disqualify those vehicles from in-use testing or deny a warran ty claim. Do not take these maintenance steps during service accumulation on yo ur emission-data vehicles. (c) Special maintenance . You may specify more frequent maintenance to addr ess problems related to special situations, such as aty pical vehicle operation. You must clearly state that this additional maintenance is a ssociated with the special situation you are addressing. We may disapprove your maintenance instructions if we determine that you have specified special maintenance steps to add ress vehicle operation that is not atypical, or that the maintenance is unlikely to oc cur in use. If we determine that certain maintenance items do not qualify as special mainten ance under this paragraph (c), you may identify this as recommended additional mainten ance 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-relate d inspection or maintenance that is

not covered by paragraph (a) of this section (that is, maintenance that is neither explicitly identified as critical emission-related maintenance , nor that we approve as critical emission-related maintenance). Noncritical emissio n-related maintenance generally includes maintenance on the components we specify i n 40 CFR part 1068, Appendix I, that is not covered in paragraph (a) of this sectio n. You must state in the owners manual that these steps are not necessary to keep the emis sion-related warranty valid. If operators fail to do this maintenance, this does no t allow you to disqualify those vehicles from in-use testing or deny a warranty claim. Do n ot take these inspection or maintenance steps during service accumulation on yo ur 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 servic e accumulation on your emission-data vehicles, as long as they are reasonable and techno logically necessary. This might include adding engine oil, changing air, fuel, or o il filters, servicing engine

- c ooling systems, and adjusting idle speed, governor, engine bolt torque, valve lash, or injector lash. You may perform this nonemission-related maintena nce 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 on the first page of your written m aintenance instructions that a repair shop or person of the ow ner's choosing may maintain, replace, or repair emission control devices and systems. Yo ur instructions may not require components or service identified by brand, trade, o r 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 se rvice 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 u nder 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 ma intenance in the owners manual. (i) Tire maintenance and replacement. Include instructions that will enable the owner t o replace tires so that the vehicle conforms to the o riginal certified vehicle configuration.

§ 1037.135 Labeling. (a) Assign each vehicle a unique identification num ber and permanently affix, engrave, or stamp it on the vehicle in a legible way. For example, The vehicle identification number (VIN) serves this purpose. (b) At the time of manufacture, affix a permanent a nd legible label identifying each vehicle. The label must be– (1) Attached in one piece so it is not removable wi thout being destroyed or defaced. (2) Secured to a part of the vehicle needed for nor mal operation and not normally requiring replacement. (3) Durable and readable for the vehicle’s entire l ife.(4) Written in English.

(c) The label must— (1) Include the heading "VEHICLE EMISSION CONTROL I NFORMATION". (2) Include your full corporate name and trademark. You may identify another company and use its trademark instead of yours if y ou comply with the branding provisions of 40 CFR 1068.45. (3) Include EPA’s standardized designation for the vehicle family (and subfamily, where applicable).

. (4) State the regulatory sub-category that determin es 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 keep a record of stamp, engrave, or otherwise permanently identify it elsewhere on the vehicle

- manufacture dates and provide it to

us upon request engine, in which case you must also describe in you r application for certification where you will identify the date on t he engine

. (6) Identify the emission control system. Use ter ms and abbreviations as described in 40 CFR 1068.45 Appendix III to this part or other applicable conventions. (7) Identify any requirements for fuel and lubrican ts that do not involve fuel-sulfur levels. (8) State: "THIS VEHICLE COMPLIES WITH U.S. EPA REG ULATIONS FOR [MODEL YEAR] HEAVY-DUTY VEHICLES." (9) Include the following statement, if applicable: “THIS VEHICLE IS DESIGNED TO COMPLY WITH EVAPORATIVE EMISSION STANDARDS WITH UP TO x GALLONS OF FUEL TANK CAPACITY.” Complete this stat ement by identifying the maximum specified fuel tank capacity associated with your certification. (d) You may add information to the emission control information label to identify other emission standards that the vehicle meets or does n ot meet (such as European standards). You may also add other information to ensure that t he vehicle will be properly maintained and used. However, if you provide additional information on t he label, you may not omit any required information on the basis that a label containing all of the required information will not fit on the vehicle (e) You may ask us to approve modified labeling req uirements 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 p art.

§ 1037.140 Curb weight and roof height. (a) Where applicable, a vehicle’s curb weight and r oof height are determined from nominal design specifications, as provided in this section. Round the weight to the nearest pound and height to the nearest inch. Base roof height on fully inflated tires having a static loaded radius equal to the arithmet ic mean of the largest and smallest static load ed radius of tires you offer

. or a standard tire we approve. (b) The nominal design specifications must be withi n the range of the actual weights and roof heights of production vehicles considering nor mal production variability. If after production begins it is determined that your nomina l design specifications do not represent production vehicles, we may require you t o amend your application for certification under § 1037.225.(c) If your vehicle is equipped with an adjustable roof fairing, measure the roof height

with the fairing in its lowest setting.

§ 1037.150 Interim provisions. The provisions in this section apply instead of oth er provisions in this part. (a) Incentives for early introduction . The provisions of this paragraph (a) apply with respect to vehicles produced in model years before 2014 Manufacturers may voluntarily certify in model year 2013 (or earlier model years for electric vehicles) to the greenhouse gas standards of this part. (1) This paragraph (a)(1) applies for regulatory su b-categories subject to to the standards of §1037.105 or 1037.106. Except as specified in p aragraph (a)( 2 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 producti on volume within the regulatory subcategory to these standards. Except as specified in paragraph(a)(4) of this se ction, if some vehicle families within a regulatory sub-categ ory are certified after the start of the model year, you may generate credits only for produ ction that occurs after all families are certified. For example, if you produce three vehicle familie s in an averaging set and you receive your certificates for those families on Jan uary 4, 2013, March 15, 2013, and April 24, 2013, you may not generate credits for model ye ar 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 gener ate under this paragraph (a) multiplied by 1.50. For example, if you have 1.0 Mg of surplu s 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 sub mitting your applications. (2) This paragraph (a)(1) applies for regulatory su b

- categories subject to to the standards of §1037.104. To generate early credits under this paragraph for any vehicles other than electric vehicles, you must cer tify your entire U.S.

- directed production volume within the regulatory sub

- category to these standards. If some test groups are certified after the start of the model y ear, you may generate credits only for production th at occurs after all test groupsare certified. Calcu late credits relative to the standard that would apply in model year 2014 using the applicable equations in 40 CFR part 86 and your model year 2013 U.S. direct ed production volumes. These credits may be used to show compliance with the sta ndards of this part for 2014 and later model years. We recommend that you notify EP A of your intent to use this provision before submitting your applications. (2) This paragraph (a)(2) applies for regulatory su b-categories subject to the standards of §1037.104. To generate early credits under this paragraph fo r any vehicles other than electric vehicles, you must certify your entir e U.S.-directed production volume within the regulatory sub-category to these standar ds. If you calculate a separate fleet average for advanced-technology vehicles under §103 7.104(c)(7), you must certify your entire U.S.-directed production volume of both advanced and conventional vehicles within the regulatory sub-category. Excep t as specified in paragraph(a)(4) of this section, if some test groups are certified aft er the start of the model year, you maygenerate credits only for production that occurs af ter all test groups are certified. For example, if you produce three test groups in an ave raging set and you receive your certificates for those test groups on January 4, 20 13, March 15, 2013, and April 24, 2013, you may not generate credits for model year 2 013 production in any of the test groups that occurs before April 24, 2013. Calculat e credits relative to the standard that would apply in model year 2014 using the appli cable equations in 40 CFR part 86 and your model year 2013 U.S.-directed productio n volumes. These credits may be used to show compliance with the standards of th is part for 2014 and later model years. We recommend that you notify EPA of your in tent to use this provision before submitting your applications. (3) You may generate emission credits for the numbe r of additional SmartWay designated tractors (relative to your 2012 production )

. ), provided you do not generate credits for those vehicles under paragraph (a)(1) o f this section. Calculate credits for each regulatory sub-category relative to the standa rd 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 verified designated model year 2013 SmartWay tractors minus the number of verified designated model year 2012 SmartWay tractors. You may bank credits equal to the surplus credits you generate u nder this paragraph 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 r eceive your final certificate in a regulatory sub-category within 30 days of submittin g your final application for that sub-category. Calculate your credits for all produ ction that occurs 30 days or more after you submit your final application for the sub -category. ( b) Phase-in provisions. Each manufacturer must choose one of the followin g options for phasing in the standards of § 1037.104: (1) To implement the phase-in under this paragraph (b)(1), the standards in § 1037.104 apply as specified for model year 2018, with compliance for those vehicles in model years 2014 through 2017 based on the CO 2 target values specified in the following table: Table 1 to § 1037.150 Model Year and Engine Cycle Alternate CO 2 Target (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) ] + 35 4 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

(2) To implement the phase in under this paragraph (b)(2), the standards in § 1037.104 apply as specified for model year 2019, with compliance for those vehicles in model years 2014 through 2018 based on the CO 2 target values specified in the following table:Table 2 to § 1037.150 Model Year and Engine Cycle Alternate CO 2 Target (g/mile) 2014 Spark-Ignition [0.0482 × (WF)] + 371 2015 Spark-Ignition [0.0479 × (WF)] + 369 2016-2018 Spark-Ignition [0.0456 × (WF)] + 352 2014 Compression-Ignition [0.0478 × (WF)] + 368 2015 Compression-Ignition [0.0474 × (WF)] + 366 2016-2018 Compression-Ignition [0.0440 × (WF)] + 33 9

(c) Provisions for small manufacturers . Manufacturers meeting the small business criteria specified in 13 CFR 121.201 for “Heavy Dut y Truck Manufacturing” are not subject to the greenhouse gas standards of §§ 1037. 104 through 1037.106, as specified in this paragraph (c). Qualifying manufacturers must notify the Designated Compliance Officer each model year before introducing these ex cluded 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 1 037.150(c ).” in order for this exclusion to be valid

. ).”. (d) Air conditioning leakage for vocational vehicle s. The air conditioning leakage standard of § 1037.115 does not apply for vocationa l vehicles. (e) Model year 2014 N 2 O standards. In model year 2014 and earlier, manufacturers may show compliance with the N 2 O standards using an engineering analysis. However, This allowance also applies for later test groups famili es carried over from model 2014 consistent with the provisions of 40 CFR 86.1839. You may not certify to an N 2 O FEL different than the standard without measuring N 2 O emissions. (f) Electric vehicles. All electric vehicles are deemed to have zero emi ssions of CO 2 , CH 4 , and N 2 O. No emission testing is required for such electric vehicles. (g) Compliance date. Compliance with the standards of this part is opt ional prior to January 1, 2014. This means that if your 2014 mode l year begins before January 1, 2014, you may certify for a partial model year that begin s 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 followin g statement: “THIS VEHICLE IS EXCLUDED UNDER 40 CFR 1037.150(g).” ( h ) Alternate certification procedures. Manufacturers may ask us to modify the administrative requirements for certification for m odel years before 2015. ( i ) (h) Off-road vehicle exemption. In unusual circumst ances, 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). For example, we w ould normally not grant relief in cases where the vehicle manufacturer had credits or other compliant tires were available. (i) Credit multiplier for advanced technology. If you generate credits from vehicles certified for advance with advanced technology

, you may multiply these credits by 1.50, except that you may not apply this multiplier and in addition to the early

- credit multiplier of paragraph (a) of this section. (j) Limited prohibition related to early model year engines. The prohibition in §1037.601 against introducing into U.S. commerce a vehicle co ntaining an engine not certified to the standards of this part 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 vehicles. We may measure the drag area of your vehicles after they have been placed into service. Your vehicle conforms to the regulations of this part with respect to aerodynami c performance if we measure its drag area to be at or below the maximum drag area allowe d for the bin to which that configuration was certified. To account for measur ement variability, your vehicle is also deemed to conform to the regulations of this part w ith respect to aerodynamic performance if we measure its drag area to at or be low the maximum drag area allowed for the bin above the bin to which you certified (f or example, Bin II if you certified the vehicle to Bin III), unless we determine that you k nowingly produced the vehicle to have a higher drag area than is allowed for the bin to w hich it was certified. (l) Optional certification under §1037.104. You ma y certify certain complete or cabcomplete vehicles to the standards of §1037.104. A ll vehicles optionally certified under this paragraph (l) are deemed to be subject to the standards of §1037.104. Note that certification under this paragraph (l) does not aff ect how you may or may not certify with respect to criteria pollutants. For example, certi fying a Class 4 vehicle under this paragraph does not allow you to chassis-certify the se vehicles with respect to criteria emissions. (1) You may certify complete or cab-complete spark- ignition vehicles to the standards of §1037.104. (2) You may apply the provisions of §1037.104 to ca b-complete vehicles based on a complete sister vehicle. In unusual circumstances, you may ask us to apply these provisions to Class 2b or 3 incomplete vehicles tha t do not meet the definition of cabcomplete. Except as specified in paragraph (l)(3) of this section, for purposes of §1037.104, a complete sister vehicle is a complete vehicle of the same vehicle configuration (as defined in §1037.104) as the cab- complete vehicle. Calculate the target value under §1037.104(a) based on the same w ork factor value that applies for the complete sister vehicle. Test these cab-complet e vehicles using the same equivalent test weight and other dynamometer settin gs that apply for the complete vehicle from which you used the work factor value. For certification, you may submit the test data from that complete sister vehi cle instead of performing the test on the cab-complete vehicle. You are not required to produce the complete sister vehicle for sale to use the provisions of this paragraph (l )(2). This means the complete sister vehicle may be a carryover vehicle from a prior mod el year or a vehicle created solely for the purpose of testing. (3) You may use as complete sister vehicle a comple te vehicle that is not of the same vehicle configuration as the cab-complete vehicle a s specified in this paragraph (l)(3). This allowance applies where the complete vehicle i s not of the same vehicle configuration as the cab-complete vehicle only beca use of factors unrelated to coastdown performance. If your complete sister veh icle is covered by this paragraph (l)(3), you may not submit the test data from that complete sister vehicle and must perform the test on the cab-complete vehicle. (m) Loose engine sales. This paragraph (m) applie s for spark-ignition engines identical to engines used in vehicles certified to the standa rds of §1037.104, where you sell such engines as loose engines or as engines installed in incomplete vehicles that are not cabcomplete vehicles. For purposes of this paragraph (m), engines would not be consideredto be identical if they used different engine hardw are. You may include such engines in a

test group certified to the standards of §1037.104, subject to the following provisions: (1) Engines certified under this paragraph (m) are deemed to be certified to the standards of 40 CFR 1036.108 as specified in 40 CFR 1036.108(a)(4). (2) The U.S.-directed production volume of engines you sell as loose engines or installed in incomplete heavy-duty vehicles that ar e not cab-complete vehicles in any given model year may not exceed ten percent of the total U.S-directed production volume of engines of that design that you produce f or heavy-duty applications for that model year, including engines you produce for compl ete vehicles, cab-complete vehicles, and other incomplete vehicles. The tota l number of engines you may certify under this paragraph (m), of all engine des igns, 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 80,0 00 complete model year 2017 Class 2b pickup trucks with a certain engine and 10,000 i ncomplete model year 2017 Class 3 vehicles with that same engine, and you do not ap ply the provisions of this paragraph (m) to any other engine designs, you may produce up to 10,000 engines of that design for sale as loose engines under this pa ragraph (m). If you produced 11,000 engines of that design for sale as loose eng ines, the last 1,000 of them that you produced in that model year 2017 would be considere d uncertified. (3) This paragraph (m) does not apply for engines c ertified to the standards of 40 CFR 1036.108(a)(1). (4) Label the engines as specified in 40 CFR 1036.1 35 including the following compliance statement: “THIS ENGINE WAS CERTIFIED TO THE ALTERNATE GREENHOUSE GAS EMISSION STANDARDS OF 40 CFR 1036.10 8(a)(4).” List the test group name instead of an engine family nam e. (5) Vehicles using engines certified under this par agraph (m) are subject to the emission standards of §1037.105. (6) For certification purposes, your engines are de emed to have a CO 2 target value and test result equal to the CO 2 target value and test result for the complete vehi cle in the applicable test group with the highest equivale nt test weight, except as specified in paragraph (m)(6)(ii) of this section. Use these values to calculate your target value, fleet-average emission rate, and in-use emission st andard. Where there are multiple complete vehicles with the same highest equivalent test weight, select the CO 2 target value and test result as specified in paragraphs (m )(6)(i) and (ii) of this section: (i) If one or more of the CO 2 test results exceed the applicable target value, u se the CO 2 target value and test result of the vehicle that e xceeds its target value by the greatest amount. (ii) If none of the CO 2 test results exceed the applicable target value, s elect the highest target value and set the test result equal to it. This means that you may not generate emission credits from vehicles certifi ed under this paragraph (m). (7) State in your applications for certification th at your test group and engine family will include engines certified under this paragraph (m). 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.

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 c ertificate of conformity for each vehicle family. A certificate of conformity is val id from the indicated effective date until December 31 the end of the model year for which it is issued , which may not extend beyond December 31 of that year . You must renew your certification annually for a ny vehicles you continue to produce. (b) The application must contain all the informatio n required by this part and must not include false or incomplete statements or informati on (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 mu st approve and sign the application. (f) See § 1037.255 for provisions describing how we will process your application. (g) (g) We may perform confirmatory testing on your veh icles; for example, we may test vehicles to verify drag areas or other GEM inputs. We may require you to deliver your test vehicles to a facility we designate for our te sting. Alternatively, you may choose to deliver another vehicle that is identical in all ma terial respects to the test vehicle. Where certification is based on testing components such a s tires, we may require you to deliver test components to a facility we designate for our testing.

§ 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). W e may require you to provide additional information to evaluate your application . Note that references to testing and emission-data vehicles refer to testing vehicles to measure aerodynamic drag, assess hybrid vehicle performance, and/or measure evaporat ive emissions. (a) Describe the vehicle family’s specifications an d other basic parameters of the vehicle’s design and emission controls. List the f uel type on which your vehicles are designed to operate (for example, ultra low-sulfur diesel fuel). List each distinguishable vehicle configuration in the vehicle family. (b) Explain how the emission control system operate s. As applicable, describe in detail all system components for controlling greenhouse ga s and evaporative emissions, including all auxiliary emission control devices (A ECDs) and all fuel-system components you will install on any production vehicle. Identi fy the part number of each component you describe. For this paragraph (b), treat as sep arate AECDs any devices that modulate or activate differently from each other

. (c) [Reserved] (c) For vehicles subject to air conditioning standa rds, include: (1) The refrigerant leakage rates (leak scores). (2) The refrigerant capacity of the air conditionin g systems. (3) The corporate name of the final installer of th e air conditioning system. (d) Describe any vehicles 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)

.(f) Describe how you operated any emission-data veh icle before testing, including the

duty cycle and the number of vehicle operating mile s used to stabilize emission levels. Explain why you selected the method of service accu mulation. Describe any scheduled maintenance you did. (g) List the specifications of any test fuel to sho w 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 labe l (see § 1037.135). (k) Identify the emission standards or FELs to whic h you are certifying vehicles in the vehicle family. For families containing multiple s ubfamilies, this means that you must identify multiple CO 2 FELs. For example, you may identify the FELs for each subfamily

. highest and lowest FELs to which any of your subfam ilies will be certified and also list all possible FELs in between (which w ill be in 1 g/ton-mile increments). (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, tes t parameters, and test fuels) to show you meet the requirements of this part. (n) Present evaporative test data to show your vehi cles meet the evaporative emission standards we specify in subpart B of this part, if applicable. Report all valid test results

, from emission-data vehicles and indicate whether there are test results from i nvalid tests or from any other tests of the emission

- data vehicle, whether or not they were conducted according to the test procedures of subpart F of th is part. We may require you to report such these additional test results. We may ask you to send o ther information to confirm that your tests were valid under the requirements o f this part and 40 CFR part 86. (o) Report modeling results for ten configurations. Include modeling inputs and detailed descriptions of how they were derived. Unless we s pecify otherwise

, include the configuration with the highest modeling result, the lowest modeling result, and the configurations with the highest projected sales. (p) Describe all adjustable operating parameters (s ee § 1037.115 ( a )), ), 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 adjustabl e ranges. (4) Information showing why the limits, stops, or o ther means of inhibiting adjustment are effective in preventing adjustment o f parameters on in-use vehicles to settings outside your intended physically adjustabl e ranges. (q) [Reserved] (r) Unconditionally certify that all the vehicles i n the vehicle family comply with the requirements of this part, other referenced parts o f the CFR, and the Clean Air Act. (s) Include good-faith estimates of U.S.-directed p roduction volumes . Include ajustification for t he estimated production volumes if they are substan tially different than

actual production volumes in earlier years for simi lar vehicle models by subfamily. We may require you to describe the basis of your estim ates

. (t) Include the information required by other subpa rts of this part. For example, include the information required by § 1037.725 if you parti cipate in the ABT program. (u) Include other applicable information, such as i nformation 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 requi rements of this part.

§ 1037.210 Preliminary approval before certification. If you send us information before you finish the ap plication, we may review it and make any appropriate determinations. Decisions made und er this section are considered to be preliminary approval, subject to final review and a pproval. We will generally not reverse a decision where we have given you preliminary appr oval, 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 tha t, we will make best-efforts to make the appropriate determinations as soon as practicab le. We will generally not provide preliminary approval related to a future model year more than two years ahead of time.

§ 1037.220 Amending maintenance instructions. You may amend your emission-related maintenance ins tructions after you submit your application for certification as long as the amende d instructions remain consistent with the provisions of § 1037.125. You must send the De signated Compliance Officer a written request to amend your application for certi fication for a vehicle family if you want to change the emission-related maintenance ins tructions in a way that could affect emissions. In your request, describe the proposed changes to the maintenance instructions. If operators follow the original mai ntenance instructions rather than the newly specified maintenance, this does not allow yo u to disqualify those vehicles from in-use testing or deny a warranty claim. (a) If you are decreasing or eliminating any specif ied maintenance, you may distribute the new maintenance instructions to your customers 30 d ays after we receive your request, unless we disapprove your request. This would gene rally include replacing one maintenance step with another. We may approve a sh orter time or waive this requirement. (b) If your requested change would not decrease the specified maintenance, you may distribute the new maintenance instructions anytime after you send your request. For example, this paragraph (b) would cover adding inst ructions to increase the frequency of filter changes for vehicles in severe-duty applicat ions. (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 th is paragraph (c).

§ 1037.225 Amending applications for certification.Before we issue you a certificate of conformity, yo u may amend your application to

include new or modified vehicle configurations, sub ject 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 modif ied 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 an y 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 a vehicle configuration to a vehicle family . In this case, the vehicle configuration added must be consistent with other v ehicle 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 affect emissions, or change any of the componen ts you described in your application for certification. This includes produ ction and design changes that may affect emissions any time during the vehicle's life time. (3) Modify an FEL for a vehicle family as described in paragraph (f) of this section. (b) To amend your application for certification, se nd the relevant information to the Designated Compliance Officer. (1) Describe in detail the addition or change in th e vehicle model or configuration you intend to make. (2) Include engineering evaluations or data showing that the amended vehicle family complies with all applicable requirements. You may do this by showing that the original emission-data vehicle is still appropriate for showing that the amended family complies with all applicable requirements. (3) If the original emission-data vehicle or emissi on modeling for the vehicle family is not appropriate to show compliance for the new o r modified vehicle configuration, include new test data or emission modeling showing that the new or modified vehicle configuration meets the requirements of this part. (c) We may ask for more test data or engineering ev aluations. You must give us these within 30 days after we request them. (d) For vehicle families already covered by a certi ficate of conformity, we will determine whether the existing certificate of conformity cove rs 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 certi ficate of conformity, you may start producing the new or modified vehicle configuration anytime after you send us your amended application and before we make a decision u nder 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 vehic les and may require you to recall the vehicles at no expense to the owner. Choosing to p roduce 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 rem edy the nonconformity at no expense to the owner. If you do not provide information re quired under paragraph (c) of this section within 30 days after we request it, you mus t 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 vehic les you have already introducedinto U.S. commerce, except as described in this par agraph (f). If we approve a changed

FEL after the start of production, you must include the new FEL on the emission control information label for a ll vehicles produced after the change. You may ask us to approve a change to your FEL in the following cases: (1) You may ask to raise your FEL for your 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 th e appropriate FELs with corresponding production volumes to calculate emiss ion 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 fami ly at any time.

§ 1037.230 Vehicle families, sub-families, and configurations. (a) For purposes of certifying your vehicles to gre enhouse gas standards, divide your product line into families of vehicles as specified in this section.

. Your vehicle family is limited to a single model year. Group vehicles in the same vehicle family if they are the same in all the following aspects: (1) The regulatory sub-category (or equivalent in t he case of vocational tractors), as follows: (i) Vocational vehicles at or below 19,500 pounds G VWR. (ii) Vocational vehicles (other than vocational tractors) above 19,500 pounds GVWR but and at or below 33,000 pounds GVWR. (iii) Vocational vehicles (other than vocational tractors) above 33,000 pounds GVWR. (iv) Low-roof day cab tractors above 26,000 pounds GVWR but and at or below 33,000 pounds GVWR (v) Mid-roof day cab tractors above 26,000 pounds GVWR but and at or below 33,000 pounds GVWR. (vi) High-roof tractors above 26,000 pounds GVWR but and at or below 33,000 pounds GVWR. (vii) Low-roof day cab tractors above 33,000 pounds GVWR. (viii) Low-roof sleeper cab tractors above 33,000 p ounds GVWR. (ix) Mid-roof day cab tractors above 33,000 pounds GVWR. (x) Mid-roof sleeper cab tractors above 33,000 poun ds GVWR. (xi) High-roof day cab tractors above 33,000 pounds GVWR. (xii) High-roof sleeper cab tractors above 33,000 p ounds GVWR. (xiii) Vocational tractors. (2) Vehicle technology as follows: (i) Group together vehicles that do not contain adv anced or innovative technologies.(ii) Group together vehicles that contain the same advanced/innovative technologies. (b) If the vehicles in your family are being certif ied to more than one FEL, subdivide your greenhouse gas vehicle families into subfamili es that include vehicles with identical FELs. Note that you may add subfamilies at any tim e during the model year. (c) Group vehicles into configurations consistent w ith the definition of “vehicle configuration” in §1037.801. Note that vehicles wi th hardware or software differences that are related to measured or modeled emissions a re considered to be different vehicle configurations even if they have the same GEM input s and FEL. Note also, that you are not required to separately identify all configurati ons for certification See paragraph (g) of this section for provisions allowing you to grou p certain hardware differences into the same configuration. Note that you are not required to identify all possible configurations for certification; also, you are required to includ e in your end-of year report only those configurations you produced. (d) For a vehicle model that straddles a roof-heigh t, cab type, or GVWR division, you may include all the vehicles in the same vehicle fa mily if you certify the vehicle family to the more stringent standards. For roof height, this means you must certify to t he taller roof standards. For cab-type and GVWR, this means you must certify to the numerically lower standards. ( e ) Divide your vehicles that are subject to evaporat ive emission standards into groups of vehicles with similar physical features expected to affect evaporative emissions. Group vehicles in the same evaporative emission family if they are the same in all the following aspects, unless we approve a better way of grouping vehicles into families that have similar emission control characteristics: (1) Method of vapor storage, including the number o f vapor storage devices, the working material, and t

he total working capacity of vapor storage (as dete rmined under 40 CFR 86.1232

- 96(h)(1)(iv)). You may consider the working capaci ty to be the same if the values differ by 20 grams or less. (2) Method of purging stored vapors. (3) Material for liquid fuel hose. (e) [Reserved.] (f) You may divide you r families into more families than is specified in this section. (g) You may ask us to allow you to group into the s ame configuration vehicles that have very small body hardware differences that do not si gnificantly affect drag areas. Note that this allowance does not apply for substantial differences, even if the vehicles have the same measured drag areas.

§ 1037.241 Demonstrating compliance with exhaust emission standards for greenhouse gas pollutants. (a) For purposes of certification, your vehicle fam ily is considered in compliance with the emission standards in § 1037.105 or § 1037.106 if a ll vehicle configurations in that family have modeled CO 2 emission rates (as specified in subpart F of this part) at or below the applicable standards. See 40 CFR part 86 , subpart S, for showing compliance with the standards of § 1037.104. Note that your F ELs are considered to be the applicable emission standards with which you must c omply if you participate in the ABT program in subpart H of this part.(b) Your vehicle family is deemed not to comply if any vehicle configuration in that

family has a modeled CO 2 emission rate that is above its FEL. (c) We may require you to provide an engineering an alysis showing that the performance of your emission controls will not deteriorate duri ng the useful life with proper maintenance. If we determine that your emission co ntrols are likely to deteriorate during the useful life, we may require you to develop and apply deterioration factors (DFs) consistent with good engineering judgment. For exa mple, you may need to apply a DF deterioration factor to address deterioration of battery performance fo r a hybrid

- an electric hybrid vehicle. Where the highest useful life emissions occur bet ween the end of useful life and at the low-hour test point, base de terioration 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 standa rds. (a) For purposes of certification, your evaporative emission family is considered in compliance with the evaporative emission standards in subpart B of this part if you do either of the following: (1) You have valid test results showing e mission levels at or below the standards in § 1 037.103. (2) For vehicles above 26,000 pounds GVWR, you pre pare an engineering analysis showing that your vehicles in the family will compl y with applicable standards throughout the useful life. (b) Your eva porative emission family is deemed not to comply if any vehicle representing the family has valid test results showing emission level s above any of the standard s in § 1 037.103, with or without deterioration factors . For vehicles above 26,000 pounds GVWR, y our evaporative emission family is deemed not to co mply if your engineering analysis is not adequate to show that a ll the vehicles in the family will comply with applicable emission standards throughou t the useful life. (c) To compare emission levels with emission standards, apply deterioration factors to the measured emission levels. Establish an additiv e deterioration factor for the vehicle family, as described in 40 CFR 86.007

- 23(b)

. (1) For vehicles at or below 26,000 pounds GVWR, es tablish the deteri oration factor based on testing before and after service accumulat ion. Collect emission data using measurements to one more decimal place than the app licable standard. Use good engineering judgment to perform service accumulatio n in a way that incorporat es the effects of ambient conditions and engine and vehicl e operation to ensure that emission measurements represent actual degradation of emission controls from in

- use vehicles over the useful life. (2) For vehicles above 26,000 pounds GVWR, establis h t he deterioration factor based on an engineering analysis that takes into account the expected aging from in

- use vehicles. Your analysis must take into account you r testing to establish deterioration factors under paragraph (c)(1) of this section. (d) You may ask us to approve deterioration factors for a v ehicle family based on emission measurements from similar highway vehicles if you have already given us these data for certifying the other vehicles in the same or earlier model years. Use good engineerin g judgment to decide whether the two vehicles are s imilar. We will approveyour request if you show us that the emission measu rements from other vehicles

reasonably represent in

- use deterioration for the vehicle family for which you have not yet determine d deterioration factors. (e) Apply the deterioration factor to the official emission result, as described in paragraph (c) of this section, then round the adjus ted figure to the same number of decimal places as the emission standard. Compare t he rounded emission levels to the emission standard for each emission

- data vehicle.

§ 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 ye ar(based on information available at the time of the report). Report by vehicle identif ication number

, and vehicle configuration

, and identify the transmission , ax l e ratio, and engine in addition to subfamily identifiers identifier. Report uncertified vehicles sold to se condary vehicle manufacturers . Small manufacturers may omit the reporting requirements of this requirement. paragraph (a). (b) Organize and maintain the following records: (1) A copy of all applications and any summary info rmation 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 vehicl e, if applicable. (4) Production figures for each vehicle family divi ded by assembly plant. (5) Keep a list of vehicle identification numbers f or all the vehicles you produce under each certificate of conformity. (c) Keep routine data from routine emission tests required by this part (such as test cell temperatures and relative humidity readings) for on e year after we issue the associated certificate of conformity. Keep all other informat ion specified in this section for eight years after we issue your certificate. (d) Store these records in any format and on any me dia, 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.

§ 1037.255 What decisions may EPA make regarding my certificate of conformity? (a) If we determine your application is complete an d shows that the vehicle family meets all the requirements of this part and the Act, we w ill issue a certificate of conformity for your vehicle family for that model year. We may ma ke 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 o ther requirements of this part or the Clean Air Act. We will base our decision on all av ailable information. If we deny your application, we will explain why in writing. (c) In addition, we may deny your application or su spend 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 (paragra ph (e) of this section applies ifthis 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 d espite our presenting a warrant or court order (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance. (5) Produce vehicles for importation into the Unite d States at a location where local law prohibits us from carrying out authorized activ ities. (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 engine 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 re quired 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 yo u intentionally submitted false or incomplete information. This includes rendering su bmitted 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—[Reserved]

Subpart E—In-use Testing

§ 1037.401 General provisions. We may perform in-use testing of any vehicle subjec t to the standards of this part. For example, we may test vehicles to verify drag areas or other GEM inputs.

Subpart F—Test and Modeling Procedures

§ 1037.501 General testing and modeling provisions. This subpart specifies how to perform emission test ing and emission modeling required elsewhere in this part. (a) Use the equipment and procedures specified in 4 0 CFR part 86, subpart M, to determine whether vehicles meet the diurnal, runnin g loss, hot so ak, and spitback standards specified in § 1 037.103. For certification vehicles only, you may ask us to approve subtraction of nonfuel emissions (such as f rom off

- gassing plastic components) from your measured test results. In your request, describe the s ources of nonfuel emissions and estimate the decay rate. Quantify th e nonfuel emissions based on separate testing. (a) [Reserved] (b) Where exhaust

emission testing is required, use the equipment an d procedures in 40 CFR part 1066 to determine whether your vehicles me et the duty-cycle emission standards in subpart B of this part. Measure the em issions of all the exhaust constituents subject to emission standards as specified in 40 CF R part 1066. Use the applicable dutycycles specified in § 1037.510.

(c) [Reserved] (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 appropri ate diesel test fuel is the ultra lowsulfur diesel fuel. (3) For gasoline-fueled vehicles, use the gasoline specified for “General Testing”. (e) You may use special or alternate procedures to the extent we allow them under as specified in 40 CFR 1065.10. (f) This subpart is addressed to you as a manufactu rer, 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 the specification of this paragraph (g) whenever we specify use of stand ard trailers. Unless otherwise specified, a tolerance of ±2 inches applies for all nominal trailer dimensions. Manufacturers may test with longer trailers. For coastdown testing

, load trailers as necessary to reach test weight. ( ( 1) The standard trailer for high-roof tractors must meet the following criteria: (i) It is a an unloaded two-axle dry van box trailer with dimensions of 53.0 feet long, by 102 inches wide, by 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 ( maximum of no greater than 45 inches). (iii) It has a smooth surface with nominally flush rivets and does not include any aerodynamic features such as side fairings, boat ta ils, or gap reducers. It may have a scuff band protruding of no more than 0.13 inches in thickness

. (iv) It includes dual 22.5 inch wheels, standard mu dflaps, and standard landing gear. The centerline of the rear -most axle must be 144 146 inches from the rear of the trailer. (2) The standard trailer for mid-roof tractors is a an empty two-axle tanker trailer with dimensions of 40.0 42±1 feet long by 124 140 inches high , and having

. (i) It has a 40±1 feet long cylindrical tank with a 7 2 00 0 ±7 gallon tank capacity

. , smooth surface, and rounded ends. (ii) The standard tanker trailer does not include any aerodynamic features s uch 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 a an unloaded two-axle flat bed trailer with dimensions of 48.0 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 aerodynam ic features such as side fairings. It includes a payload of dense material (such as st eel plate). For aerodynamic modeling, use an amount equivalent (ii) It includes an air suspension and dual 22.5 in ch wheels on tandem axles spread up to a standard payload of 25,000 pounds for Class 7 and 38,000 pounds for Class 8. 122 inches apart between axle centerlines, measured along the lengthof the trailer.

§ 1037.510 Duty-cycle exhaust testing. This section applies where exhaust emission testing is required, such as when applying the provisions of § 1037. 610 615. Note that for most vehicles, testing under th is section is not required

. (a) Where applicable, measure emissions by testing the vehicle on a chassis dynamometer with the applicable test cycles. Each test cycle co nsists of a series of speed commands over time: variable speeds for the transient test a nd constant speed s for the cruise tests. None of these cycles include vehicle starting or wa rmup; each test cycle begins with a running, warmed-up vehicle. Start sampling emissio ns at the start of each cycle. The transient cycle is specified in Appendix I to this part. For the 55 mph and 65 mph cruise cycles are , sample emissions for 300 second cycles with constant vehicle speeds of 55.0 mph and 65.0 mph, respectively. The tolerance arou nd these speed setpoints is ±1.0 mph. (b) Calculate the official emission result from the following weighting factors equation :

55 55 65 65

55 65 1 ( ) transient transient

transient w m w m w m g Emissions ton mile payload tons D D D  

⋅ ⋅ ⋅  
= ⋅ + +    

−    

Where: payload = the standard payload, in tons, as specified in § 1037.705.

w = weighting factor for the appropriate test cycle, as described in paragraph (c) of this section.

m = grams of CO 2 emitted over the appropriate test cycle.
D = miles driven over the appropriate test cycle.

(c) Apply weighting factors specific to each type o f vehicle and for each duty cycle as described in the following table:

Table 1 to § 1037.510—Weighting Factors for Duty Cy cles
Transient 55 mph Cruise 65 mph Cruise
Vocational 42% 21% 37% Vocational Hybrids Hybrid Vehicles 75% 9% 16%

Day Cabs 19% 17% 64% Sleeper Cabs 5% 9% 86%

( c d ) For transient testing, compare actual second-by-s econd vehicle speed with the speed specified in the test cycle and ensure any differen ces are consistent with the criteria as specified in 40 CFR part 1066. If the speeds do no t conform to these criteria, the test is not valid and must be repeated. ( d e ) Run test cycles as specified in 40 CFR part 86. For cruise cycle testing of vehicles equipped with cruise control, use the vehicle’s cru ise control to control the vehicle speed. For vehicles equipped with adjustable VSLs, test th e vehicle with the VSL at its highest setting. Formatted Table

Deleted Cells( e f ) Test the vehicle using its adjusted loaded vehicl e 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.

§ 1037.520 Modeling CO 2 emissions to show compliance. This section describes how to use the GEM computer model simulation tool (incorporated by reference in § 1037.810) to show compliance with the CO 2 standards of §§ 1037.105 and 1037.106. Use good engineering judgment when d emonstrating compliance using the GEM model

. (a) General modeling provisions. To run the GEM model , enter all applicable inputs as specified by the model. All seven of the following inputs apply for sleeper cab tractors, while some do not apply for other regulatory subcat egories: (1) Regulatory subcategory (such as “Class 8 Combin ation – Sleeper Cab – High Roof”). (2) Coefficient of aerodynamic drag, as described i n paragraph (b) of this section. Leave this field blank for vocational vehicles. (3) Steer tire rolling resistance, as described in paragraph (c) of this section. (4) Drive tire rolling resistance, as described in paragraph (c) of this section. (5) Vehicle speed limit, as described in paragraph (d) of this section. Leave this field blank for vocational vehicles. (6) Vehicle weight reduction, as described in parag raph (e) of this section. Leave this field blank for vocational vehicles. (7) Extended idle reduction credit, as described in paragraph (f) of this section. Leave this field blank for vehicles other than Class 8 sl eeper cabs. (b) Coefficient of aerodynamic drag and drag area. Determine the appropriate drag area as follows: (1) Use the recommended method or an alternate meth od to establish a value for the vehicle’s drag area , drag area, expressed in m 2 and rounded to two decimal places. Assum e a standard trailer for high roof tractors and no trailer for other vehicles. as follows : (i) Recommended method. Perform coastdown testing as described in this paragraph (b)(1)(i) Where we allow you to establish group multiple configurations together, measure the drag coefficient. Use area of the procedures worst-case configuration. Measure drag areas specified in 40 CFR part 1066, subpart C, with a standard trailer. (A) Calculate the drag area (C D A) in m 2

, from the following equatio n:

- . /  . 12

Where: C D = drag coefficient

. A = frontal area of vehicle, in m 2

. D = a coefficient derived from the coastdown procedur es in 40 CFR part 1066, as described in paragraph (b)(1)(i)(B) of thi s section.ρ = standard air density. Use ρ =1.167 kg/m 3

.

(B) Determine the value of D analytically from the data collected during coastdown testing as specified in 40 CFR 1066. 3 10, based on one of the following equations:

2 2 2

e m r r dS M A DS ES Y dt − = + +

or

2

e m r dS M A DS dt − = +

(ii) Alternate methods. You may determine a drag coefficient using an alternate method, consistent with good engineering judgment, based on wind tunnel testing, computational fluid dynamic modeling, or constant

- speed road load testing as described in §1037.521. (2) Determine the bin category level for your vehicle based on the drag area from paragraph (b)(1) of this section as shown in the fo llowing tables:High

- Roof Day Cabs Bin Level If your measured C D A (m 2 ) is . . . Then your C D input is . . .

Bin I ≥ 7.9 8.0 0. 78 79 Bin II 6 7.1-7 .9

- 7.8 0. 70 72 Bin III 5.9

- 6. 8 2-7.0 0. 62 63 Bin IV 5. 4

- 5.8 6-6.1 0. 54 56 Bin V ≤ 5. 3 5 0. 50 51 High

- Roof Sleeper Cabs Bin Level If your measured C D A (m 2 ) is . . . Then your C D input is . . .

Bin I ≥ 7. 5 6 0. 74 75 Bin II 6. 7-7. 5

- 7.4 0. 66 68 Bin III 5. 5 8 -6. 4 6 0. 58 60 Bin IV 5. 0 2 -5. 4 7 0. 50 52 Bin V ≤ 4.9 5.1 0. 46 47

Low

- Roof Day and Sleeper Cabs Bin Level If your measured C D A (m 2 ) is . . . Then your C D input is . . .

Bin I ≥ 5.1 0.77 Bin II ≤ 5.0 0.71 Mid

- Roof Day and Sleeper Cabs Bin Level If your measured C D A (m 2 ) is . . . Then your C D input is . . .

Bin I ≥ 5. 6 .5 0.87 Bin II ≤ 6.4 5.5 0.82

(3) For low- and mid

- roof tractors, you may determine your drag area bin based on the drag area bin of an equivalent high-roof tracto r. If the high-roof tractor is in Bin 1 I or Bin 2 II , then you may assume your equivalent low- and mid- roof tractors are in Bin 1 I . If the high-roof tractor is in Bin 3 III , Bin 4 IV , or Bin 5 V , then you may assume your equivalent low- and mid-roof tractors a re in Bin 2 II

. (c) Steer and drive tire rolling resistance. You must have a tire rolling resistance level (TRRL) for each tire configuration. For purposes o f this section, you may consider tires with the same SKU number to be the same configurati on. (1) Measure tire rolling resistance in kg per metric to n as specified in ISO test method 28580 (incorporated by reference in § 1037.810 ). ), except as specified in this paragraph (c). Use good engineering judgment to en sure 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 th e test procedure in Section 7 of ISO 28580 for a new bias-ply tire, perform a break-in p rocedure by running the tire at the specified test speed, load, and pressure for 60±2 m inutes. (2) For each tire design (including size), tested, measure rolling resistance of at least three different tires of that specific design and size. Perform the test at least three times once for each tire (for a total of at least nine tests per tire design ).

. Use thearithmetic mean of these results

. as your test result. You may use this value as yo ur GEM input or select a higher TRRL. You must test a t least one tire size for each tire model, and may use engineering analysis to determin e 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 a s 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. (3) If you obtain your test results from the tire manu facturer or another third party, you must obtain a signed statement from them verify ing the tests were conducted according to the requirements of this part. Such s tatements are deemed to be submissions to EPA. (4) For tires marketed as light truck tires ( and that is, tires having tire codes that begin with “LT”), have load ranges C, D, or E, use as the GEM input an adjusted rolling resistance equal to TRRL at or above the measured rolling resistance multiplied by 0.87. (d) Vehicle speed limit . If the vehicles will be equipped with a vehicle speed limiter, input the maximum vehicle speed to which the vehicl e will be limited (in miles per hour rounded to the nearest 0.1 mile per hour ) as specified in §1037.640. Otherwise leave this field blank. Use good engineering judgment to ensu re the limiter is tamper resistant. We may require you to obtain preliminary approval for your designs. (e) Vehicle weight reduction

. For purposes of this paragraph (e), high-strength steel is steel with tensile strength at or above 270 MPa. (1) Vehicle weight reduction inputs for wheels are specified relative to dual-wide tires with conventional steel wheels. For purposes of th is paragraph (e)(1), a light-weight aluminum wheel is one that weighs at least 21 lb le ss than a comparable conventional steel wheel , and a high

- strength steel wheel is one that weighs at least 8 lb less than a comparable conventional steel wheel.

. The inputs are listed in Table 4 to this section. For example, a tractor with aluminum steer wheels a nd eight (4×2) dual-wide aluminum drive wheels would have an input of 210 lb (2×21 + 8×21).

Table 4 to § 1037.520—Wheel-Related Weight Reductio ns Weight Reduction Technology Weight Reduction (lb per tire or wheel) Single-Wide Drive Tire with . . . Steel Wheel 84 Aluminum Wheel 139 Light-Weight Aluminum Wheel 147 Steer Tire or Dual-wide Drive Tire with . . . High-Strength Steel Wheel 8 Aluminum Wheel 21 Light-Weight Aluminum Wheel 30

(2) Vehicle weight reduction inputs for components other than wheels are specified relative to mild steel components . The inputs are listed in Table 5 to this section

. as specified in the following table:Table 5 to § 1037.520—Nonwheel-Related Weight Reduc tions

Weight Reduction Technologies Aluminum Weight Reduction (lb .) ) High

- Strength Steel

Weight Reduction (lb .) )
Door 20 6 Roof 60 18 Cab rear wall 49 16
Cab floor 56 18

Hood Support Structure System 15 3

Fairing Support Structure System 35 6 Instrument Panel Support Structure 5 1 Brake Drums – Drive (4) 140 11 Brake Drums – Non Drive (2) 60 8 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 Fan Shroud 10 2 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 Drive Axle Hubs (8) 160 4 Non Drive Front Hubs (2) 40 5 Driveshaft 20 5 Transmission/Clutch Shift Levers 20 4

(3) You may ask to apply the innovative technology provisions of §1037.610 for weight reductions not covered by this paragraph (e)

. (f) Extended idle reduction credit. If your tractor is equipped with idle reduction technology meeting the requirements of §1037.660 th at will automatically shut off the main engine after 300 second s or less, use 5.0 g/ton-mile as the input (or a les ser value specified in §1037.660).Otherwise leave this field blank.

§1037.521 Aerodynamic measurements. This section describes how to measure determine the aerodynamic drag area (C D A) of your vehicle using an alternative method correlated to the coastdown procedure in 40 CFR part 1065 1066 or an alternative method correlated to it

. (a) General. The primary method for measuring the aerodynamic d rag area of vehicles is specified in §0137.520 paragraph (b) and 40 CFR 1065.210. of this section. You may determine a the drag coefficient area using an alternate method, consistent with theprovisions of this section and good engineering jud gment, based on wind tunnel testing,

computational fluid dynamic modeling, or constant-s peed road load testing. ( See 40 CFR 1068.5 for provisions describing how we may evaluat e your engineering judgment .) (1)

. All drag areas measured using an alternative metho d (C D A alt ) must be adjusted to be equivalent to the corresponding drag areas that wou ld have been measured using the coastdown procedure specified under t his part. as follows: (1) Unless good engineering judgment requires other wise, assume that coastdown drag areas are proportional to drag areas measured using alternative methods. This means you may apply a single constant adjustment fa ctor (F alt-aero ) for a given alternate drag area method using the following equa tion: C D A = C D A alt

× F alt-aero

( i) Unless good engineering judgment requires otherw ise, assume that coastdown drag areas are proportional to drag areas measured using alternative methods. This means you may use a single constant adjustment factor (F alt

- aero ) for a given alternate drag area method. (ii 2 ) Determine the adjustment factor F alt-aero by performing coastdown testing and applying your alternate method on the same vehicle. Unless we approve another vehicle, the vehicle must be a Class 8, high

- roof, sleeper cab with a full aerodynamics package , pulling a standards trailer . Where you have more than one model meeting these criteria, use the model with the highest proj ected sales. If you do not have such a model

, you may use a your most comparable model

. with prior approval. If good engineering judgment allows the use of a single, co nstant value of F alt-aero , calculate it from this coastdown drag area (C D A coast ) divided by alternative drag area (C D A alt ): (iii F alt-aero = C D A coast

÷ C D A alt (3 ) Calculate you adjustment factor F alt-aero to at least three decimal places. For example, if your coastdown testing results in a dra g area of 6.430, but your wind tunnel method results in a drag area of 6.200, your adjustment factor F alt-aero would be 1.037. (b) Approval. (b) Recommended method. Perform coastdown testing as described in 40 CFR part 1066, subpart D, subject to the following additional provisions: (1) The specifications of this paragraph (b)(1) app ly when measuring drag areas for tractors. Test high-roof tractors with a standard box trailer. Test low- and mid-roof tractors without a trailer (sometimes referred to a s in a “bobtail configuration”). You may test low- and mid-roof tractors with a trailer to evaluate innovative technologies. (2) The specifications of this paragraph (b)(2) app ly for tractors and standard trailers. Use tires mounted on steel rims in a dual configura tion (except for steer tires). The tires must– (i) Be SmartWay-Verified tires or have a rolling re sistance below 5.1 kg/ton. (ii) Have accumulated at least 2,175 miles of prior use 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. (3) Calculate the drag area (C D A) in m 2 from the coastdown procedure specified in 40 CFR part 1066.(c) Approval. You must obtain preliminary approval before using any methods other

than coastdown testing to determine drag coefficien ts. Send the Designated Compliance Officer your request. Send your request for approval to the Designated Co mpliance Officer. Keep records of the information specified in this paragraph (c). Unless we specify otherwise, include this information with yo ur request. You must provide any information we require to evaluate whether you are apply the provisions of this section consistent with good engineering judgment. (1) Includ ing e all of the following for your coastdown results: (i) The name, location, and description of your tes t facilities . Include the follo wing in your description: (A) , including background/history

. (B)

, equipment and capability

. (C) , and track and facility elevation, along with the grade and size/length of the track. (ii) Test conditions for each test result

, including date and time, wind speed and direction, ambient temperature and humidity, vehicl e speed, driving distance, manufacturer name, test vehicle/model type, model y ear, applicable model engine family, tire type and rolling resistance, test weight of tractor-trailer (as tested), and driver name(s) and/or ID identifier (s). (iii) Average Cd drag area result as calculated in §1037.520(b) from at least ten valid tests, standard deviation, calculated error 40 CFR 1066, subpart D) and error bands, and total number of tests, all of the individual run results ( including number of voided or invalid tests. runs). (2) Including all Identify the name and location of the following test facilities for your wind tunnel method (if applicable ): ). Also include the following things to describe the test facility: (i) The name, location, and description of your test fa cilities. Include the following in your description: (A) Background/history. ( B ii ) The layout (with diagram), type, and

, construction (structural and material) of the wind tunnel

. ( C iii ) Wind tunnel design details: corner turning vane type and material, air settling, mesh screen specification, air straighten ing method, tunnel volume, surface area, average duct area, and circuit length

. ( D iv ) Wind tunnel flow quality: temperature control an d uniformity, airflow quality, minimum airflow velocity, flow uniformity, angularity and stability, static pressure variation, turbulence intensity, airflow a cceleration and deceleration times, test duration flow quality, and overall airf low quality achievement. ( E v ) Test/working section information: test section ty pe (e.g., open, closed, adaptive wall) and shape (e.g., circular, square, o val), length, contraction ratio, maximum air velocity, maximum dynamic pressure, noz zle width and height, plenum dimensions and net volume, maximum allowed m odel scale, maximum model height above road, strut movement rate (if ap plicable), model support, primary boundary layer slot, boundary layer elimina tion method

, and photos and diagrams of the test section.( F vi ) Fan section description: fan type, diameter, pow er, maximum rotational speed, maximum top speed, support type, mechanical drive, and sectional total weight

. ( G vii ) Data acquisition and control (where applicable): acquisition type, motor control, tunnel control, model balance, model press ure measurement, wheel drag balances, wing/body panel balances, and model exhau st simulation

. ( H viii ) Moving ground plane or rolling road (if applicabl e): 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. ( I ix ) Facility correction factors and purpose. ( c 3) Include all of the following for your computatio nal fluid dynamics (CFD) method (if applicable): (i) Official name/title of the software product. (ii) Date and version number for the software produ ct. (iii) Manufacturer/company name, address, phone num ber and web address for software product. (iv) Identify if the software code is Navier-Stokes or Lattice-Boltzmann based. (4) Include all of the following for any other meth od (if applicable): (i) Official name/title of the procedure(s). (ii) Description of the procedure. (iii) Cited sources for any standardized procedures that the method is based on. (iv) Modifications/deviations from the standardized procedures for the method and rational for modifications/deviations. (v) Data comparing this requested procedure to the coastdown reference procedure. (vi) Information above from the other methods as ap plicable to this method (e.g., source location/address, background/history). (d ) Wind tunnel methods. (1) You may measure drag areas consistent with the modified SAE procedures described in the paragraph (d) using any wind tunnel recognized by the Subsonic Aerodynamic Testing Association , consistent with . If your wind tunnel is not capable of testing in accordance with these modifie d SAE procedures, you may ask us to approve your alternate test procedures if you demon strate that your procedures produce equivalent data. For purposes of this paragraph (d ), data are equivalent if they are the same or better with respect to repeatability and un biased correlation with coastdown testing. Note that, for wind tunnels not capable o f these modified SAE procedures, good engineering judgment and the following modified SAE procedures: (1) may require you to base your alternate method adjus tment factor on more than one vehicle. You may not develop your correction facto r until we have approved your alternate method. The applicable SAE procedures a re SAE J1252, “SAE WIND TUNNEL TEST PROCEDURE FOR TRUCKS AND BUSES” (July 1 981) except that article 5.2 that specifies a minimum Reynolds n umber of 0.7 x 106 is not included and is superseded, for the purposes of thi s rulemaking, by a minimum Reynolds number of 1.0 x 106 and, SAE J1594, and SAE J2071(incorporated by reference in §1037.810). The following modificatio ns apply for SAE J1252:(i) The minimum Reynold's number (Re min ) is 1.0 x 10 6 instead of the value specified in section 5.2 of the SAE procedure. You r model frontal area at zero yaw angle may exceed the recommended 5 percent of t he active test section area, provided it does not exceed 25 percent. (ii) For full-scale wind tunnel testing, use good e ngineering judgment to select a test article (tractor and trailer) that is a reason able representation of the test article used for the reference method testing. For example , where your wind tunnel is not long enough to test the tractor with a standard 53 foot trailer, it may be appropriate to use shorter box trailer. In such a case, the correlation developed using the shorter trailer would only be valid for t esting with the shorter trailer. (iii) For reduced-scale wind tunnel testing, a one-eight h (1/8th) or larger scale model of a heavy-duty tractor and trailer must be u sed

, and the model must be of sufficient design to simulate airflow through the r adiator inlet grill and across an engine geometry representative of those commonly us ed in your test vehicle

. (2) J1594, “VEHICLE AERODYNAMICS TERMINOLOGY” (December 1994). (3) J2071, “AERODYNAMIC TESTING OF ROAD VEHICLES

- OPEN THROAT WIND TUNNEL ADJUSTMENT” (June 1994). F or wind tunnel testing, we are finalizing that manu facturers You must perform wind tunnel testing and the coastdown procedure , according the requirements final in this notice, on the same tractor model and provide the results for both methods. Conduct the wind tunnel tests should be conducted at a zero yaw angle and, if so equipped, utilizing the moving/rolling floor (i.e., the movin g/rolling floor should be on during the test

, as opposed to static) for comparison to the coastd own procedure, which corrects to a zero yaw angle for the oncoming wind. ( d e ) Computational fluid dynamics (CFD). You may measure determine drag areas using a CFD method, consistent with good engineering judg ment and the requirements of this paragraph . You must use (e) using commercially

- available CFD software code wit h a turbulence model and Navier

- Stokes formula solver, where applicable . Conduct the analysis assuming zero yaw angle, and ambient condi tions consistent with coastdown procedures. For simulating a wind tunnel test, the analysis should accurately model th at the particular

wind tunnel and assume a wind tunnel blockage rati o consistent with SAE J1252 or (incorporated by reference in §1037.810) or one that matches the selected wind tunnel, whichever is lower. For simulation of open road conditions similar to that experienced during coastdown test procedures, the C FD analysis should assume a blockage ratio of less than at or equal below 0.2 %. percent. (1) For Navier

- Stokes based Take the following steps for CFD code

, with a NavierStokes formula solver: (i) Perform an unstructured, time-accurate

, analysis with using a mesh grid size with total surface elements volume element count of between one hundred and twenty million and on e hundred and fifty at least 50 million cells using hexagonal of hexahedral and/ or polyhedral mesh cell shapes, a cell size of shape, surface elements representing the geometry consisting of no less than or equal to 1 mm on the vehicle surface 6 million elements , and a surrounding volume element size in millimeters extending to the outer boundary of the volume as descr ibed by the equation; integer of 2 to the power of n where n e quals the distance away from the vehicle surface (e.g., the cell size at 0.1mm ( n) away from the surface wouldbe 1mm [2 to the power of 0.1mm equals 1.07; the in teger of 1.07 equals 1]). nearwall cell size corresponding to a y+ value of less than 300, with the smallest cell sizes applied to local regions of the tractor and t railer in areas of high flow gradients and smaller geometry features. (ii) Perform the analysis with a k

- epsilon (k

- ε ) or a shear stress transport k

- omega (SST k

- ω ) turbulence model and mesh deformation enabled (if applicable) with boundary layer resolution of +/

- ± 95 %. (2) percent. Once result convergence is achieved, demonstrate the convergence by supplying multiple, successive convergence values for the analysis. The turbulenc e model may use k-epsilon (kε ), shear stress transport k-omega (SST k- ω ), or other commercially accepted methods. (2) For Lattice-Boltzman based CFD code, perform an unstructured, time-accurate analysis with using a mesh grid size with total surface elements of between one hundred and twenty million and one hundred and fift y at least 50 million cells using cubic volume elements and triang u l e ar and/or quadrilateral surface elements

, with a near wall cell size of less no greater than or equal to 1 6 mm on local regions of the vehicle surface, tractor

and a surrounding volume element size measured trailer in millimeters and extending to the outer boundary areas of the volume as described by the equation: integer of 2 to the power of n wher e n equals the distance away high flow gradients and smaller geometry features, with cell sizes in other areas of the mesh grid starting at twelve millimeters and increa sing in size from this value as the distance from the tractor-trailer model increases. (3) All CFD analysis should be conducted using the following conditions: (i) A tractor-trailer combination using the manufac turer’s tractor and the standard trailer, as applicable. (ii) An environment with a blockage ratio at or bel ow 0.2 percent to simulate open road conditions, a zero degree yaw angle between th e oncoming wind and the tractor-trailer combination. (iii) Ambient conditions consistent with the coastd own test procedures specified in this part. (iv) Open grill with representative back pressures based on data from the vehicle surface (e.g., the cell size at 0.1mm (n) away from the surface would be 1mm since 2 to the power of 0.1mm equals 1.07 tractor model, (v) Turbulence model and the integer mesh deformation enabled (if applicable). (vi) Tires and ground plane in motion consistent wi th and simulating a vehicle moving in the forward direction of travel. (vii) The smallest cell size should be applied to l ocal regions on the tractor and trailer in areas of high flow gradients and smallergeometry features (e.g., the apillar, mirror, visor, grille and accessories, trai ler leading and trailing edges, rear bogey, tires, and tractor-trailer gap). (viii) Simulate a speed of 1.07 equals 1). 55 mph. (4) You may ask us to allow you to perform CFD anal ysis using parameters and criteria other than those specified in this paragra ph (e), consistent with good engineering judgment, if you can demonstrate that t he specified conditions are not feasible (e.g., insufficient computing power to con duct such analysis, inordinate length of time to conduct analysis, equivalent flow characteristics with more feasiblecriteria/parameters) or improved criteria may yield better results (e.g., different mesh cell shape and size). To support this request, we may require that you supply data demonstrating that your selected parameters/criteri a will provide a sufficient level of detail to yield an accurate analysis, including com parison of key characteristics between your criteria/parameters and the criteria s pecified in paragraphs (e)(1) and (2) of this section (e.g., pressure profiles, drag build-up, and/or turbulent/laminar flow at key points on the front of the tractor and/or ov er the length of the tractor-trailer combination). (f) Yaw sweep corrections. You may optionally appl y this paragraph (f) for vehicles with aerodynamic features that are more effective at red ucing wind-averaged drag than is predicted by zero-yaw drag. You may correct your z ero-yaw drag area as follows if the ratio of the zero-yaw drag area divided by yaw swee p drag area for your vehicle is greater than 0.8065 (which represents the ratio expected for a typical aerodynamic Class 8 highroof sleeper cab tractor): (1) Determine the zero-yaw drag area and the yaw sw eep drag area for your vehicle using the same alternate method as specified in thi s subpart. Measure drag area for 0°, -6°, and +6°. Use the arithmetic mean of the - 6° and +6° drag areas as the ±6° drag area. (2) Calculate your yaw sweep correction factor (CF ys ) using the following equation:

-3 45   67° .9:; /9<: = >. ?>7@

 A<9B C:D .9:; /9<:

(3) Calculate your corrected drag area for determin ing the aerodynamic bin by multiplying the measured zero-yaw drag area by CF ys . The correction factor may be applied to drag areas measured using other procedur es. For example, we would apply CF ys to drag areas measured using the recommended coast down method. If you use an alternative method, you would also need to apply an alternative correction (F alt-aero ) and calculate the final drag area using the followi ng equation: C D A = F alt-aero · CF ys · (C D A) zero-alt (4) You may ask us to apply CF ys to similar vehicles incorporating the same design features. (5) As an alternative, you may choose to calculate the wind-averaged drag area according to SAE J1252 (incorporated by reference i n §1037.810) and substitute this value into the equation in paragraph (f)(2) of this section for the ±6° yaw-averaged drag area.

§1037.525 Special procedures for testing hybrid vehicles with power take -off. This section describes the procedure for quantifyin g the reduction in greenhouse gas emissions as a result of running power take-off (PT O) devices with a hybrid powertrain. You may ask us to modify the provisions of this sec tion to allow testing non

- electric hy brid vehicle s The procedures are written to test the PTO so tha t all the energy is produced with the engine. The full test for the hy brid vehicle is from a fully charged renewable energy storage system (RESS) to a deplete d RESS and then back to a fully charged RESS. These procedures may be used for who le vehicles or with a posttransmission hybrid system. When testing just the post-transmission hybrid system, youmust include all hardware for the PTO system. You may ask us to modify the provisions

of this section to allow testing hybrid vehicles ot her than electric-battery hybrids

, consistent with good engineering judgment. (a) Select two vehicles for testing as follows: (1) Select a vehicle with a hybrid powertrain to re present the vehicle family. If your vehicle family includes more than one vehicle model , use good engineering judgment to select the vehicle type with the maximum number of PTO circuits that has the smallest potential reduction in greenhouse gas emis sions. (2) Select an equivalent conventional vehicle as sp ecified in §1037. 610 615

. (b) Measure PTO emissions from the fully warmed-up conventional vehicle as follows: (1) Start the engine. ( (1) Without adding any additional restrictions, ins trument the vehicle with pressure transducers at the outlet of the hydraulic pump for each circuit. ( 2) Operate the vehicle PTO system with no load for at least 15 seconds. M easure the pressure and record the average value over the last 10 seconds ( p min ). Apply maximum operator demand to the PTO system until the pressure relief valve opens and pressure stabilizes; measure the pressue and re cord the average value over the last 10 seconds (

p max ). (3) Denormalize the PTO duty cycle (s) specified in Appendix II of this part . If there is only one PTO circuit, use duty using the following equation: 

## ( ) refi i max min min 

### p NP p p p = ⋅ − +

Where:

p refi = the reference pressure at each point i in the PTO cycle #1; if the re are

. NP i = the normalized pressure at each point i in the PTO cycle.

p max = the maximum pressure measured in paragraph (b)(2) of this section.

p min = the minimum pressure measured in paragraph (b)(2) of this section.

(4) If the PTO system has two PTO circuits, use repeat paragraph (b)(2) and (3) of this section for the second PTO circuit. (5) Install a system to control pressures in the PT O system during the cycle. (6) Start the engine. (7) Operate the vehicle over one or both specified of the denormalized PTO duty cycles , as applicable . Collect CO 2 emissions during operation over the specified each duty cycle (s).

. ( 3 8 ) Use the provisions of 40 CFR part 1066 to collect and measure emissions. Calculate emission rates in grams per test without rounding. ( 4 9 ) For each test, validate the pressure in each circ uit with the pressure specified from the cycle according to § 40 CFR 1065.514 and using the table below. If test does

not . Measured pressures must meet the requirements specifications in Table 1 of §1037.525 the test is void and needs t o be repeated. the following table for a valid test:Table 1 of §1037.525 – Default Statistical criteria for validating duty cycles
Parameter Pressure Slope, a 1 0. 830 950 < a 1 < 1.030 Absolute value of intercept, | a 0 | < 2.0 % of maximum mapped pressure Standard error of estimate, SEE < 10 % of maximum mapped pressure Coefficient of determination, r 2 > 0. 850 970

( 5 10 ) Continue testing over the three vehicle drive cyc les, as otherwise required by this part. ( 6 11 ) Calculate combined cycle-weighted emissions of th e four cycles as specified in paragraph (d) of this section. (c) Measure PTO emissions from the fully warmed-up hybrid vehicle as follows: (1 (1) Perform the steps in paragraphs (b)(1) through (5) of this section. (2 ) Prepare the vehicle for testing by operating it a s needed to stabilize the battery at a full state of charge. For battery electric hybrid s hybrid vehicles, we recommend running back

- to

- back PTO tests until engine operation is initiated to charge the battery. The battery should be fully charged once engine operati on stops , provided that

. The ignition is left should remain in the “on ”

. ” position. (3) Turn “off” the vehicle and PTO system off while the sampling system is being prepared. ( 2 4 ) Turn the vehicle “ and PTO system on ” such that the PTO system is functional, whether it draws power from the engine or a battery

. ( 3 5 ) Operate the vehicle over the PTO cycle(s) without turning the vehicle “ off

”,

, until the engine turns “ on ” . Once engine is “ on ” , stop the PTO cycle, but continue to leave the vehicle and PTO system “on” until the engine turns off again starts and then shuts down . The test cycle is completed once the engine turns off. shuts down. Measure emissions as described in paragraphs (b)(2) and (3) of this section. Use good engineering judgment to minimize the variabili ty in testing between the two types of vehicles. ( 4 6 ) Refer to paragraph ( d)(4 b)(9 ) of this section for cycle validation

. ( 5

. (7 ) Continue testing over the three vehicle drive cyc les, as otherwise required by this part. ( 6 8 ) Calculate combined cycle-weighted emissions of th e four cycles as specified in paragraph (d) of this section. (d) Calculate combined cycle-weighted emissions of the four cycles for vocational vehicles as follows: (1) Calculate the g/ton-mile emission rate for the driving portion of the test

as: specified in §1037.510.

*

 E F

GHI

J KLM N

 O

PQMHR  GHI = E S

. TU K V



. WX KLM   S

. SY K Z

X

. UW KLM   S

. O[ K \

U

. XO KLM  N Eq. 1037.525

- 1

Where :payload = the standard payload, in tons, as specifi ed in §1 037.705.

m 1 = grams of CO 2 emitted over the t ransient test cycle.

m 2 = grams of CO 2 emitted over the 55 mph c ruise test cycle.

m 3 = grams of CO 2 emitted over the 65 mph c rui se test cycle. (2) Calculate the g/hr emission rate for the PTO po rtion of the test by dividing the total mass emitted over the cycle (grams) by the ti me of the test (hours). For a testing where fractions of a cycle a re were run (for example

, where an engine co mplete s three cycles are completed and reaches the halfway point of a fourth PTO cycle is reached before the engine turns on to recharge the system starts and shuts down again ), use the following procedures to calculate the time of the t est

. : (i) Add up the time run for all complete tests

. (ii) For fractions of a test

, use the following equation to calculate the time

. :



# ( )
( ) circuit_1,i circuit_2,i
1 cycle

circuit_1,i circuit_2,i 1 N

i

test N

i 

### NP NP t

t t
NP NP t =

= 

### ⋅ ⋅∆

= ⋅

⋅ ⋅∆ 

# ∑

∑ Eq. § 1037.525

- 2



# ( )

( ) fraction

cycle circuit_1 circuit_2 1 2_circuits cycle

circuit_1 circuit_2 1 n t

n
n t

n NP NP t

t t

NP NP t =

=

=

= ⋅ ⋅∆

= ⋅

⋅ ⋅∆ 

# ∑

∑ Eq. §1037.525

- 3

Where:

t 1_circuit t

test = time of the incomplete test with only one PTO circuit

. t 2_circuit = time of the incomplete test with two PTO circuits

. t cycle = time of a complete cycle

. i = the number of each measurement interval. N = the total number of measurement intervals.
NP circuit_1 = Normalized pressure command from circuit 1 of th e PTO cycle. NP circuit_2 = Normalized pressure command from circuit 2 of th e PTO cycle. Let NP circuit_2 =1 if there is only one circuit.t cycle = time of a complete cycle.

(iii) Sum the time from complete cycle s (paragraph (d)(2)(i) of this section) and from partial cycles (paragraph (d)(2)(ii) of this s ection). (3) Convert the g/hr PTO result to an equivalent g/ mi value based on the assumed fraction of engine operating time during which the PTO is operating (28 %) percent) and an assumed average vehicle speed while driving (27.1 mph). The conversion factor is: Factor = (0.280)/(1.000-0.280)/(27.1 mph ) = 0.0144 hr/mi. Multiply the g/hr emission rate by 0.0144 hr/mi. (4) Divide the g/mi PTO emission rate by the standard payload and add this value to the g/ton-mile emission rate for the driving portio n of the test. (e) Follow the provisions of §1037. 610 615 to calculate improvement factors and benefits for advanced technologies.

§1037.550 Special procedures for testing post-transmission hybrid systems. This section describes the procedure for simulating a chassis test with a post-transmission hybrid system for A to B testing. The hardware that must be included in these tests is the engine, the transmission, the hybrid electric motor , the power electronics between the hybrid electric motor and the RESS, and the RESS. You may ask us to modify the provisions of this section to allow testing non-ele ctric hybrid vehicles, consistent with good engineering judgment. (a) Setup Set up the engine according to § 40 CFR 1065.110 to account for work inputs and outputs and accessory work. (b) Use the equations of this paragra ph (b) to define the torque and speed setpoints at the output shaft of the transmission (i) Calculate tot al road load force using §1066.2 10 (d)(4) (ii) Torque at transmission output shaft is defined as follows

ds
d r FR T k ⋅

= Eq. §1037.550

- 1(iii) Rotational speed at the transmission output s haft is defined as follows

d ds 2 S k
n r π ⋅

=

⋅ ⋅ Eq. §1037.550

- 2

Where:

n ds = rotational speed of drive shaft.
T ds = torque at the drive shaft.

r = radius of loaded tire.
FR = total road load force to be applied at the surfac e of the roll. k d = final drive ratio. S = linear speed of the test cycle.

(c) Follow the vehicle cycle as defined in §1037.510

. Collect CO 2 emissions during operation while operating the system over the test cycles specified duty cycle(s). in §1037.510. (d) Use the provisions of 40 CFR part 1066 to (c) Collect and measure emissions as described in 40 CFR part 1066 . Calculate emission rates in grams per ton-mile w ithout rounding. (e) Send brake signal when throttle position is equ al to zero and vehicle speed is greater than vehicle speed Determine values for A, B, C, and M for the vehicle being simulated as specified in 40 CFR part 1066. If you will appl y an improvement factor or test cycle. The brake signal should be turned “off” when the to rque measured at the transmission output shaft is less than the torque defined by equ ation 1 of this section, T ds . To prevent brake signal from dithering use good engineering ju dgment to set a delay before changing the brake state. results to multiple vehicle configurations, use val ues of A

, B

, C

, M

, k d , and

r that represent the vehicle configuration with the smallest potential reduction in greenhouse gas emissions as a result of the hybrid capability. (f (d) Calculate the transmission output shaft’s angul ar speed target for the driver model, f nref,driver , from the linear speed associated with the vehicle cycle using the following equation:

, d nrefi,driver 

### 2

i cycle 

### S k f

r



### π ⋅

=

⋅ ⋅
Where: S cyclei = vehicle speed of the test cycle for each point i

. k d = final drive ratio (the angular speed of the tran smission output shaft divided by the angular speed of the drive axle), as declared by th e manufacturer.

r = radius of the loaded tires, as declared by the ma nufacturer.

(e) Use either speed control or torque control to p rogram the dynamometer to follow the test cycle, as follows: (1) Speed control. Program dynamometers using speed control as described in this paragraph (e)(1). We recommend speed control for a utomated manual transmissions or other designs where there is a power interrupt d uring shifts. Calculate the transmission output shaft’s angular speed target fo r the dynamometer, f nref,dyno , from the measured linear speed at the dynamometer rolls using the following equation:i,ref d nrefi,dyno 

### 2 S k f

r



### π ⋅

=

⋅ ⋅
Where: 

# ( ) 

# ( ) 2 i i-1 i,ref meas,i i i i,ref-1 

### t t S FR A B S C S S M − = − + ⋅ + ⋅ +

t = elapsed time in the driving schedule as measured by the dynamometer, in seconds. Let t i-1 = 0.

d i meas,i 

### k T FR

r

⋅

=

n,i
i
d 

### 2 r f S k 

### π
⋅ ⋅ ⋅

=

Where:
T i = instantaneous measured torque at the transmissio n output shaft. f n,i = instantaneous measured angular speed of the tran smission output shaft.

(2) Torque control. Program dynamometers using torq ue control as described in this paragraph (e)(2). (i) Calculate the transmission output shaft’s torqu e target, T refi , using the following equation:

i ref,i
d 

### r FR T k ⋅

=

Where:
FR i = total road load force at the surface of the roll , calculated using the equation in 40 CFR 1066.210(d)(4), as specified in paragraph (e)(2)(ii) of this section. (ii) Calculate the total road load force based on i nstantaneous speed values, S i , calculated from the equation in paragraph (e)(1) of this section. (3 ) For each test, validate the measured transmission output shaft’s speed or torque with the torque defined by Eq. 1 of this section corresponding reference values according to § 40 CFR 1065.514(e ) and using the table 1 of this section. ). You may delete the points when the vehicle is braking or stopped. Perform the validation based on speed and torque values at the transmissio n output shaft. For steady-state tests (55 mph and 65 mph cruise), apply cycle-valid ation criteria by treating the sampling periods from the two tests as a continuous sampling period. Perform this validation based on the following parameters for ei ther speed-control or torquecontrol, as applicable:

Table 1 of §1037.550 – Default Statistical criteria for validating duty cycles

Parameter Speed Control Torque Control
Slope, a 1 0.950 < a 1 < 1.030 0. 830 950 < a 1 < 1.030
Absolute value of intercept,

| a 0 | < 2.0 % of maximum test speed < 2.0 % of maximum torque Formatted Table

Inserted CellsStandard error of estimate, SEE < 5 % of maximum test speed < 10 % of maximum torque

Coefficient of determination, r 2 > 0.970 > 0.850

(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 cycl e. The brake signal should be turned off when the torque measured at the transmission ou tput shaft is less than the reference torque. Set a delay before changing the brake stat e using good engineering judgment to prevent the brake signal from dithering. (g) The driver model should attempt be designed to follow the cycle as closely as possible and must meet the requirements of § 40 CFR 1066. 330 430 (e ). ) for transient testing and §1037.510 for steady-state testing. (h) Validate overall driver accuracy according to § 1066.330 (n). (i) Follow J2711 to correct emissions for NEC.

(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 th e cycle results and §1037.615 to calculate improvement factors and benefits for adva nced technologies.

Subpart G—Special Compliance Provisions

§ 1037.601 What compliance provisions apply to these vehicles? (a) Engine and vehicle manufacturers, as well as ow ners and operators of vehicles subject to the requirements of this part, and all other per sons, must observe the provisions of this part, the provisions of the Clean Air Act, and the following provisions of 40 CFR part 1068: (1) The exemption and importation provisions of 40 CFR part 1068, subparts C and D, apply for vehicles subject to this part 1037, ex cept that the hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 1068.2 55 do not apply for motor vehicles. (2) Manufacturers may comply with the defect report ing requirements of 40 CFR 1068.501 instead of the defect reporting requiremen ts of 40 CFR part 85. (b) Vehicles exempted from the applicable standards of 40 CFR part 86 are exempt from the standards of this part without request. Simila rly, vehicles are exempt without request if the installed engine is exempted from the applic able standards in 40 CFR part 86. (c) The prohibitions of 40 CFR 86.1854

- 12 apply for vehicles subject to the requirements of this part. The actions prohibited under this pr ovision include the introduction into U.S. commerce of a complete or incomplete vehicle subjec t to the standards of this part where the vehicle is not covered by a valid certificate o f conformity or exemption. (d) Except as specifically allowed by this part, it is a violation of section 203(a)(1) of the Clean Air Act (42 U.S.C. 7522(a)(1)) to introduce i nto U.S. commerce a tractor containing an engine not certified for use in tract ors; or to introduce into U.S. commerce a vocational vehicle containing a light heavy

- duty or medium heavy

- duty engine notcertified for use in vocational vehicles. This pro hibition generally applies especially to

the vehicle manufacturer. (e) 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 ass embly, consistent with provisions of 49 CFR 567.4. Note that such staged assembly is su bject to the provisions of 40 CFR 1068.260(c). Include your request in your applicat ion for certification, along with a summary of your staged-assembly process. You may a sk to apply this allowance to some or all of the vehicles in your vehicle family. Our approval is effective when we grant your certificate. We will not approve your request if we determine that you intend to use this allowance to circumvent the intent of this par t.

§ 1037.610 Vehicles with innovative 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 i n common use with heavy-duty vehicles before model year 2010 that are not reflec ted in the GEM simulation tool. These provisions may be applied for CO 2 emission reductions reflected using the specified test procedures, provided they are not reflected in the GEM. We will apply these provisions only for technologies that will result in measurabl e, demonstrable, and verifiable realworld CO 2 emission reductions. (b) The provisions of this section may be applied a s either an improvement factor or as a separate credit, consistent with good engineering j udgment. We recommend that you base your credit/adjustment on A to B testing of pa irs of vehicles differing only with respect to the technology in question. (1) Calculate improvement factors as the ratio of i n-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 me asured over the test procedures specified in this part. (2) Calculate separate credits (g/ton-mile) based o n the difference between the in-use emission rate with the technology and the in-use em ission rate without the technology. Multiply this difference by the number of vehicles, standard payload, and useful life. Use the separate-credit approach where good engineering judgment indicates that the actual benefit will be not be pr oportional to emissions measured over the test procedures specified in this part. (3) We may require you to discount or otherwise adj ust your improvement factor or credit to account for uncertainty or other relevant factors. (c) You may perform A to B testing by measuring emi ssions from the vehicles during chassis testing or from in-use on-road testing. We recommend that you perform on-road testing according to SAE J1321 Joint TMC/SAE Fuel C onsumption Test Procedure Type II Reaffirmed 1986-10 or SAE J1526 Joint TMC/SAE Fu el Consumption In-Service Test Procedure Type III Issued 1987-06 (see §1037.810 fo r information 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 te rms of grade. We will take into account published and relevant research in determin ing whether the grade isrepresentative. (3) The vehicle speed over the route must be repres entative of the drive-cycle weighting adopted for each regulatory subcategory. For example, if the route selected for an evaluation of a combination tractor with a s leeper cab contains only interstate driving, the improvement factor would apply only to 86 percent of the weighted result. (4) The ambient air temperature must be between 5 a nd 35°C, unless the technology requires other temperatures for demonstration. (5) We may allow you to use a Portable Emissions Me asurement System (PEMS) device for measuring CO 2 emissions during the on-road testing. (d) Send your request to the Designated Compliance Officer. Include a detailed description of the technology and a recommended tes t plan. Also state whether you recommend applying these provisions using the impro vement-factor method or the separate-credit method. We recommend that you do n ot begin collecting test data (for submission to EPA) before contacting us. For techn ologies for which the engine manufacturer could also claim credits (such as tran smissions in certain circumstances), we may require you to include a letter from the eng ine manufacturer stating that it will not seek credits for the same technology. (e) We may seek public comment on your request, con sistent with the provisions of 40 CFR 86.1866. However, we will generally not seek p ublic comment on credits or adjustments based on A to B chassis testing perform ed according to the duty-cycle testing requirements of this part or in-use testing perform ed according to paragraph (c) of this section.

§ 1037.615 Hybrid vehicles and other advanced technologies

. (a) This section applies for hybrid vehicles with r egenerative braking, vehicles equipped with Rankine-cycle engines, electric vehicles, and fuel cell vehicles. You may not generate credits for engine features for which the engines generate credits under 40 CFR part 1036. (b) Generate advanced technology emission credits f or hybrid vehicles that include regenerative braking (or the equivalent) and energy storage systems , fuel cell vehicles, and vehicles equipped with Rankine-cycle engines as follows: (1) Measure the effectiveness of the hybrid advanced system by chassis testing a vehicle equipped with the hybrid advanced system and an equivalent conventional vehicle. Test the vehicles as specified in subpart F of th is part. For purposes of this paragraph (b), a conventional vehicle is considered to be equivalent if it has the same footprint , intended (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 § 1037.525 to quantify the benefits of a hybrid system for PTO operation, the conventional vehicle must have s ame 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. Th e conventional vehicle is considered Vehicle A and the hybrid 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) – (Emis sion Rate B)]/(Emission Rate A) (ii) g/ton-mile benefit = Improvement Factor × ( Model ing GEM Result B) (iii) Emission Rates A and B are the g/ton-mile CO 2 emission rates of the conventional and hybrid advanced vehicles, respectively, as measured under the test procedures specified in this section. Model ing GEM Result B is the g/tonmile CO 2 emission rate resulting from emission modeling of the hybrid advanced vehicle as specified in § 1037.520. (3) 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 pla ce of the (Std-FEL) term. (c) See § 1037.525 for special testing provisions r elated to hybrid vehicles equipped with power take-off units. (d) You may use an engineering analysis to calculat e an improvement factor for fuel cell vehicles based on measured emissions from the fuel cell vehicle. (e) For electric vehicles, calculate CO 2 credits using an FEL of 0 g/ton-mile. (f ) (f) As specified in subpart H of this part, credits generated under this section may be used under this part 1037 outside of the averaging set in which they were gen erated

, or you may convert the credits into engine

- based credits for use used under 40 CFR part 1036 , consistent with good engineering judgment.

.

§ 1037.611 Vehicles with (g) You may certify using both provisions of this s ection and the innovative technologies

. This section applies for CO 2 reductions resulting from technologies that were technology provisions of §1037.610, provided you do not in common use before 2010 that are not reflected in the specified test procedures and double count emission models. We may allow you to generate emission credits consistent with the provisions of 40 CFR 86.1866

- 12(d). benefits.

§ 1037.620 Shipment of incomplete vehicles to secondary vehicle manufactu rers. This section specifies how manufacturers may introd uce partially complete vehicles into U.S. commerce. (a) The provisions of this section allow manufactur ers to ship partially complete vehicles to secondary vehicle manufacturers or otherwise int roduce them into U.S. commerce in the following circumstances: (1) Tractors . Manufacturers may introduce partially complete t ractors into U.S. commerce if they are covered by a certificate of co nformity for tractors and will be in their certified tractor configuration before they r each the ultimate purchasers. For example, this would apply for sleepers initially sh ipped without the sleeper compartments attached. Note that delegated assembl y provisions may apply (see 40 CFR 1068. 260 261 ). (2) Vocational vehicles. Manufacturers may introduce partially complete voc ational vehicles into U.S. commerce if they are covered by a certificate of conformity for vocational vehicles and will be in their certified vocational configuration before they reach the ultimate purchasers. Note that delegated assembly provisions may apply (see 40 CFR 1068. 260 261 ).(3) Uncertified vehicles that will be certified by secondary vehicle manufacturers. Manufacturers may introduce into U.S. commerce part ially complete vehicles for which they do not hold a certificate of conformity only as allowed by paragraph (b) of this section. (b) The provisions of this paragraph (b) generally apply where the secondary vehicle manufacturer has substantial control over the desig n and assembly of emission controls. In determining whether a manufacturer has substanti al control over the design and assembly of emission controls, we would consider th e degree to which the secondary manufacturer would be able to ensure that the engin e and vehicle will conform to the regulations in their final configurations. (1) A secondary manufacturer may finish assembly of partially complete vehicles in the following cases: (i) It obtains a vehicle that is not fully assemble d with the intent to manufacture a complete vehicle in a certified configuration. (ii) It obtains a vehicle with the intent to modify it to a certified configuration before it reaches the ultimate purchaser. For exam ple, 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 section paragraph (b) if they have a written request for such vehicles from a secondary vehicle manufacturer that will fin ish 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 manufacturer has a certificate of conform ity (or exemption/exclusion) for the vehicle and identify a valid vehicle family nam e associated with each vehicle model ordered (or the basis for an exemption/exclus ion). The original vehicle manufacturer must apply a removable label meeting t he requirements of 40 CFR 1068.45 that identifies the corporate name of the o riginal manufacturer and states that the vehicle is exempt under the provisions of § 103 7.620. The name of the certifying manufacturer must also be on the label or, alternat ively, on the bill of lading that accompanies the vehicles during shipment. The origi nal manufacturer may not apply a permanent emission control information label iden tifying the vehicle's eventual status as a certified vehicle. (3) If you are the secondary manufacturer that and you will hold the certificate (that is, the secondary manufacturer)

, you must include the following information in your application for certification: (i) Identify the original manufacturer of the parti ally 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 vehicle s will conform to the regulations in their final configuration. (Note: Th is section prohibits using the provisions of this section paragraph (b) unless you have substantial control over the design and assembly of emission controls.) (iii) State unconditionally that you will not distr ibute the vehicles without conforming to all applicable regulations.(4) If you are a secondary manufacturer and you are already a certificate holder for other families, you may receive shipment of partial ly complete vehicles after you apply for a certificate of conformity but before th e 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 pa ragraph (b)(4) if they have a written request for such vehicles from a secondary manufacturer stating that the application for certification has been submitted (i nstead of the information we specify in paragraph (b)(2) of this section). We may set ad ditional conditions under this paragraph (b)(4) to prevent circumvention of regula tory 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 vehicle family name that could be used to represent the vehicle mo del. Unless we approve otherwise in advance, you may do this only when shipping vehicles to secondary manufacturers that are certificate holders. In this case, the sec ondary manufacturer must identify the regulatory cit ation providing the applicable exemption instead of a valid vehicle family name when ordering vehicles from the origi nal manufacturer. (6 (5 ) Both original and secondary manufacturers must ke ep 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 applic able). The written request is deemed to be a submission to EPA. ( 7 6 ) These provisions are intended only to allow you secondary manufacturers to obtain or transport vehicles in the specific circum stances identified in this section so any exemption under this section expires when the v ehicle reaches the point of final assembly identified in paragraph (b)(3)(ii) of this section. ( 8 7 ) For purposes of this section, an allowance to int roduce partially complete vehicles into U.S. commerce includes a conditional allowance to sell, introduce, or deliver such vehicles into commerce in the United S tates or import them into the United States. It does not include a general allowa nce to offer such vehicles for sale because this exemption is intended to apply only fo r cases in which the certificate holder already has an arrangement to purchase the v ehicles from the original manufacturer. This exemption does not allow the ori ginal manufacturer to subsequently offer the vehicles for sale to a diffe rent manufacturer who will hold the certificate unless that second manufacturer has als o 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 s hipped to someone who is not a certificate holder. ( 9 8 ) We may suspend, revoke, or void an exemption unde r 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 your an exemption for related to a specific secondary manufacturer if that manufacture r sells vehicles that are in not in a certified configuration in violation of the re gulations. We may disallow this exemption for future shipments to the affected seco ndary manufacturer or set additional conditions to ensure that vehicles will be assembled in the certified configuration.(ii) We may void your an exemption for all the affected vehicles if you intentionally submit false or incomplete informatio n or fail to keep and provide to EPA the records required by this section. (iii) The exemption is void for a vehicle that is s hipped to a company that is not a certificate holder or for a vehicle that is shipped to a secondary manufacturer that is not in compliance with the requirements of this section. (iv) The secondary manufacturer may be liable for p enalties for causing a prohibited act where the exemption is voided due to actions on the part of the secondary manufacturer. (d) Provide instructions along with partially compl ete vehicles including all information necessary to ensure that an engine will be installe d in its certified configuration.

§1037.630 Special purpose tractors. (a) Purpose General provisions

. This section allows a vehicle manufacturer to rec lassify certain tractors as vocational tractors. Vocational tractors are treated as vocat ional vehicles

. and are exempt from the standards of §1037.106. N ote that references to “tractors” outside of this section mean non-vocatio nal tractors. (1) This allowance is intended only for vehicles t hat 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 pick up and delivery, such as those that deliver bottled beverages to retail stores. (ii) Tractors intended for offroad off-road operation (including mixed service operation), such as those with reinforced frames an d increased ground clearance. (iii) Tractors with a GCWR over 120,000 pounds. (2) Where we determine that a manufacturer is not a pplying this allowance in good faith, we may require that the manufacturer to obtain preliminary approval before using this allowance. (b) Requirements. The following requirements apply for with respect to tractors reclassified under this section and the manufacturer of the vehicle : (1) The vehicle must fully conform fully to all requirements applicable to vocational vehicles under this part. (2) Vehicles reclassified under this section must b e included in certified as a separate vehicle family. However, they remain part of the vocational regul atory sub-category and averaging set that applies for their weight cla ss. (3) You must include the following additional state ment on the vehicle’s emission control information label under §1037.135: “THIS VE HICLE WAS CERTIFIED AS A VOCATIONAL TRACTOR UNDER 40 CFR 1037.630.”. (4) You must keep records for three years to docume nt your basis for believing the vehicles will be used as vocational tractors described in paragraph (a)(1) of this section. Include in your application for certifica tion a brief description of your basis

. (c) Production limit. No manufacturer may produce more than 21,000 vehi cles under this section in any consec t utive three model year period. This means you may not exceed 6,000 in a given model year if the combined total f or the previous two years was 15,000. The production limit applies with respect to all Cl ass 7 and Class 8 tractors certified orexempted as vocational tractors. Note : that in most cases, the provisions of paragraph (a) of this section will limit the allowable number of vehicles allowed to be produced to a number lower than the production limit of this para graph (c). (d) Offroad exemption. All of the provisions of this section apply for tra ctors exempted under §1037.631, except as follows: (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 re quirements of §1037.631 instead of the requirements that would otherwise apply to vocational vehicles. Vehicles complying with the requirements of §1037.631 and us ing an engine certified to the standards of 40 CFR part 1036 are deemed to fully c onform 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 offroad off-road use. This section provides an exemption from the greenho use gas standards of this part for certain vocational vehicles intended to be used ext ensively in offroad off-road environments such as forests, oil fields, and const ruction sites. This s e xemp c tion does not exempt the engine used in the vehicle from the standards of 40 CFR part 86 or part 1036 . Note that you may not include these exempted veh icles in any credit calculations under this part

. (a) Criteria. Qualifying criteria. Vocational vehicles intended for offroad off-road use that meeting either the criteria of paragraph (a)(1) or (2) of this section are produced with exempt without request, subject to the provisions o f this section. (1) Vehicles are exempt if the tires that installed on the vehicle have a maximum speed rating at or below 55 mph. ( 2) Vehicles are exempt if they were primarily desig ned to perform work off-road (such as in oil fields, forests, or construction si tes), and they meet at least one of the criteria of paragraph (a)(2)(i) of this section and at least one of the criteria of paragraph (a)(2)(ii) of this section. (i) The vehicle must have affixed components design ed to work in an off-road environment (i.e., hazardous material equipment or off-road drill equipment) or be designed to operate at low speeds such that it i s unsuitable for normal highway operation. (ii) The vehicle must meet one of the following cri teria: (A) Have an axle that has a gross axle weight ratin g (GAWR) of 29,000 pounds. (B) Have a speed attainable in 2 miles of not more than 33 mph. (C) Have a speed attainable in 2 miles of not more than 45 mph, an unloaded vehicle weight that is not less than 95 percent of its gross vehicle weight rating (GVWR), and no capacity to carry occupants o ther than the driver and operating crew. ( b) Tractors. The provisions of this section may be applied to apply for tractors only if each tractor qualifies as a vocational tractor unde r §1037.630. (c) Recordkeeping and reporting. (1) You must keep records to document that yourexempted vehicle configurations meet all applicable requirements of this section. Keep these records for at least eight years after y ou stop producing the exempted vehicle model. We may review these records at any time. (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 recor ds at any time. (2) You must also keep records of the individual ex empted vehicles you produce, including the vehicle identification number and a d escription 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 info rmation: (i) A description of each exempted vehicle configur ation, including an explanation of why it qualifies for this exemption. (ii) The number of vehicles exempted for each vehic le configuration. (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. (3) You must include the following additional statemen t on the vehicle’s emission control information label under §1037.135: “THIS VEHICLE WAS EXEMPTED UNDER 40 CFR 1037.631.”.

§1037.640 Variable vehicle speed limiters. This section specifies provisions that apply for vehicle speed limiters (VSLs) that you model un der §1037.520. This does not apply for VSLs that you do not model under §1037.520. (a) General. The regulations of this part do not constrain how you may design VSLs for your vehicles. For example, you may design your VS L to have a single fixed speed limit or a soft-top speed limit. You may also design you r 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 sect ion that do not apply to fixed VSLs that do not expire

. (b) Definitions. The following definitions apply for purposes of th is 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 mus t represent the speed limit that applies when the VSL is adjusted to its highest set ting under paragraph (c) of this section. (i) The default speed limit for adjustable VSLs mus t 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 doe s not include speeds possible only during soft

- top operation. (iii) For expiring VSLs, the default does not inclu de speeds that are possible only after the expiration. (2) Soft-top speed limit means the highest speed li mit that applies during soft-top operation.(3) Maximum soft-top duration means the maximum amo unt of time that a vehicle could operate above the default speed limit. (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 ap plies when a vehicle is new and until it expires. (5) Expiration point means the mileage at which a v ehicle’s certified VSL expires (or the point at which the tamper protections expire). (6) Effective speed limit has the meaning given in paragraph (d) of this section. (c) Adjustments. (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 the GEM model

. (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 of the VSL are considered to be adjustable operating parameter s. Compliance is based on the vehicle being adjusted to have its the highest speed limit within this
range. (2) The following adjustments are not adjustable pa rameters: (i) Adjustments made only to account for changing t ire size or final drive ratio. (ii) Adjustments protected by encrypted controls or passwords. (iii) Adjustments possible only after the VSL’s exp iration point. (d) Effective speed limit. (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 exp iration 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 li mit that results by adjusting the VSL or other vehicle parameters co nsistent with the provisions of paragraph (c) of this section. (2) For VSLs with soft tops and/or expiration poin ts, the effective speed limit is calculated as specified in this paragraph (d)(2 ) ), which is based on 10 hours of operation per day . (i) (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 your the effective speed limit (

, rounded to the nearest 0.1 mph ) : : Effective speed = ExF * [STF* STSL + (1-STF) * DSL] + (1-ExF)*65 mph

Where:

(i) ExF = expiration point miles/1,259,000 miles (ii) STF = maximum number of allowable soft top operatio n hours per day / 3.9 hours for day cabs (or maximum miles per day / 252)(iii) STF = maximum number of allowable soft top operatio n hours per day / 7.3 hours for sleeper cabs (or maximum miles per day / 474) (iv) STSL = the soft top speed limit DSL = the default speed limit (v) DSL = the default speed limit

1037.645 In-use compliance with family emission limits (FELs). You may ask us to apply a higher in-use FEL for cer tain in-use vehicles, subject to the provisions of this section. Note that §1037.225 c ontains provisions related to changing FELs during a model year. (a) Purpose. (a) Purpose. This section is intended to address circumstances in which it is in the public interest to apply a higher in-use FEL based on forfeiture of forfeiting an appropriate number of emission credits. (b) FELs. We may apply higher in-use FELs to your vehicles as follows: (1) Where your vehicle family includes more than on e sub-family with different FELs, we may apply a higher FEL within the family t han 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 i n-use FEL to vehicles that were originally designated as part of the 200 g/ton -mile or 210 g/ton-mile subfamilies. (2) Without regard to the number of sub-families in your certified vehicle family, we may specify new sub-families with higher FELs th an were included in your final ABT report. We may apply these higher FELs a s in-use FELs for your vehicles. For example, if your vehicle family incl uded three sub-families with FELs of 200 g/ton-mile, 210 g/ton-mile, and 220 g/t on-mile, we may specify a new 230 g/ton-mile sub-family. (3) In specifying sub-families and in-use FELs, we would intend to accurately reflect the actual in-use performance of your vehic les, consistent with the specified testing and modeling provisions of this p art. (c) Equivalent families. We may apply the higher FELs to other families in other model years if they used equivalent emission controls. (d) Credit forfeiture. Where we specify higher in-use FELs under this se ction, you must forfeit CO 2 emission credits based on the difference between t he in-use FEL and the otherwise applicable FEL. Calculate the amount of credits to be forfeited using the applicable equation in §1037.705, by substituting t he otherwise applicable FEL for the standard and the in-use FEL for the otherwise appli cable FEL. ( d e ) Requests. Submit your request to the Designated Compliance Officer. Include the following in your request: (1) The vehicle family name, model year, and name/d escription of the configuration(s) affected. (2) A list of other vehicle families/configurations /model years that may be affected. (3) The otherwise applicable FEL for each configura tion along with your recommendations for higher in-use FELs. (4) Your source of credits for forfeiture.( e f ) Relation to recall. You may not request higher in-use FELs for any ve hicle families for which we have made a determination of nonconfor mance and ordered a recall. You may, however, make such requests for vehicle famili es for which you are performing a voluntary emission recall. ( f g ) Approval. EPA We may approve your request if we determine that you me e t the requirements of this section and such approval is i n the public interest. We may include appropriate conditions with our approval or approved we may approve your request with modifications.

§1037.650 Tire manufacturers. This section describes how the requirements of this part apply with respect to tire manufacturers that choose to provide test data or e mission warranties for purposes of this part. (a) Testing. You are responsible as follows for te st tires and emission test results that you provide to vehicle manufacturers for the purpose of the manufacturer submitting them to EPA for 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 manufact urer. (2) You may not cause a vehicle manufacturer to vio late the regulations by rendering inaccurate emission test results you provide (or em ission test results from testing of test tires you provide) to the vehicle manufacturer

. (3) Your provision of test tires and emission test results to vehicle manufacturers for the purpose of certifying under this part is deemed to be an agreement to provide tires to EPA for confirmatory testing under §1037.201. (b) Warranty. You may contractually agree to proce ss emission warranty claims on behalf of the manufacturer certifying the vehicle w ith respect to tires you produce. (1) Your fulfillment of the warranty requirements o f this part is deemed to fulfill the vehicle manufacturer’s warranty obligations under t his part with respect to tires you

warrant. (2) You may not cause a vehicle manufacturer to vio late the regulations by failing to fulfill the emission warranty requirements that you contractually agreed to fulfill.

§1037.655 Post-useful life vehicle modifications. This section specifies vehicle modifications that m ay occur after a vehicle reaches the end of its regulatory useful life. It does not apply with respect to mod ifications that occur within the useful life period. It also does not ap ply with respect to engine modifications or recalibrations. Note that many such modificatio ns to the vehicle during the useful life and to the engine at any time are presumed to viola te 42 U.S.C 7522(a)(3)(A). (a) General. Except as allowed by this section, it is prohibit ed for any person to remove or render inoperative any emission control device i nstalled to comply with the requirements of this part 1037. (b) Allowable modifications. You may modify a vehicle for the purpose of reduc ing emissions, provided you have a reasonable technical basis for knowing that such modification will not increase emissions of any oth er pollutant. Reasonable technical basis has the meaning given in 40 CFR 1068.30. Thi s generally requires you to haveinformation that would lead an engineer or other pe rson 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 roo f fairings after the end of the vehicle’s useful life if the vehicle will no longer be used primarily to pull box trailers. (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 hig hways with vehicle speed of 55 mile s 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 trailers on highways.

§1037.660 Automatic engine shutdown systems. This section specifies requirements that apply for certified automatic engine shutdown systems (AES) that are modeled under §1037.520. This It does not apply for AES systems that you do not model under §1037.520. (a) Minimum requirements. Your AES system must meet all of the requirements of this paragraph (a) to be modeled under §1037.520. The s ystem must shut down the engine within 300 seconds when all of the following conditions are met: (1) The transmission is set in neutral with the par king brake engaged (or the transmission is set to park if so equipped). (2) The operator has not reset the system timer wit hin the 300 seconds by changing the position of the accelerator, brake, or clutch pedal; or by some other mechanism we approve. (3) None of the override conditions of paragraph (b ) of this section are met. (b) Override conditions. The system may delay shutting the engine down whi le any of the conditions of this paragraph (b) apply. Engines equipped with auto restart may restart during override conditions. Note that these conditions allow the system to de lay shutdown or restart , but do not allow it to reset the timer. The system may delay shutdown— (1) The system may delay shutdown (1) While an exhaust emission control device is regenerating

, . The period considered to be regeneration for purp oses of this allowance must be consistent with good engineering judgment and may differ in length from the period considered to be regeneratio n for other purposes. For example, in some cases it may be appropriate to inc lude a cool down period for this purpose but not for infrequent regeneration ad justment factors. (2) The system may delay shutdown (2) If necessary while servicing the vehicle, provided the deactivation of the AES system is acco mplished using a diagnostic scan tool. The system must be automatically reacti vated when the engine is shutdown for more than 60 minutes.(3) The system may delay shutdown is Ifthe vehicle’s main battery state-ofcharge is not sufficient to allow the main engine t o be restarted. (4) The system may delay shutdow n (4) If the external ambient temperature reaches a level below which or above which the cabi n temperature cannot be maintained within reasonable heat or cold exposure threshold limit values for the health and safety of the operator (not merely comfo rt). (5) The system may delay shutdown (5) If the vehicle’s engine coolant temperature is too low according to the manufacture r's engine protection guidance. This may also apply for fuel or oil temperatures. This allows the engine to continue operating until it reaches a pre defined temperature at which the shutdown sequence of paragraph (a) of this section would resume. (6) The system may delay shutdown while the vehicle 's main engine is operating in power take-off (PTO) mode. For purposes of this paragraph (b)(6), an engine is considered to be in PTO mode when a switch or setting designating power take

off PTO mode shall be is enabled on vehicles with this utility. Switching the engine off power take

- off mode shall enable the shutdown sequence of para graph (a) to

resume.

. (c) Expiration of AES systems. The AES system may include an expiration point (i n miles) after which the AES system may be disabled. If your vehicle is equipped with an expiring AES system that expires before 1,259,000 miles adjust the model input as follows: Input = 5 g CO 2 /ton-mile * × (miles at expiration / 1,259,000 miles) (d) Adjustable parameters. Provisions that apply generally with respect to a djustable parameters also apply to the AES system operating parameters, except the fol lowing are not considered to be adjustable parameters: (1) Accelerator, brake, and clutch pedals are not considered to be adjustable parameters
, with respect to resetting the idle timer. Paramet ers associated with other timer reset mechanisms we approve are also not adjustabl e parameters. (2) Bypass parameters allowed for vehicle service u nder paragraph (b)(2) are not adjustable pa rameters of this section

. (3) Parameters that are adjustable only after the e xpiration point are not considered to be adjustable parameters under this part

.
Subpart H—Averaging, Banking, and Trading for Certification

§ 1037.701 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 §§ 1037.105 and 1037.106. Pa rticipation in this program is voluntary. (b) Section 1037.740 re stricts the use of emission credits to certain aver aging sets. (c (b ) The definitions of Subpart I of this part apply t o this subpart. The following definitions also apply: (1) Actual emission credits means emission credits you have generated that we have verified by reviewing your final report. (2) Averaging set

means a set of vehicles in which emission credits may beexchanged. Credits generated by one vehicle may on ly be used by other vehicles in the same averaging set. 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 emiss ion 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 repor t. (6) Seller means ` the entity that provides emission credits during a trade. (7) Standard means the emission standard that applies under sub part B of this part for vehicles not participating in the ABT program of th is subpart. (8) Trade means to exchange emission credits, either as a bu yer or seller. (c) Emission credits may be exchanged only within a n averaging set as specified in § 1037.740. (d) You may not use emission credits generated unde r this subpart to offset any emissions that exceed an FEL or standard, except as allowed b y §1037.645. (e) [Reserved] (e) You may trade emission credits generated from a ny number of your vehicles to the vehicle purchasers or other parties to retire the c redits. Identify any such credits in the reports described in § 1037.730. Vehicles must com ply with the applicable FELs even if you donate or sell the corresponding emission credi ts under this paragraph (e). Those credits may no longer be used by anyone to demonstr ate compliance with any EPA emission standards. (f) Emission credits may be used in the model year they are generated. Surplus emission credits may be used for past model years or banked for future model years. Surplus emission credits may sometimes be used for past mod el 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. Th e new FEL may apply only to vehicles you have not already introduced into commerce. (h) See §1037.740 for special credit provisions tha t apply for credits generated under §1037.104(d)(7), §1037.615 or 40 CFR 1036.615. (i) Unless the regulations explicitly allow it, you may not calculate credits more than once for any emission reduction. For example, if y ou generate CO 2 emission credits for a given hybrid vehicle under this part, no one may ge nerate CO 2 emission credits for the hybrid engine under 40 CFR part 1036. However, cre dits could be generated for identical engine used in vehicles that did not generate credi ts under this part.

§ 1037.705 Generating and calculating emission credits. (a) The provisions of this section apply separately for calculating emission credits by for each pollutant. (a) [Reserved] (b) For each participating family or subfamily, cal culate positive or negative emission credits relative to the otherwise applicable emissi on 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 mode l year before rounding. Round thesum of emission credits to the nearest megagram (Mg ), using consistent units throughout

the following equations: (1) For vocational vehicles: Emission credits (Mg) = (Std-FEL) × (Payload Tons) × (Volume) × (UL) × (10 -6 )

Where: Std = the emission standard associated with the specific tractor regul atory subcategory (g/ton-mile). FEL = the family emission limit for the vehicle sub family (g/ton-mile). Payload tons = the prescribed payload for each clas s in tons (2.85 tons for light heavy-duty vehicles, 5.6 tons for medium heavy-duty vehicles, and 7.5 tons for heavy heavy-duty vehicles). Volume = (projected or actual) U.S

. .- directed production volume of the vehicle subfamily subject to . For example, if you produce three configurations with the FTP standards same FEL, the subfamily production volume would be the sum of the production volumes for these three configurations

. UL = useful life of the vehicle (110,000 miles for light heavy-duty vehicles, 185,000 miles for medium heavy-duty vehicles, and 435,000 m iles for heavy heavy-duty vehicles).

(2) For tractors: Emission credits (Mg) = (Std-FEL) × (Payload tons) × (Volume) × (UL) × (10 -6 )

Where: Std = the emission standard associated with the specific tractor regul atory subcategory (g/ton-mile). FEL = the family emission limit for the vehicle sub family (g/ton-mile). Payload tons = the prescribed payload for each clas s in tons (12.5 tons for Class 7 and 19 tons for Class 8). Volume = (projected or actual) U.S

. .- directed production volume of the vehicle subfamily subject to the SET standards

. UL = useful life of the tractor (435,000 miles for Class 8 and 185,000 miles for Class 7).

(c) As described in § 1037.730, compliance with the requirements of this subpart is determined at the end of the model year based on ac tual values for U.S.-directed production volumes. See § 1 037.745 for provisions allowing you Keep appropriate records to continue document these production in cases where you have (or expect to have) a negative credit balance at the end of the y ear volumes . Do not include any of the following vehicles to calculate emission credits: (1) Vehicles that you do not certify to the CO 2 standards of this part because they are permanently exempted under subpart G of this part o r under 40 CFR part 1068. (2) Exported vehicles. (3) Vehicles not subject to the requirements of thi s part, such as those excluded under § 1037.5. (4) Any other vehicles, where we indicate elsewhere in this part 1037 that they are notto be included in the calculations of this subpart.

§ 1037.710 Averaging. (a) Averaging is the exchange of emission credits a mong your vehicle families. You may average emission credits only within the same avera ging set. (b) You may certify one or more vehicle families (o r 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 c ertification that your projected balance of all emission-credit transactions in that model y ear is greater than or equal to zero ( or that a negative balance is otherwise allowed by this part). 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 t o offset the vehicle family’s deficit by the applicable due date: the due date for the final report required in § 1037.73 0. The emission credits used to address the deficit may co me from your other vehicle families that generate emission credits in the same model ye ar (or from later model years as specified in § 1037.745), from emission credits you have banked, or from emission credits you obtain through trading.

§ 1037.715 Banking. (a) Banking is the retention of surplus emission cr edits 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 § 1037.730 as reserved credits. During the m odel year and before the due date for the final report, you may designate your reserved e mission 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 av eraging set in which they were generated.

§ 1037.720 Trading. (a) Trading is the exchange of emission credits bet ween 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 may be used only within remain subject to the averaging-set restrictions ba sed on the averaging set in which they were generated. (b) You may trade actual emission credits as descri bed 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 c ompany with which you traded emission credits. You may trade banked credits wit hin an averaging set to any certifying manufacturer. (c) If a negative emission credit balance results f rom a transaction, both the buyer and seller are liable, except in cases we deem to invol ve fraud. See § 1037.255(e) for cases involving fraud. We may void the certificates of a ll vehicle families participating in a trade that results in a manufacturer having a negat ive 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 certif ication your intent to use the provisions of this subpart for each vehicle family that will b e certified using the ABT program. You must also declare the FELs you select for the vehic le 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 applica ble standards. (b) Include the following in your application for c ertification: (1) A statement that, to the best of your belief, y ou will not have a negative balance of emission credits for any averaging set when all emi ssion 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) Detailed Calculations of projected emission credits (positi ve or negative) based on projected U.S.-directed production volumes. We may require you to include similar calculations from your other vehicle families to pr oject your net credit balance s for the model year. If you project negative emission c redits for a family or subfamily, state the source of positive emission credits you e xpect to use to offset the negative emission credits.

§ 1037.730 ABT reports. (a) If any of your vehicle families are certified u sing the ABT provisions of this subpart, you must send an end-of-year report within 90 days after the end of the model year and a final report within 270 days after the end of the m odel year. We may waive the requirement to send the end

- of year report , conditioned upon you sending the final report on time. We will not waive this requirement where you have a deficit for that model year or an outstandi ng deficit for a prior model year. (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. (2) The regulatory subcategory and emission standar ds 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 FE L 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 posi tive or negative emission credits as specified in § 1037.225. (4) The projected and actual U.S.-directed producti on volumes for the model year. If you changed an FEL during the model year, identify the actual production volume associated with each FEL. (5) Useful life. (6) Calculated positive or negative emission credit s for the whole vehicle family. Identify any emission credits that you traded, as d escribed in paragraph (d)(1) of this section. (7) If you have a negative credit balance for the a veraging set in the given modelyear, specify whether the vehicle family (or certai n subfamilies with the vehicle family) have a credit deficit for the year. Consid er for example, a manufacturer with three vehicle families (“A”, “B”, and “C”) in a giv en averaging set. If family A generates enough credits to offset the negative cre dits of family B but not enough to also offset the negative credits of family C (and t he 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 d esignates 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 mo del year is not negative (or is negative but , except as allowed under § 1037.745 ).

. (2) State whether you will reserve any emission cre dits 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 broker s. (ii) A copy of any contracts related to the trade. (iii) The vehicle families that generated emissio n credits for the trade, including the number of emission credits from each family. (2) As the buyer, you must include the following in formation in your report: (i) The corporate names of the seller and any broke rs. (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 to each vehicle family (if known). (e) Send your reports electronically to the Designa ted 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 report or fi nal 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 th e end of the model year that errors mistakenly decreased your balance of emission credi ts, you may correct the errors and recalculate the balance of emission credits. Y ou may not make these corrections for errors that are determined more than 270 days a fter 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 anytime that errors mist akenly increased your balance of emission credits, you must correct the errors and r ecalculate the balance of emission credits.

§ 1037.735 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 a t least eight years after the due date forthe end-of-year report. You may not use emission c redits 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. Store these record s 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 availabl e. We may review them at any time. (c) Keep a copy of the reports we require in §§ 103 7.725 and 1037.730. (d) Keep records of the vehicle identification numb er for each vehicle you produce that generates or uses emission credits under the ABT pr ogram. You may identify these numbers as a range. If you change the FEL after th e 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 purchase r and destination for each vehicle you produce to the extent this information is avail able. (e) We may require you to keep additional records o r to send us relevant information not required by this section in accordance with the Cle an Air Act.

§ 1037.740 What restrictions apply Restrictions for using emission credits ?

. The following restrictions apply for using emission credits: (a) Averaging sets . Except as specified in paragraph (b) of this sect ion, emission credits may be exchanged only within an averaging set. The re are three principal averaging sets for vehicles subject to this subpart. (1) Vehicles at or below 19,500 pounds GVWR that ar e subject to the standards of §1037.105. (2) V v ehicles above 19,500 pounds GVWR but at or below 33 ,000 pounds GVWR. (3) Vehicles over 33,000 pounds GVWR. (4) Note that other separate averaging sets also ap ply for emission credits not related to this subpart. For example, under § 1037.104, an additional averaging set comprises all vehicles subject to the standards of that section. Separate averaging sets also apply for engines under 40 CFR part 1036, incl uding engines used in vehicles subject to this subpart. (b) Averaging between averaging sets. Credits generated from hybrid vehicles /engines incorporating and other advanced technologies in a given . The averaging set may be used in other averaging sets under restrictions of paragraph (a) of this part section do not apply for credits generated under §1037.104(d)(7), §1037.615 or 40 CFR part 1036. 615 from hybrid vehicles with regenerative braking, or from other advanced technologies. (1) The maximum amount of credits you may bring into an averaging set is 40 the following service class groups is 60 ,000 Mg per model year

. : (c) Applying credits to prior year deficits. Where your credit balance for the prior year is negative (i.e., there was a credit deficit) you may apply only credits that are surplus after meeting your current year credit obligations. (d ) (i) Spark-ignition engines, light heavy-duty compre ssion-ignition engines, and light heavy-duty vehicles. This group comprises th e 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 l isted 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 l isted in paragraph (a)(3) of this section and 40 CFR 1036.740(a)(4). (2) The limit specified in paragraph (b)(1) of this section does not limit the amount of 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. Credits expire after five years. ( e d ) Other restrictions . Other sections of this part specify additional r estrictions for using emission credits under certain special provisions.

§ 1037.745 End-of-year CO 2 credit deficits. Except as allowed by this section, we may void the certificate of any vehicle family certified to an FEL above the applicable standard f or which you do not have sufficient credits for

by the model year when you submit your end

- of

- year deadline for submitting the final report is void

. (a) Your certificate for a vehicle family for whic h you do not have sufficient CO 2 credits will be not be void if you remedy the deficit with surplus credits within three model years. For example, if you have a credit deficit o f 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 apply only surplus credits to your defi cit. You may not apply credits to a prior

- year deficit

from an earlier model year if they were generated in a model year for which any of your vehicle families for that averagi ng set had an end-of-year credit deficit. (c) If you do not remedy the deficit with surplus c redits within three model years, we may void your certificate is void for that vehicle family. Note that voiding a certi ficate applies ab initio (that is, retroactively).

. Where the net deficit is less than the total amou nt of negative credits originally generated by the family , we will void the certificate only with respect to the number of vehicles needed to reach t he amount of the net deficit. For example, if the original vehicle family generated 5 00 Mg of negative credits, and the manufacturer’s net deficit after three years was 25 0 Mg, we would void the certificate with respect to half of the vehicles in the family.

§ 1037.750 What can happen if I do not comply with the provisions of this subpart? (a) For each vehicle family participating in the AB T program, the certificate of conformity is condition al ed upon full compliance with the provisions of this s ubpart during and after the model year. You are responsib le 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 comp ly with any provisions of this subpart. (b) You may certify your vehicle family or subfamil y to an FEL above an applicable standard based on a projection that you will have e nough emission credits to offset the deficit for the vehicle family. However, w e may void the certificate of conformity See §1036.745 for provisions specifying what happens if you cannot show in your final report that you have enough actual emission credits to off set a deficit for any pollutant in a vehicle family and the deficit is not allowed under § 1 037.745

. (c) We may void the certificate of conformity for a vehicle family if you fail to keeprecords, send reports, or give us information we re quest. Note that failing to keep

records, send reports, or give us information we re quest is also a violation of 42 U.S.C. 7522(a)(2). (d) You may ask for a hearing if we void your certi ficate under this section (see § 1037.820).

§ 1037.755 Information provided to the Department of Transportation. (a) We may require you to submit a pre

- certification compliance report to us for the upcoming model year or the year after the upcoming model year. (b) After receipt of each manufacturer’s final report a s 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 Departmen t of Transportation with CO 2 emission information and will verify the accuracy of manufacturers ’ each manufacturer’s equivalent fuel consumption data that is required to be reported by NHTSA in under 49 CFR 535.8. We will send a report to DOT for each v ehicle manufacturer based on each regulatory category and subcategory, including suff icient information for NHTSA to determine fuel consumption and associated credit va lues. See 49 CFR 535.8 to determine if NHTSA deems submission of this information to EP A 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 me aning the Act gives to them. The definitions follow: A to B testing means testing performed in pairs to allow comparis on of vehicle A to vehicle B. Act means the Clean Air Act, as amended, 42 U.S.C. 740 1 - 7671q. Adjustable parameter means any device, system, or element of design tha t someone can adjust (including those which are difficult to access) and that, if adjusted, may affect emissions or vehicle performance during emission te sting or normal in

- use operation. 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 §1037. 611 615, §1037.104(d)(7), or 40 CFR 1036.615

. Aftertreatment

means relating to a catalytic converter, particula te filter, or any other system, component, or technology mounted downstream of the exhaust valve (or exhaust port) whose design function is to decrease emission s in the vehicle exhaust before it is exhausted to the environment. Exhaust-gas recircul ation (EGR) and turbochargers are not aftertreatment. Alcohol-fueled vehicle means a vehicle that is designed to run using an a lcohol fuel.For purposes of this definition, alcohol fuels do n ot 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 § 1037.701. B

- pillar means the first vertical structure to the rear of the windshi eld or rear

- most part of the driver’s seat, whichever is further to the rear. Note: the first vertical structure to the rear of the windshield is generally the stru cture of the body into which the driver’ s door closes. Cab-complete vehicle means a vehicle that is first sold as an incomplet e vehicle that substantially includes its cab. Vehicles known com mercially as chassis-cabs, cabchassis, box-deletes, bed-deletes, cut-away vans ar e considered cab-complete vehicles. For purposes of this definition, a cab includes a s teering column and passenger compartment. Note a vehicle lacking some component s of the cab is a cab-complete vehicle if it substantially includes the cab. Calibration means the set of specifications and tolerances spe cific to a particular design, version, or application of a component or a ssembly capable of functionally describing its operation over its working range. Carbon-related exhaust emissions (CREE) has the meaning given in 40 CFR 600.002. Note that CREE represents the combined mass of carb on emitted as HC, CO, and CO 2 , expressed as having a molecular weight equal to tha t of CO 2

. Carryover

means relating to certification based on emission data generated from an earlier model year. Certification means relating to the process of obtaining a certi ficate of conformity for a vehicle family that complies with the emission st andards and requirements in this part. Certified emission level means the highest deteriorated emission level in a vehicle family for a given pollutant from either transient or steady-state testing. Class means relating to GVWR classes, as follows: (1) Class 2b means heavy-duty motor vehicles at or below 10,000 pounds GVWR. (2) Class 3 means heavy-duty motor vehicles above 10,000 pound s GVWR but at or below 14,000 pounds GVWR. (3) Class 4 means heavy-duty motor vehicles above 14,000 pound s GVWR but at or below 16,000 pounds GVWR. (4) Class 5 means heavy-duty motor vehicles above 16,000 pound s GVWR but at or below 19,500 pounds GVWR. (5) Class 6 means heavy-duty motor vehicles above 19,500 pound s GVWR but at or below 26,000 pounds GVWR. (6) Class 7 means heavy-duty motor vehicles above 26,000 pound s GVWR but at or below 33,000 pounds GVWR. (7) Class 8 means heavy-duty motor vehicles above 33,000 pound s GVWR. Complete vehicle has the meaning given in the definition of vehicle in this section. Compression-ignition means relating to a type of reciprocating, interna l-combustion engine that is not a spark-ignition engine. Curb weight

has the meaning given in 40 CFR 86.1803, consisten t with theprovisions of § 1037.140.

Date of manufacture means the date on which the ce rtifying vehicle manufacturer completes its manufacturing operations, except as f ollows: (1) Where the certificate holder is an engine manuf acturer 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 asse mbly 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. Designated Compliance Officer means the Manager, Heavy-Duty and Nonroad Engine Group (6405-J), U.S. Environmental Protection Agen cy, 1200 Pennsylvania Ave., NW., Washington, DC 20460. Designated Enforcement Officer means the Director, Air Enforcement Division (2242A), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460. Deteriorated emission level means the emission level that results from applyin g the appropriate deterioration factor to the official em ission result of the emission-data vehicle. Note that where no deterioration factor a pplies, references in this part to the deteriorated emission level mean the official emission result. Deterioration factor

means the relationship between emissions at the en d of useful life and emissions at the low-hour test point, expressed in one of the following ways: (1) For multiplicative deterioration factors, the r atio of emissions at the end of useful life to emissions at the low-hour test point. (2) For additive deterioration factors, the differe nce between emissions at the end of useful life and emissions at the low-hour test poin t. Driver model means an automated controller that si mulates a person driving a vehicle. Electric vehicle means a vehicle that does not include an engine, a nd is powered solely by an external source of electricity and/or solar power. Note that this does not include hybrid

- electric hybrid or fuel-cell vehicles that use a chemical fuel suc h as gasoline, diesel fuel, or hydrogen. Electric vehic les may also be referred to as all-electric vehicles to distinguish them from hybrid

- electric vehicles. Emission control system means any device, system, or element of design tha t controls or reduces the emissions of regulated pollutants fr om a vehicle. Emission-data vehicle means a vehicle that is tested for certification. This includes vehicle tested to establish deterioration factors. Emission-related maintenance means maintenance that substantially affects emiss ions or is likely to substantially affect emission deter ioration. 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 to not to be a motor vehicle is excluded from this part. (2) Certain vehicles are excluded from the requirem ents of this part under § 1037.5. (3) Specific regulatory provisions of this part may exclude a vehicle generally subject tothis part from one or more specific standards or re quirements of this part.

Exempted has the meaning given in 40 CFR 1068.30. Family emission limit (FEL) means an emission level declared by the manufactur er 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 repla ces. Note that an FEL may apply as a “subfamily” emission limit. Fuel system

means all components involved in transporting, met ering, 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-inject ion components, and all fuel-system vents. It also includes components for controlling evapora tive emissions, such as fuel caps, purge valves, and carbon canisters. Fuel type means a general category of fuels such as diesel f uel or natural gas. There can be multiple grades within a single fuel type, s uch as high-sulfur or low-sulfur diesel fuel. Good engineering judgment has the meaning given in 40 CFR 1068.30. See 40 C FR 1068.5 for the administrative process we use to eva luate good engineering judgment. 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. Gross combination weight rating (GCWR) means the v alue specified by the vehicle manufacturer as the maximum weight of a loaded vehi cle and trailer, consistent with good engineering judgment. For example, compliance with SAE J2807 is general ly considered to be consistent with good engineering j udgment, especially for Class 3 and smaller vehicles. Gross combined wei ght rating (G C WR) means the value specified by the vehicle manufacturer as the maximum weight of a loaded vehi cle 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 a nd smaller vehicles. Heavy-duty engine means any engine used for (or fo r which the engine manufacturer could reasonably expect to be used for ) motive power in a heavy-duty vehicle. Heavy

- d uty engine means any engine used for (or for which the engine manufacturer could reasonably expect to be used for) motive powe r in a heavy

- duty vehicle. Heavyduty 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. Hybrid engine or hybrid powertrain means an engine or powertrain that includes energy storage features other than a conventional b attery system or conventional flywheel. Supplemental electrical batteries and hy draulic accumulators are examples of hybrid energy storage systems Note that certain p rovisions in this part treat hybrid engines and powertrains intended for vehicles that include regenerative braking different than those intended for vehicles that do not includ e regenerative braking. Hybrid vehicle means a vehicle that includes energy storage featu res (other than a conventional battery system or conventional flywhee l) in addition to an internalcombustion 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 n ot include regenerative braking. Hydrocarbon (HC) means the hydrocarbon group on which the emission standards are based for each fuel type. For alcohol-fueled vehic les, HC means nonmethane hydrocarbon equivalent (NMHCE) for exhaust emission s and total hydrocarbon equivalent (THCE) for evaporative emissions. For a ll 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 someo ne to distinguish a particular vehicle from other similar vehicles. Incomplete vehicle has the meaning given in the definition of vehicle in this section. Innovative technology means technology certified under §1037. 611 610

. Light-duty truck

means any motor vehicle rated at or below 8,500 po unds GVWR with a curb weight at or below 6,000 pounds and bas ic vehicle frontal area at or below 45 square feet, which is: (1) Designed primarily for purposes of transportati on of property or is a derivation of such a vehicle; or (2) Designed primarily for transportation of person s and has a capacity of more than 12
persons; or (3) Available with special features enabling off-st reet 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 emissi ons and represents the undeteriorated emission level. This would generall y involve approximately 4000 miles of operation. Low rolling resistance tire means a tire on a voca tional vehicle with a TRRL at or below of 7.7 kg/metric ton, a steer tire on a tract or with a TRRL at or below 7.7 kg/metric ton, or a drive tire on a tractor with a TRRL at or below 8.1 kg/metric ton. Manufacture means the physical and engineering process of desi gning, 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 a vehicle or 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 or vehi cles for resale. Medium-duty passenger vehicle (MDPV) has the meani ng given in 40 CFR 86.1803. Model year

means the manufacturer’s annual new model producti on 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 na med, may not begin before January 2 of the previous calendar year, and it must end by D ecember 31 of the named calendar
year. (1) The manufacturer who holds the certificate of c onformity for the vehicle must assign the model year based on the date when its ma nufacturing operations are completed relative to its annual model year period. In unusual circumstances wherecompletion of your assembly is delayed, we may allo w you to assign a model year one year earlier, provided it does not affect which regulatory requirements will apply. (2) Unless a vehicle is being shipped to a seconda ry manufacturer that will hold the certificate of conformity, the model year must be a ssigned prior to introduction of the vehicle into U.S. commerce. The certifying manufac turer must redesignate the model year if it does not complete its manufacturing oper ations 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 ca lendar year of its introduction into U.S. commerce unless the certifying manufacturer as signs a later date. Motor vehicle has the meaning given in 40 CFR 85.1703. New motor vehicle means a motor vehicle meeting the criteria of eith er paragraph (1) or (2) of this definition. New motor vehicles may be complete or incomplete. (1) A motor vehicle for which the ultimate purchase r has never received the equitable or legal title is a new motor vehicle . This kind of vehicle might commonly be thought o f as "brand new" although a new motor vehicle may include previously used parts. Under this definition, the vehicle is new from the time i t is produced until the ultimate purchaser receives the title or places it into service, which ever 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 c ertificate of conformity, but is not in the certified configurati on or otherwise does not comply with the conditions of the certificate. Nonconforming vehicle means a vehicle not covered by a certificate of co nformity that would otherwise be subject to emission standar ds. Nonmethane hydrocarbons (NMHC) means the sum of all hydrocarbon species except methane, as measured according to 40 CFR par t 1065. Official emission result means the measured emission rate for an emission-d ata vehicle on a given duty cycle before the applicatio n of any required deterioration factor, but after the applicability of regeneration adjustm ent factors. Owners manual means a document or collection of documents prepar ed by the vehicle manufacturer for the owners or operators to describe appropriate vehicle maintenance, applicable warranties, and any other i nformation related to operating or keeping the vehicle. The owners manual is typicall y provided to the ultimate purchaser at the time of sale. Oxides of nitrogen has the meaning given in 40 CFR 1065.1001. Particulate trap means a filtering device that is designed to physi cally 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, on e percent of 1,493 is 14.93. Placed into service means put into initial use for its intended purpos e. Power take-off (PTO) means a secondary engine shaft or other system on a vehicle (or equivalent) that provides substantial auxiliary power for purp oses unrelated to vehicle propulsion or normal vehicle accessories such as ai r 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 auxi liary equipment

, such as a boom ona bucket truck. You may ask us to consider other equivalent auxil iary power

configurations (such as those with hybrid vehicles) as power take-off systems. Rechargeable Energy Storage System (RESS) means th e component(s) of a hybrid engine or vehicle that store recovered energy for l ater use, such as the battery system in an electric hybrid vehicle. Regulatory sub-category means one of following groups: (1) Spark-ignition vehicles subject to the standard s of § 1037.104. Note that this category includes most gasoline-fueled heavy-duty pickup tru cks and vans. (2) All other vehicles subject to the standards of § 1037.104. Note that this category includes most diesel-fueled heavy-duty pickup truck s and van. (3)Vocational vehicles at or below 19,500 pounds GV WR. (4) Vocational vehicles at or above 19,500 pounds G VWR but below 33,000 pounds GVWR. (5) Vocational vehicles over 33,000 pounds GVWR. (6) Low and mid - - roof day cab tractors at or above 26,000 pounds GVWR but below 33,000 pounds GVWR. (7) High Mid- roof tractors at or above 26,000 pounds GVWR but b elow 33,000 pounds GVWR. (8) Low High- roof day cab tractors at or above 26,000 pounds GVWR but below 33,000 pounds GVWR. (9) Low roof sleeper cab tractors at or above 33,000 pounds GVWR. ( 10 ) Mid

- roof day cab tractors at or above 33,000 pounds GVW R. ( 10) Low-roof sleeper cab tractors at or above 33,00 0 pounds GVWR. ( 11) Mid -roof day cab tractors at or above 33,000 pounds GV WR. (12) Mid- roof sleeper cab tractors at or above 33,000 pounds GVWR. ( 1 2 ) High roof day cab tractors at or above 33,000 pou nds GVWR. ( 13) High -roof day cab tractors at or above 33,000 pounds GV WR. (14) High- roof sleeper cab tractors at or above 33,000 pounds GVWR. Relating to as used in this section means relating to somethin g in a specific, direct manner. This expression is used in this section onl y 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 he ight of the vehicle configured to have its maximum height that will occur during actual us e, 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, disassemblin g, cleaning, or replacing components or systems period ically to keep a part or system from failing, malfunctioning, or wearing prematurely. I t also may mean actions you expect are necessary to correct an overt indication of failure or malfunction for which periodicmaintenance is not appropriate.

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 . This includes cabs accessible from the driver’s compartment and those accessible from outside the vehicle. Small manufacturer

means a manufacturer meeting the criteria specifie d in 13 CFR 121.201. For manufacturers owned by a parent compa ny, the production limit applies to the production of the parent company and all its su bsidiaries and the employee limit applies and revenue limits apply to the total number of employees and total revenue of the parent company and all its subsidiaries. Spark-igni tion means relating to a gasolinefueled engine or any other type of engine with a sp ark plug (or other sparking device) and with operating characteristics significantly simila r to the theoretical Otto combustion cycle. Spark-ignition engines usually use a thrott le to regulate intake air flow to control power during normal operation. Standard payload means the vehicle payload assumed for each class in tons for modeling and calculating emission credits. There a re three standard payloads: (1) 2.85 tons for light heavy-duty vehicles. (2) 5.6 tons for medium heavy-duty vehicles. (3) 7.5 tons for heavy heavy-duty vehicles. Standard trailer

has the meaning given in § 1037.501. Suspend has the meaning given in 40 CFR 1068.30. Test sample means the collection of vehicles selected from the population of a vehicle family for emission testing. This may include test ing 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 rolling resistance level (TRRL) means a value with units of kg/metric ton that represents that rolling resistance of a tire config uration. TRRLs are used as inputs to the GEM model under §1037.520. Note that a manufacture r may assign a value higher than the measured rolling resistance of a tire configura tion. Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This g enerally means the combined mass of organic compounds measur ed by the specified procedure for measuring total hydrocarbon, expressed as a hydroca rbon with an atomic hydrogen-tocarbon 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 contribu tions of non-oxygenated hydrocarbons, alcohols and aldehydes, or other orga nic 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 CF R 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 ca rried in the cab, sleeper compartment, or toolboxes. Examples of vehicles that are simila r to tractors but that are not tractors under this part include dromedary tractors, automob ile haulers, straight trucks with trailers hitches, and tow trucks. Note that the provisions of this part that apply fortractors do not apply for tractors that are classif ied as vocational tractors under §1037.630. 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 th e one currently in production. U.S.-directed production volume means the number of vehicle units, subject to the requirements of this part, produced by a manufactur er 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 require d to comply with all applicable emission standards. Vehicle means equipment intended for use on highways that meets the criteria of paragraph (1)(i) or (ii) of this definition, as fol lows: (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 tr ansmission, and a frame. (Note: For purposes of this definition, any electrical, mechan ical, and/or hydraulic devices attached to engines for the purpose of powering whe els are considered to be transmissions.) (ii) A piece of equipment that is intended for self -propelled use on highways becomes a vehicle when it includes a passenger compartment attached to a frame with axles. (2) Vehicles 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) attac hed or a fully functional vehicle that is designed to pull a trailer . 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 when it is first sold as a vehicle and is not certified as a complete vehicle

. . Incomplete vehicles may also be cab-complete vehicles. This may include vehicles sold to secondary vehic le manufacturers. Incomplete vehicle s may also be cab

- complete vehicles. (iii) The primary use of the terms “complete vehicl e” and “incomplete vehicle” are to distinguish whether a vehicle is complete when it i s first sold as a vehicle. (iv) You may ask us to allow you to certify a vehic le as incomplete if you manufacture the engines and sell the unassembled ch assis components, as long as you do not produce and sell the body components necessa ry to complete the vehicle. (3) Equipment such as trailers that are not self-pr opelled are not “vehicles” under this part 1037 , but may be considered part of a “motor 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 hav e no hardware or software differences related to measured or modeled emissions may be inc luded in the same vehicle configuration. Note that vehicles with hardware o r software differences related to measured or modeled emissions are considered to be different configurations even if theyhave the same GEM inputs and FEL. Vehicles within a vehicle configuration differ only

with respect to normal production variability or fa ctors unrelated to measured or modeled emissions. Vehicle family has the meaning given in § 1037.230. Vehicle service class means a vehicle’s weight class as specified in thi s definition. Note that, while vehicle service class is similar to primary intended service class for engines, they are not necessarily the same. For ex ample, a medium heavy-duty vehicle may include a light heavy-duty engine. Note also that while spark-ignition engines do not have a primary intended service class, vehicles using spark-ignition engines have a vehicle service class. (1) Light heavy-duty vehicles are those vehicles wi th GVWR below 19,500 pounds. Vehicles In this class include heavy-duty pickup tr ucks and vans, motor homes and other recreational vehicles, and some straight truc ks with a single rear axle. Typical applications would include personal transportation, light-load commercial delivery, passenger service, agriculture, and construction. ( b 2 ) Medium heavy-duty engines vehicles are those vehicles with GVWR from 19,500 to 33,000 pounds. Vehicles in this class in clude school buses, straight trucks with a single rear axle, city tractors, and a variety of special purpo se vehicles such as small dump trucks, and refuse trucks. Typical appli cations would include commercial short haul and intra-city delivery and pickup. ( c 3 ) Heavy heavy-duty engines vehicles are those vehicles with GVWR above 33,000 pounds. Vehicles in this class include tractors, u rban buses, and other heavy trucks. Vehicle subfamily or subfamily means a subset of a vehicle family including vehic les subject to the same FEL(s). Vocational means relating to a vehicle subject to the standar ds of § 1037.105 (including vocational tractors). Vocational tractor means a vehicle classified as a vocational tractor under §1037.630. 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 Prote ction Agency and any authorized representatives.

§ 1037.805 Symbols, acronyms, and abbreviations. The following symbols, acronyms, and abbreviations apply to this part:
ABT Averaging, banking, and trading. AECD auxiliary emission control device. C D drag coefficient. C D A drag area. CFD computational fluid dynamics. CFR Code of Federal Regulations. CH 4 methane. CO carbon monoxide. CO 2 carbon dioxide. CREE carbon-related exhaust emissions.
DF deterioration factor. DOT Department of Transportation. EPA Environmental Protection Agency.ETW equivalent test weight. FEL Family Emission Limit.
g grams. GAWR gross axle weight rating. GCWR gross combination weight rating. GVWR gross vehicle weight rating. GWP global-warming potential. HC hydrocarbon. ISO International Organization for Standardization. kg kilograms.

m meter.

mm millimeter mph miles per hour. N 2 O nitrous oxide. NARA National Archives and Records Administration. NHTSA National Highway Transportation Safety Admini stration. NIST National Institute of Standards and Technology. NMHC nonmethane hydrocarbons. NMHCE nonmethane hydrocarbon equivalent. NOx oxides of nitrogen (NO and NO 2 ). NTE not

- to

- exceed. PM particulate matter.
RBM PTO resisting bending moment. power take-off. RGWP RESS relative global

- warming potential. rechargeable energy storage system. RPM revolutions per minute. SAE Society of Automotive Engineers. SEA Selective enforcement audit. THC total hydrocarbon. THCE total hydrocarbon equivalent. TRU SKU transportation refrigeration Stock-keeping unit.
TRRL Tire rolling resistance level. U.S.C. United States Code. VIN VSL vehicle identification number speed limiter

. WF work factor.

§ 1037.810 Incorporation by reference. (a) The documents referenced in this section have been Certain material is incorporated by reference in into this part . The incorporation by reference was approved by with the approval of the Director of the Federal Register in accordance with under 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be inspected at the U.S. Environmental Protection Agency, Office of Air and Radiation, 1200 Pennsylva nia Ave., NW., Washington, DC 20460, phone (202) 272

– 0167, or at the National Archives and Records Admin istration (NARA). For information on the availability of this m aterial at NARA, call 202

– 741

– 6030, or go to: http://www.archives.gov/federal_register/code_of_fe deral_regulations/ibr_locations.html and is available from the sources listed below: (a) Certain material is incorporated by reference i nto 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 notice of the change in the Federal Register and the material must be available to the public. All approved material is a vailable for inspection at U.S. EPA, Air and Radiation Docket and Information Center, 1301 C onstitution Ave., NW., RoomB102, 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_fe deral_regulations/ibr_locations.html and is available from the sources listed below:

. (b) International Organization for Standardization , Case Postale 56, CH-1211 Geneva 20, Switzerland, (41) 22749 0111, www.iso.org, or c entral@iso.org. (1) ISO /DIS

– 28580:2009 “INSERT TRR TITLE”; (E) “Passenger car, truck and bus tyres – Methods of measuring rolling resistance – S ingle point test and correlation of measurement results”, First Edition, July 1, 2009; IBR approved for § 1037.520(c). (2) [Reserved] (c) GEM Model U.S . EPA has published the GEM computer model , Office of Air and Radiation, 2565 Plymouth Road, Ann Arbor, MI 48105, www.epa.gov/: (1) GEM simulation tool, Version 2.0, [Insert signa ture date]; 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 softwar e is also available for download at
www.epa.gov

. This IBR is approved for § 1 037.520. /otaq/climate/gemodel.htm. (2) [Reserved] (d) SAE Material. The following material is availab le from the Society of Automotive Engineers. Copies of these materials may be obtaine d from Society of Automotive Engineers World Headquarters, 400 Commonwealth Dr., Warrendale, PA 15096–0001, phone (877) 606–7323 (U.S. and Canada) or (724) 776 –4970 (outside the U.S. and Canada), or at http://www.sae.org. (1) SAE J1252, SAE Wind Tunnel Test Procedure for T rucks and Buses, Revised July 1981, IBR approved for § 1037.521(d), (e), and (f). (2) SAE J1594, Vehicle Aerodynamics Terminology, Re vised July 2010, IBR approved for § 1037.521(d). (3) SAE J2071, Aerodynamic Testing of Road Vehicles - Open Throat Wind Tunnel Adjustment, Revised June 1994, IBR approved for § 1 037.521(d).

§ 1037.815 What provisions apply to confidential information ? ? The provisions of 40 CFR 1068.10 apply for informat ion you consider confidential.

§ 1037.820 Requesting a hearing

. . (a) You may request a hearing under certain circums tances, 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 ma ke 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 subst antial 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 subm it and record data or other information. Unless we specify otherwise, store re quired records in any format and onany 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 promptl y 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, 40 CFR 1068.25, and 40 CFR 1068.101 describe your obligation to report truthful and complete informat ion. This includes information not related to certification. Failing to properly repor t information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may i nvolve civil or criminal penalties. (c) Send all reports and requests for approval to t he 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 sectio n. Such records are also deemed to be submissions to EPA. Keep these records for eight y ears unless the regulations specify a different period. We may require you to send us th ese records whether or not you are a certificate holder. (e) Under the Paperwork Reduction Act (44 U.S.C. 35 01 et seq), the Office of Management and Budget approves the reporting and re cordkeeping specified in the applicable regulations. The following items illust rate the kind of reporting and recordkeeping we require for vehicles regulated und er this part: (1) We specify the following requirements related t o vehicle certification in this part 1037: (i) In subpart C of this part we identify a wide ra nge of information required to certify vehicles. (ii) In subpart G of this part we identify several reporting and recordkeeping items for making demonstrations and getting approval rela ted to various special compliance provisions. For example, equipment manufacturers must submit reports and keep records related to the flexibility provisions in § 1 037.625. (iii) In § 1037.725, 1037.730, and 1037.735 we spec ify certain records related to averaging, banking, and trading. (2) We specify the following requirements related t o testing in 40 CFR part 1066: (i) In 40 CFR 1065.2 we give an overview of princip les for reporting information. (ii) In 40 CFR 1065.10 and 1065.12 we specify infor mation needs for establishing various changes to published test procedures. (iii) In 40 CFR 1065.25 we establish basic guidelin es for storing test information. (iv) In 40 CFR 1065.695 we identify data that may b e appropriate for collecting during testing of in-use vehicles using portable an alyzers.

Appendix I to part 1037 — Heavy-duty Transient Chas sis Test CycleTime Speed Speed
sec. mph m/s

1 0.00 0.00

2 0.00 0.00

3 0.00 0.00

4 0.00 0.00

5 0.00 0.00

6 0.00 0.00

7 0.41 0.18

8 1.18 0.53

9 2.26 1.01

10 3.19 1.43

11 3.97 1.77

12 4.66 2.08

13 5.32 2.38

14 5.94 2.66

15 6.48 2.90

16 6.91 3.09

17 7.28 3.25

18 7.64 3.42

19 8.02 3.59

20 8.36 3.74

21 8.60 3.84

22 8.74 3.91

23 8.82 3.94

24 8.82 3.94

25 8.76 3.92

26 8.66 3.87

27 8.58 3.84

28 8.52 3.81

29 8.46 3.78

30 8.38 3.75

31 8.31 3.71

32 8.21 3.67

33 8.11 3.63

34 8.00 3.58

35 7.94 3.55

36 7.94 3.55

37 7.80 3.49

38 7.43 3.32

39 6.79 3.04

40 5.81 2.60

41 4.65 2.08

42 3.03 1.35

43 1.88 0.84

44 1.15 0.51 45 1.14 0.51

46 1.12 0.50

47 1.11 0.50

48 1.19 0.53

49 1.57 0.70

50 2.31 1.03

51 3.37 1.51

52 4.51 2.02

53 5.56 2.49

54 6.41 2.87

55 7.09 3.17

56 7.59 3.39

57 7.99 3.57

58 8.32 3.72

59 8.64 3.86

60 8.91 3.98

61 9.13 4.08

62 9.29 4.15

63 9.40 4.20

64 9.39 4.20

65 9.20 4.11

66 8.84 3.95

67 8.35 3.73

68 7.81 3.49

69 7.22 3.23

70 6.65 2.97

71 6.13 2.74

72 5.75 2.57

73 5.61 2.51

74 5.65 2.53

75 5.80 2.59

76 5.95 2.66

77 6.09 2.72

78 6.21 2.78

79 6.31 2.82

80 6.34 2.83

81 6.47 2.89

82 6.65 2.97

83 6.88 3.08

84 7.04 3.15

85 7.05 3.15

86 7.01 3.13

87 6.90 3.08

88 6.88 3.08

89 6.89 3.08

90 6.96 3.11

91 7.04 3.15 92 7.17 3.21

93 7.29 3.26

94 7.39 3.30

95 7.48 3.34

96 7.57 3.38

97 7.61 3.40

98 7.59 3.39

99 7.53 3.37

100 7.46 3.33

101 7.40 3.31

102 7.39 3.30

103 7.38 3.30

104 7.37 3.29

105 7.37 3.29

106 7.39 3.30

107 7.42 3.32

108 7.43 3.32

109 7.40 3.31

110 7.39 3.30

111 7.42 3.32

112 7.50 3.35

113 7.57 3.38

114 7.60 3.40

115 7.60 3.40

116 7.61 3.40

117 7.64 3.42

118 7.68 3.43

119 7.74 3.46

120 7.82 3.50

121 7.90 3.53

122 7.96 3.56

123 7.99 3.57

124 8.02 3.59

125 8.01 3.58

126 7.87 3.52

127 7.59 3.39

128 7.20 3.22

129 6.52 2.91

130 5.53 2.47

131 4.36 1.95

132 3.30 1.48

133 2.50 1.12

134 1.94 0.87

135 1.56 0.70

136 0.95 0.42

137 0.42 0.19

138 0.00 0.00 Formatted Table139 0.00 0.00

140 0.00 0.00

141 0.00 0.00

142 0.00 0.00

143 0.00 0.00

144 0.00 0.00

145 0.00 0.00

146 0.00 0.00

147 0.00 0.00

148 0.00 0.00

149 0.00 0.00

150 0.00 0.00

151 0.00 0.00

152 0.00 0.00

153 0.00 0.00

154 0.00 0.00

155 0.00 0.00

156 0.00 0.00

157 0.00 0.00

158 0.00 0.00

159 0.00 0.00

160 0.00 0.00

161 0.00 0.00

162 0.00 0.00

163 0.00 0.00

164 0.00 0.00

165 0.00 0.00

166 0.00 0.00

167 0.00 0.00

168 0.00 0.00

169 0.00 0.00

170 0.00 0.00

171 0.00 0.00

172 1.11 0.50

173 2.65 1.18

174 4.45 1.99

175 5.68 2.54

176 6.75 3.02

177 7.59 3.39

178 7.75 3.46

179 7.63 3.41

180 7.67 3.43

181 8.70 3.89

182 10.20 4.56

183 11.92 5.33

184 12.84 5.74

185 13.27 5.93 186 13.38 5.98

187 13.61 6.08

188 14.15 6.33

189 14.84 6.63

190 16.49 7.37

191 18.33 8.19

192 20.36 9.10

193 21.47 9.60

194 22.35 9.99

195 22.96 10.26

196 23.46 10.49

197 23.92 10.69

198 24.42 10.92

199 24.99 11.17

200 25.91 11.58

201 26.26 11.74

202 26.38 11.79

203 26.26 11.74

204 26.49 11.84

205 26.76 11.96

206 27.07 12.10

207 26.64 11.91

208 25.99 11.62

209 24.77 11.07

210 24.04 10.75

211 23.39 10.46

212 22.73 10.16

213 22.16 9.91

214 21.66 9.68

215 21.39 9.56

216 21.43 9.58

217 20.67 9.24

218 17.98 8.04

219 13.15 5.88

220 7.71 3.45

221 3.30 1.48

222 0.88 0.39

223 0.00 0.00

224 0.00 0.00

225 0.00 0.00

226 0.00 0.00

227 0.00 0.00

228 0.00 0.00

229 0.00 0.00

230 0.00 0.00

231 0.00 0.00

232 0.00 0.00 233 0.00 0.00

234 0.00 0.00

235 0.00 0.00

236 0.00 0.00

237 0.00 0.00

238 0.00 0.00

239 0.00 0.00

240 0.00 0.00

241 0.00 0.00

242 0.00 0.00

243 0.00 0.00

244 0.00 0.00

245 0.00 0.00

246 0.00 0.00

247 0.00 0.00

248 0.00 0.00

249 0.00 0.00

250 0.00 0.00

251 0.00 0.00

252 0.00 0.00

253 0.00 0.00

254 0.00 0.00

255 0.00 0.00

256 0.00 0.00

257 0.00 0.00

258 0.00 0.00

259 0.50 0.22

260 1.57 0.70

261 3.07 1.37

262 4.57 2.04

263 5.65 2.53

264 6.95 3.11

265 8.05 3.60

266 9.13 4.08

267 10.05 4.49

268 11.62 5.19

269 12.92 5.78

270 13.84 6.19

271 14.38 6.43

272 15.64 6.99

273 17.14 7.66

274 18.21 8.14

275 18.90 8.45

276 19.44 8.69

277 20.09 8.98

278 21.89 9.79

279 24.15 10.80280 26.26 11.74

281 26.95 12.05

282 27.03 12.08

283 27.30 12.20

284 28.10 12.56

285 29.44 13.16

286 30.78 13.76

287 32.09 14.35

288 33.24 14.86

289 34.46 15.40

290 35.42 15.83

291 35.88 16.04

292 36.03 16.11

293 35.84 16.02

294 35.65 15.94

295 35.31 15.78

296 35.19 15.73

297 35.12 15.70

298 35.12 15.70

299 35.04 15.66

300 35.08 15.68

301 35.04 15.66

302 35.34 15.80

303 35.50 15.87

304 35.77 15.99

305 35.81 16.01

306 35.92 16.06

307 36.23 16.20

308 36.42 16.28

309 36.65 16.38

310 36.26 16.21

311 36.07 16.12

312 35.84 16.02

313 35.96 16.08

314 36.00 16.09

315 35.57 15.90

316 35.00 15.65

317 34.08 15.24

318 33.39 14.93

319 32.20 14.39

320 30.32 13.55

321 28.48 12.73

322 26.95 12.05

323 26.18 11.70

324 25.38 11.35

325 24.77 11.07

326 23.46 10.49 327 22.39 10.01

328 20.97 9.37

329 20.09 8.98

330 18.90 8.45

331 18.17 8.12

332 16.48 7.37

333 15.07 6.74

334 12.23 5.47

335 10.08 4.51

336 7.71 3.45

337 7.32 3.27

338 8.63 3.86

339 10.77 4.81

340 12.65 5.66

341 13.88 6.20

342 15.03 6.72

343 15.64 6.99

344 16.99 7.60

345 17.98 8.04

346 19.13 8.55

347 18.67 8.35

348 18.25 8.16

349 18.17 8.12

350 18.40 8.23

351 19.63 8.78

352 20.32 9.08

353 21.43 9.58

354 21.47 9.60

355 21.97 9.82

356 22.27 9.96

357 22.69 10.14

358 23.15 10.35

359 23.69 10.59

360 23.96 10.71

361 24.27 10.85

362 24.34 10.88

363 24.50 10.95

364 24.42 10.92

365 24.38 10.90

366 24.31 10.87

367 24.23 10.83

368 24.69 11.04

369 25.11 11.23

370 25.53 11.41

371 25.38 11.35

372 24.58 10.99

373 23.77 10.63 374 23.54 10.52

375 23.50 10.51

376 24.15 10.80

377 24.30 10.86

378 24.15 10.80

379 23.19 10.37

380 22.50 10.06

381 21.93 9.80

382 21.85 9.77

383 21.55 9.63

384 21.89 9.79

385 21.97 9.82

386 21.97 9.82

387 22.01 9.84

388 21.85 9.77

389 21.62 9.67

390 21.62 9.67

391 22.01 9.84

392 22.81 10.20

393 23.54 10.52

394 24.38 10.90

395 24.80 11.09

396 24.61 11.00

397 23.12 10.34

398 21.62 9.67

399 19.90 8.90

400 18.86 8.43

401 17.79 7.95

402 17.25 7.71

403 16.91 7.56

404 16.75 7.49

405 16.75 7.49

406 16.87 7.54

407 16.37 7.32

408 16.37 7.32

409 16.49 7.37

410 17.21 7.69

411 17.41 7.78

412 17.37 7.77

413 16.87 7.54

414 16.72 7.47

415 16.22 7.25

416 15.76 7.05

417 14.72 6.58

418 13.69 6.12

419 12.00 5.36

420 10.43 4.66421 8.71 3.89

422 7.44 3.33

423 5.71 2.55

424 4.22 1.89

425 2.30 1.03

426 1.00 0.45

427 0.00 0.00

428 0.61 0.27

429 1.19 0.53

430 1.61 0.72

431 1.53 0.68

432 2.34 1.05

433 4.29 1.92

434 7.25 3.24

435 10.20 4.56

436 12.46 5.57

437 14.53 6.50

438 16.22 7.25

439 17.87 7.99

440 19.74 8.82

441 21.01 9.39

442 22.23 9.94

443 22.62 10.11

444 23.61 10.55

445 24.88 11.12

446 26.15 11.69

447 26.99 12.07

448 27.56 12.32

449 28.18 12.60

450 28.94 12.94

451 29.83 13.34

452 30.78 13.76

453 31.82 14.22

454 32.78 14.65

455 33.24 14.86

456 33.47 14.96

457 33.31 14.89

458 33.08 14.79

459 32.78 14.65

460 32.39 14.48

461 32.13 14.36

462 31.82 14.22

463 31.55 14.10

464 31.25 13.97

465 30.94 13.83

466 30.71 13.73

467 30.56 13.66 468 30.79 13.76

469 31.13 13.92

470 31.55 14.10

471 31.51 14.09

472 31.47 14.07

473 31.44 14.05

474 31.51 14.09

475 31.59 14.12

476 31.67 14.16

477 32.01 14.31

478 32.63 14.59

479 33.39 14.93

480 34.31 15.34

481 34.81 15.56

482 34.20 15.29

483 32.39 14.48

484 30.29 13.54

485 28.56 12.77

486 26.45 11.82

487 24.79 11.08

488 23.12 10.34

489 20.73 9.27

490 18.33 8.19

491 15.72 7.03

492 13.11 5.86

493 10.47 4.68

494 7.82 3.50

495 5.70 2.55

496 3.57 1.60

497 0.92 0.41

498 0.00 0.00

499 0.00 0.00

500 0.00 0.00

501 0.00 0.00

502 0.00 0.00

503 0.00 0.00

504 0.00 0.00

505 0.00 0.00

506 0.00 0.00

507 0.00 0.00

508 0.00 0.00

509 0.00 0.00

510 0.00 0.00

511 0.00 0.00

512 0.00 0.00

513 0.00 0.00

514 0.00 0.00 515 0.00 0.00

516 0.00 0.00

517 0.00 0.00

518 0.00 0.00

519 0.00 0.00

520 0.00 0.00

521 0.00 0.00

522 0.50 0.22

523 1.50 0.67

524 3.00 1.34

525 4.50 2.01

526 5.80 2.59

527 6.52 2.91

528 6.75 3.02

529 6.44 2.88

530 6.17 2.76

531 6.33 2.83

532 6.71 3.00

533 7.40 3.31

534 7.67 3.43

535 7.33 3.28

536 6.71 3.00

537 6.41 2.87

538 6.60 2.95

539 6.56 2.93

540 5.94 2.66

541 5.45 2.44

542 5.87 2.62

543 6.71 3.00

544 7.56 3.38

545 7.59 3.39

546 7.63 3.41

547 7.67 3.43

548 7.67 3.43

549 7.48 3.34

550 7.29 3.26

551 7.29 3.26

552 7.40 3.31

553 7.48 3.34

554 7.52 3.36

555 7.52 3.36

556 7.48 3.34

557 7.44 3.33

558 7.28 3.25

559 7.21 3.22

560 7.09 3.17

561 7.06 3.16562 7.29 3.26

563 7.75 3.46

564 8.55 3.82

565 9.09 4.06

566 10.04 4.49

567 11.12 4.97

568 12.46 5.57

569 13.00 5.81

570 14.26 6.37

571 15.37 6.87

572 17.02 7.61

573 18.17 8.12

574 19.21 8.59

575 20.17 9.02

576 20.66 9.24

577 21.12 9.44

578 21.43 9.58

579 22.66 10.13

580 23.92 10.69

581 25.42 11.36

582 25.53 11.41

583 26.68 11.93

584 28.14 12.58

585 30.06 13.44

586 30.94 13.83

587 31.63 14.14

588 32.36 14.47

589 33.24 14.86

590 33.66 15.05

591 34.12 15.25

592 35.92 16.06

593 37.72 16.86

594 39.26 17.55

595 39.45 17.64

596 39.83 17.81

597 40.18 17.96

598 40.48 18.10

599 40.75 18.22

600 41.02 18.34

601 41.36 18.49

602 41.79 18.68

603 42.40 18.95

604 42.82 19.14

605 43.05 19.25

606 43.09 19.26

607 43.24 19.33

608 43.59 19.49 609 44.01 19.67

610 44.35 19.83

611 44.55 19.92

612 44.82 20.04

613 45.05 20.14

614 45.31 20.26

615 45.58 20.38

616 46.00 20.56

617 46.31 20.70

618 46.54 20.81

619 46.61 20.84

620 46.92 20.98

621 47.19 21.10

622 47.46 21.22

623 47.54 21.25

624 47.54 21.25

625 47.54 21.25

626 47.50 21.23

627 47.50 21.23

628 47.50 21.23

629 47.31 21.15

630 47.04 21.03

631 46.77 20.91

632 45.54 20.36

633 43.24 19.33

634 41.52 18.56

635 39.79 17.79

636 38.07 17.02

637 36.34 16.25

638 34.04 15.22

639 32.45 14.51

640 30.86 13.80

641 28.83 12.89

642 26.45 11.82

643 24.27 10.85

644 22.04 9.85

645 19.82 8.86

646 17.04 7.62

647 14.26 6.37

648 11.52 5.15

649 8.78 3.93

650 7.17 3.21

651 5.56 2.49

652 3.72 1.66

653 3.38 1.51

654 3.11 1.39

655 2.58 1.15 656 1.66 0.74

657 0.67 0.30

658 0.00 0.00

659 0.00 0.00

660 0.00 0.00

661 0.00 0.00

662 0.00 0.00

663 0.00 0.00

664 0.00 0.00

665 0.00 0.00

666 0.00 0.00

667 0.00 0.00

668 0.00 0.00Appendix II to part 1037 — Power Take-Off Test Cycl e 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 13.0

Refuse 6 363 0.0 38.0

Refuse 7 373 0.0 53.0

Refuse 8 384 0.0 73.0

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 0.0PART 1068

— GENERAL COMPLIANCE PROVISIONS FOR HIGHWAY,

STATIONARY, AND NONROAD PROGRAMS 17. The authority citation for part 1068 continues to r ead as follows: Authority: 42 U.S.C. 7401

- 7671q.

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) -LRRD – Low rolling resistance tires (d rive) -LRRS – Low rolling resistance tires (s teer)

Aerodynamic Components -ATS – Aerodynamic side skirt and/or fuel tank fai ring -ARF – Aerodynamic roof fairing -ARFR – Adjustable height aerodynamic roof fairing -TGR – Gap reducing fairing (tractor to trailer ga p)

Other Components -ADVH – Vehicle includes advanced hybrid technolog y components -ADVO – Vehicle includes other advanced technology components (i.e., nonhybrid system) -INV – Vehicle includes innovative technology comp onents

18. 1. The heading of part 1068 is revised to read as set forth above.

Subpart A

– [Amended]

19. 1. 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 w ith respect to the following engines

and to e quipment using the following engines (including own ers, operators, parts manufacturers, and persons performing maintenance): (1) Locomotives we regulate under 40 CFR part 1033. (2) Heavy

- duty motor vehicles and motor vehicle engines to the extent and in th e

manner specified in 40 CFR parts 85, 86, 1036 and 1037. (3) Land

- based nonroad compression

- ignition engines we regulate under 40 CFR part 1039. (4) Stationary compression

- ignition engines certified using the provisions of 40 CFR part 1039, as indicated i n 40 CFR part 60, subpart IIII. (5) Marine compression

- ignition engines we regulate under 40 CFR part 1042

. (6) Marine spark

- ignition engines we regulate under 40 CFR part 1045

. (7) Large nonroad spark

- ignition engines we regulate under 40 CFR part 1048

. (8) Stationary spark

- ignition engines certified using the provisions of 40 CFR parts 1048 or 1054, as indicated in 40 CFR part 60, subpa rt JJJJ. (9) Recreational engines and vehicles we regulate u nder 40 CFR part 1051 (such as snowmobiles and off

- highway m otorcycles). (10) Small nonroad spark

- ignition engines we regulate under 40 CFR part 1054

. (b) This part does not apply to any of the followin g engine or vehicle categories, except as specified in paragraph (d) of this section or as specified in other part s: (1) Light

- duty motor vehicles (see 40 CFR part 86). (2) Highway motorcycles (see 40 CFR part 86). (3) Aircraft engines (see 40 CFR part 87). (4) Land

- based nonroad compression

- ignition engines we regulate under 40 CFR part 89. (5) Small nonroad spark

- ig nition engines we regulate under 40 CFR part 90. (c) Paragraph (a) of this section identifies the pa rts of the CFR that define emission standards and other requirements for particular typ es of engines and equipment. This part 1068 refers to each of these o ther 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 appl y separate from the schedule for certifying engines to new emission standards, as fo llows: (1) The provisions of § § 1 068.30 and 1068.310 apply for stationary spark

- ignition engines built on or after Janua ry 1, 2004, and for stationary compression

- ignition engines built on or after January 1, 2006. (2) The provisions of § § 1 068.30 and 1068.235 apply for the types of engines/equipment listed in paragraph (a) of this s ection beginning January 1, 2004, if they are used solely for competition.

Subpart C

– [Amended] Section 1068.210 is revised to read as follows: §1068.210 What are the provisions for exempting test engines/equipment? (a) We may exempt engines/equipment that you will u se for research, investigations, studies, demonstrations, or training. Note that yo u are not required to get an exemptionunder this section for engines that are exempted un der other provisions of this p art, such

as the manufacturer

- owned exemption in §1068.215. (b) Anyone may ask for a testing exemption. (c) If you are a certificate holder, you may reque st an exemption for engines/equipment you intend to include in test programs over a two

- year period

. (1) In your request, tell us the maximum number of engines/equipment involved and describe how you will make sure exempted engines/eq uipment are used only for this testing. For example, if the exemption will involv e other companies using your engines/e quipment, describe your plans to track individual u nits so you can properly report on their final disposition. (2) Give us the information described in paragraph (d) of this section if we ask for it. (d) If you are not a certificate holder, do all th e f ollowing things: (1) Show that the proposed test program has a vali d purpose under paragraph (a) of this section. (2) Show you need an exemption to achieve the purp ose of the test program (time constraints may be a basis for needing an exemption , but the cost of certification alone is not). (3) Estimate the duration of the proposed test pro gram and the number of engines/equipment involved. (4) Allow us to monitor the testing. (5) Describe how you will ensure that you stay wit hin this exemption’s pur poses. Address at least the following things: (i) The technical nature of the test. (ii) The test site. (iii) The duration and accumulated engine/equipment operation associated with the test. (iv) Ownership and control of the engines/equipment involved in the test. (v) The intended final disposition of the engines/e quipment. (vi) How you will identify, record, and make availa ble the engine/equipment identification numbers. (vii) The means or procedure for recording test res ults. (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 ex emption. It will also include any necessary terms and conditions, which normally requ ire you to do the following: (1) Stay within the scope of the exemption. (2) Create and maintain adequate records that we m ay inspect. (3) Add a permanent label to all engines/equipment exempted under this section, consistent with §1068.45, with at least the followi ng items: (i) The label heading "EMISSION CONTROL INFORMATION". (ii) Your corporate name and trademark. (iii) Engine displacement, family identification, a nd model year of the engine/equipment (as applicable), or whom to contac t for further information. (iv) One of these statements (as applicable): (A) “THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.”(B) “THIS EQUIPMENT IS EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.” (4) Tell us wh en the test program is finished. (5) Tell us the final disposition of the engines/e quipment. (6) Send us a written confirmation that you meet t he terms and conditions of this exemption.

20. 1. Section 1068.235 is revised to read as follows: § 1068.235 What are the provisions for exempting engines/equipment used solely for competition? (a) New engines/equipment you produce that are used solely for competition are generally excluded from emission standards. See the standard

- setting parts for specific provision s where applicable. (b) If you modify any nonroad engines/equipment aft er they have been placed into service in the United States so they will be used s olely for competition, they are exempt without request. This exemption applies only to the prohibition i n §1068.101(b)(1) and is valid only as long as the engine/equipment is used solely for competition. You may not use the provisions of this paragraph (b) to circumv ent the requirements that apply to the sale of new competition engines under the standard

- set ting part. (c) If you modify any nonroad engines/equipment und er paragraph (b) of this section, you must destroy the original emission labels. If you l oan, lease, sell, or give any of these engines/equipment to someone else, you must tell th e new owner (or operator, if applicable) in writing that they may be used only f or competition.

Subpart D

– [Amended]

Section 1068.325 is revised to read as follows: §1068.325 What are the temporary exemptions for imported engines/equipment? You may import engines/equipment under certain temp orary exemptions, subject to the conditions in this section. We may ask U.S. Custom s and Border Protection to require a specific bond amount to make sure you comply with t he requirements of this subpart. You may not sell or lease one of these engines/equi pment 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 unl ess it conforms to a certific ate of conformity or it qualifies for one of the permanent exemptions in §1068.315. (a) Exemption for repairs or alterations. You may temporarily import nonconforming engines/equipment under bond solely for repair or a lteration, subject to our advance

a pproval as described in paragraph (j) of this secti on. You may operate the engine/equipment in the United States only as neces sary to repair it, alter it, or ship it to or from the service location. Export the engine/eq uipment directly after servicing is complete. (b) Testing exemption. You may temporarily import nonconforming engines/eq uipment under bond for testing if you follow the requiremen ts of §1068.210, subject to ouradvance approval as described in paragraph (j) of t his section. You may opera te the

engines/equipment in the United States only as need ed to perform tests. This exemption expires one year after you import the engine/equipm ent unless we approve an extension. The engine/equipment must be exported before the ex emption expires. You may sell or lease the engines/equipment consistent with the pro visions of §1068.210. (c) Display exemption. You may temporarily import nonconforming engines/eq uipment under bond for display if you follow the requiremen ts of§1068.220, subject to our advanc e approval as described in paragraph (j) of this se ction. This exemption expires one year after you import the engine/equipment, unl ess we approve your request for an extension. We may approve an extension of up to on e more year for each request, but no more than three years total. The engine/equipment must be exported by the time the exemption expires or directly after the display con cludes, whichever comes first. (d) Export exemption . You may temporarily import nonconforming engines /equipment to expo rt them, as described in §1068.230. You may operat e the engine/equipment in the United States only as needed to prepare it for expo rt. 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. (e) Diplomatic or military exemption . You may temporarily import nonconforming engines/equipment without bond if you represent a f oreign government in a diplomatic or military capacity. In y our request to the Designated Compliance Officer (s ee §1068.305), include either written confirmation from the U.S. S tate Department that you qualify for this exemption or a copy of your orders for militar y duty in the United States. We will rely on the S tate Department or your military orders to determin e when your diplomatic or military status expires, at which time you must export your exempt engines/equipment. (f) Delegated

- assembly exemption . You may import a nonconforming engine for final assembly u nder the provisions of §1068.261. You may sell or lease the engines/equipment consistent with the provisions of §1068.261. (g) Exemption for partially complete engines . You may import an engine if another company already has a certificate of conformity an d will be modifying the engine to be in its final certified configuration or a final exempt configuration under the provisions of §1068.262. You may also import a partially complet e engine by shipping it from one of your facilities to another under the pr ovisions of §1068.260(c). If you are importing a used engine that becomes new as a result of importa tion, you must meet all the requirements that apply to original engine manufact urers under §1068.262. You may sell or lease the engines consistent with th e provisions of §1068.262. (h) [Reserved] (i) [Reserved] (j) Approvals . For the exemptions in this section requiring our approval, you must send a request to the Designated Compliance Officer before importing the engines/equipment. We will approve your r equest if you meet all the applicable requirements and conditions. If another section separately requires that you req uest approval for the exemption, you may combine the information requirements in a singl e request. Include the following information in your request: (1) Identify the importer of the engine/equipment a nd the applicable postal address, e

mail address, and telephone number.(2) Identify the engine/equipment owner and the app licable postal address, e

- mail address, and telephone number. (3) Id entify the engine/equipment by model number (or nam e), serial number, and original production year. (4) Identify the specific regulatory provision unde r which you are seeking an exemption. (5) Authorize EPA enforcement officers to conduct i nspections or testing as allowed under the Clean Air Act. (6) Include any additional information we specify f or demonstrating that you qualify for the exemption. PART 1039— CONTROL OF EMISSIONS FROM NEW AND INUSE NONROAD COMPRESSION-IGNITION ENGINES

21. 33. The authority citation for part 1039 continues to r ead as follows: Authority: 42 U.S.C. 7401-7671q.

Subpart F—[Amended]

22. 34. Section 1039.510 is amended by revising paragraph ( b) before the equation to read as follows: §1039.510 Which duty cycles do I use for transient testing?

* * * * * (b) The transient test sequence consists of an init ial run through the transient duty cycle from a cold start, 20 minutes with no engine operat ion, then a final run through the same transient duty cycle. Calculate the official trans ient emission result from the following equation: * * * * *

PART 1065—ENGINE-TESTING PROCEDURES 23. 35. The authority citation for part 1065 continues to r ead as follows: Authority: 42 U.S.C. 7401-7671q.

Subpart A—[Amended]

24. 36. Section 1065.1 is amended by adding paragraph (h) t o read as follows: §1065.1 Applicability. * * * * * (h) 40 CFR part 1066 describes how to measure emiss ions from vehicles that are subject to standards in g/mile or g/kilometer. Those vehic le testing provisions extensively reference portions of this part 1065. See 40 CFR p art 1066 and the standard-setting part for additional information.

25. 37. Section 1065.15 is amended by revising paragraph (e ) to read as follows: §1065.15 Overview of procedures for laboratory and field testing. * * * * *(e) The following figure illustrates the allowed me asurement configurations described in

this part 1065:Figure 1 of §1065.15—Default test procedures and ot her specified procedures.

Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake- specific Emissions for Transient Duty Cycle Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required Alternate procedure approval required for PM Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake- specific Emissions for Transient Duty Cycle Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required for PM Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake- specific Emissions for Transient Duty Cycle Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required Alternate procedure approval required for PM Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake- specific Emissions for Transient Duty Cycle Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required for PM

Power

Continuous

Raw Gaseous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake-specific Emissions for Steady-state Duty Cycle Testing

Emissions Rate Total Work

Default procedures
Other specified procedures Alternate procedure approval required Power

Continuous

Raw Gaseous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake-specific Emissions for Steady-state Duty Cycle Testing

Emissions Rate Total Work

Default procedures
Other specified procedures Power

Continuous

Raw Gaseous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake-specific Emissions for Steady-state Duty Cycle Testing

Emissions Rate Total Work

Default procedures
Other specified procedures Alternate procedure approval required Power

Continuous

Raw Gaseous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake-specific Emissions for Steady-state Duty Cycle Testing

Emissions Rate Total Work

Default procedures
Other specified procedures

Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying Dilution Ratio Full Flow Brake- specific Emissions for Field Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying Dilution Ratio Full Flow Brake- specific Emissions for Field Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying Dilution Ratio Full Flow Brake- specific Emissions for Field Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying Dilution Ratio Full Flow Brake- specific Emissions for Field Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified proceduresPower

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying Dilution Ratio Full Flow Brake- specific Emissions for Field Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying Dilution Ratio Full Flow Brake- specific Emissions for Field Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying Dilution Ratio Full Flow Brake- specific Emissions for Field Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying Dilution Ratio Full Flow Brake- specific Emissions for Field Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures

Power

Continuous

Raw Gaseous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake-specific Emissions for Steady-state Duty Cycle Testing

Emissions Rate Total Work

Default procedures
Other specified procedures Alternate procedure approval required Power

Continuous

Raw Gaseous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake-specific Emissions for Steady-state Duty Cycle Testing

Emissions Rate Total Work

Default procedures
Other specified procedures Power

Continuous

Raw Gaseous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake-specific Emissions for Steady-state Duty Cycle Testing

Emissions Rate Total Work

Default procedures
Other specified procedures Alternate procedure approval required Power

Continuous

Raw Gaseous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake-specific Emissions for Steady-state Duty Cycle Testing

Emissions Rate Total Work

Default procedures
Other specified procedures

Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake- specific Emissions for Transient Duty Cycle Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required Alternate procedure approval required for PM Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake- specific Emissions for Transient Duty Cycle Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required for PM Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake- specific Emissions for Transient Duty Cycle Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required Alternate procedure approval required for PM Power

Continuous Fuel & BSFC Torque & Speed Total Emissions

Batch

Constant Dilution Ratio Partial Flow Dilute

Varying

Dilution Ratio Full Flow Brake- specific Emissions for Transient Duty Cycle Testing

Emissions Rate Total Work

Raw Gaseous

Default procedures
Other specified procedures Alternate procedure approval required for PM38. Section 10 39 10 65.20 is amended by revising paragraphs (a) introdu ctory text, (a)(1), and (e) to read as follows: §1065.20 Units of measure and overview of calculations. (a) System of units . The procedures in this part generally follow the International System of Units (SI), as detailed in NIST Special Publicat ion 811, “Guide for the Use of the International System of Units (SI),” which we incor porate by reference in §1065.1010. This document is available on the Internet at http://physics.nist.gov/Pubs/SP811/contents.html. The following exceptions apply: (1) We designate angular speed rotational frequency speed

, f n , of an engine’s crankshaft in revolutions per minute ( r ev r /min), rather than the SI unit of reciprocal radians per second s ( 1 rad second (rad /s). This is based on the commonplace use of r ev r /min in many engine dynamometer laboratories. Also, we use the symbol f n to identify rotational frequency in rev/min, rather than the SI convention of using n

. This avoids confusion with our usage of the symbol n for a molar quantity. * * * * * (b) * * * (e) Rounding

. You are required to round certain final values, suc h as final emission values. You may round intermediate values when tra nsferring data as long as you maintain at least six significant digits (which req uires more than six decimal places for values less than 0.1), or all significant digits if fewer than six digits are available. Unless the standard-setting part specifies otherwise, round only final values, do not round other intermediate values. Round values to the number of significant digits necessary to match the number of decimal places of the applicable stan dard or specification as described in this paragraph (e). For information not related to standards or Note that specifications

, use good engineering judgment to record the appropr iate number expressed as percentages have infinite precision (as described i n paragraph (e)(7) of significant digits. this section). Use the following rounding convention, which is c onsistent with ASTM E29 and NIST SP 811 and ASTM E29 (incorporated by reference in §1065.1010): (1) If the first (left-most) digit to be removed i s less than five, remove all the appropriate digits without changing the digits that remain. Fo r example, 3.141593 rounded to the second decimal place is 3.14. (2) If the first digit to be removed is greater tha n five, remove all the appropriate digits and increase the lowest-value remaining digit by on e. For example, 3.141593 rounded to the fourth decimal place is 3.1416. (3) If the first digit to be removed is five with a t least one additional non-zero digit following the five, remove all the appropriate digi ts and increase the lowest-value remaining digit by one. For example, 3.141593 roun ded to the third decimal place is 3.142. (4) If the first digit to be removed is five with n o additional non-zero digits following the five, remove all the appropriate digits, then increase the lowest-value remaining digit by one if it is odd and leave it unchanged if it is ev en. For example, 1.75 and 1.750 rounded to the first decimal place are 1.8; while 1.85 and 1.850 rounded to the first decimal place are also 1.8. Note that this rounding procedure wi ll always result in an even number for the lowest-value digit. (5) This paragraph (e)(5) applies if the regulation specifies rounding to something an increment other than decimal places or powers of ten (to the nearest 0.01, 0.1, 1, 10, 100,etc.). To round numbers for these special cases, d ivide the quantity by the specified

rounding increment. Round the result to the neares t whole number as described in paragraphs (e)(1) through (4) of this section. Mul tiply the rounded number by the specified rounding increment. This value is the de sired result. For example, to round 0.90 to the nearest 0.2, divide 0.90 by 0.2 to get a result of 4.5, which rounds to 4. Multiplying 4 by 0.2 gives 0.8, which is the result of rounding 0.90 to the nearest 0.2. (6) The following tables further illustrate the rou nding procedures specified in this paragraph (e):

Quantity Rounding Increment

10 1 0.1 0.01 3.141593 0 3 3.1 3.14 123,456.789 123,460 123,457 123,456.8 123,456.79 5.500 10 6 5.5 5.50 4.500 0 4 4.5 4.50

Quantity Rounding Increment

25 3 0.5 0.02 229.267 225 228 229.5 229.26 62.500 50 63 62.5 62.50 87.500 100 87 87.5 87.50 7.500 0 6 7.5 7.50

(7 )(i) ) This paragraph (e)(7) applies where we specify a parameter limit or tolerance as some percentage of another value ; divide (such as ±2 % of a maximum concentration). You may show compliance with such specifications ei ther by applying the parameter by percentage to the other total value ; determine the final value to calculate an absolute limit, or by rounding converting the absolute value to a percentage by di viding it by the quotient as described in this paragraph (e) assumin g total value. (i) Do not round either value ( the specified absolute limit or the calculated percentage has infinite precision, ), except as specified in paragraph (e)(7)(ii) of thi s section. Compare the final value to the specification. For example, in the linearity verification, the upper limit on the SEE parameter is specified as a percen tage of the maximum input value. For assume we specify that an analyzer must have a repe atability of ±1 % of the maximum concentration or better, the maximum concen tration is 1059 ppm, and you determine repeatability to be ±6.3 ppm. In this example, if both the SEE and maximum valu e have three significant figures, divide the SEE by the maximum value and round the result to three significant figures. Compare the r ounded value to the specified percentage (expressed to the same number of decimal places as the rounded value, by adding

zeros you could calculate an absolute limit of ±10.59 ppm (1059 ppm × 0.01) or calculate that the 6.3 ppm repeatability is equivalent to the right of the percentage as necessary) to determine compliance with this specification. a repeatability of 0.5949008498584 %. (ii) Prior to July 1, 2013, you may treat tolerance s (and equivalent specifications) specified in percentages as having fixed rather tha n infinite precision. For example, 2 % would be equivalent to 1.51 % to 2.50 % and 2.0 % w ould be equivalent to 1.951 % to 2.050 %.(8) You may use measurement devices that incorporat e internal rounding, consistent with

the provisions of this paragraph (e)(8). You may u se devices that use any rounding convention if they report six or more digits. You may use devices that report fewer than six digits, consistent with good engineering judgme nt and the accuracy, repeatability, and noise specifications of this part. Note that this provision does not necessarily require you to perform engineering analysis or keep records. * * * * *

Subpart B—[Amended]

39. Section 1065.125 is amended by revising paragraph ( e)(1) introductory text to read as follows: §1065.125 Engine intake air. * * * * * (e) * * * (1) Use a charge-air cooling system with a total in take-air capacity that represents production engines’ in-use installation. Design an y laboratory charge-air cooling system to minimize accumulation of condensate. Drain any accumulated condensate. Before starting a duty cycle (or preconditioning for a dut y cycle ) and ), completely close all drains except those drains representative of drains that would normally open be closed during in-use operation before starting a duty cycle

. . Keep th os e drains closed during the emission test (this does not apply to drains normally open during in

- use operation)

. . Maintain coolant conditions as follows: (i) * * * * * * * *

40. Section 1065.140 is amended by revising paragraphs (c)(6)(ii)(C) and (D) to read as follows: §1065.140 Dilution for gaseous and PM constituents. * * * * * (c) * * * (6) * * * (ii) * * * (C) Identify the maximum potential mole fraction of dilute exhaust lost on a continuous basis during the entire test interval. This value must be less than or equal to 0.02. Calculate on a continuous basis the mole fraction o f water that would be in equilibrium with liquid water at the measured minimum surface t emperature. Subtract this mole fraction from the mole fraction of water that would be in the exhaust without condensation (either measured or from the chemical balance), and set any negative values to zero. This difference is the potential mole fra ction of the dilute exhaust that would be lost due to water condensation on a continuous basi s. (D) Integrate the product of the molar flow rate of the dilute exhaust and the potential mole fraction of dilute exhaust lost, and divide by the totalized dilute exhaust molar flow over the test interval. This is the potential mole fraction of the dilute exhaust that would be lost due to water condensation over the entire t est interval. Note that this assumes no re-evaporation. This value must be less than or eq ual to 0.005.* * * * *

40. 41. Section 1065.170 is amended by revising paragraph ( c)(1)(vi) to read as follows: §1065.170 Batch sampling for gaseous and PM constituents. * * * * * (c) * * * (1) * * * (vi) Maintain a filter face velocity near 100 cm/s with less than 5% of the recorded flow values exceeding 100 cm/s, unless you expect either the net PM mass on the filter to exceed 400 μg, assuming a 38 mm diameter filter sta in area. Measure face velocity as the volumetric flow rate of the sample at the press ure upstream of the filter and temperature of the filter face as measured in §1065 .140(e), divided by the filter's exposed area. You may use the exhaust stack or CVS tunnel pressure for the upstream pressure if the pressure drop through the PM sampler up to the filter is less than 2 kPa. * * * * *

41. 42. Section 1065.190 is amended by revising Table 1 to read as follows: §1065.190 PM-stabilization and weighing environments for gravimetric analysis. * * * * * (d) * * * Table 1 of §1065.190—Dewpoint tolerance

as a function of % PM change and % sulfuric acid PM Expected sulfuric acid fraction of PM ±0.5 % PM

mass change ±1 .0 % PM

mass change ±2 .0 % PM

mass change 5 % ±3 .0 ° C ±6 .0 ° C ±12 ° C 50 % ±0. 3 0 3 ° C ±0. 6 0 6 ° C ±1.2 ° C 100 % ±0.15 ° C ±0. 3 0 3 ° C ±0. 6 0 6 ° C * * * * *

Subpart C—[Amended] 42. 43. Section 1065.205 is amended by revising Table 1 to read as follows: §1065.205 Performance specifications for measurement instruments. Your test system as a whole must meet all the appli cable calibrations, verifications, and test-validation criteria specified in subparts D an d F of this part or subpart J of this part for using PEMS and for performing field testing. W e recommend that your instruments meet the specifications in Table 1 of this section for all ranges you use for testing. We also recommend that you keep any documentation you receive from instrument manufacturers showing that your instruments meet th e specifications in Table 1 of this section.Table 1 of §1065.205–Recommended performance specifications for measurement instrumentsMeasurement InstrumentMeasuredquantitysymbolComplete SystemRise time (t10-90) andFall time (t90-10)aRecordingupdate frequencyAccuracybRepeatabilitybNoisebEngine speed transducerfn1 s 1 Hz means2.0% of pt. or0.5 % of max.1.0% of pt. or0.25 % of max.0.05 % of maxEngine torque transducerT1 s 1 Hz means2.0% of pt. or1.0% of max.1.0% of pt. or0.5 % of max0.05 % of max.Electrical work (active-powermeter)W1 s 1 Hz means2.0% of pt. or0.5 % of max.1.0% of pt. or0.25 % of max.0.05 % of maxGeneral pressure transducer (not apart of another instrument)p5 s 1 Hz2.0% of pt. or1.0 % of max.1.0% of pt. or0.505% of max.0.1 % of maxAtmospheric pressure meter usedfor PM-stabilization and balanceenvironmentspatmos50 s 5 times per hour 50 Pa 25 Pa 5 PaGeneral purpose atmosphericpressure meterpatmos50 s 5 times per hour 250 Pa 100Pa 50 PaTemperature sensor for PMstabilization and balanceenvironmentsT50 s 0.1 Hz 0.25 K 0.1 K 0.1 KOther temperature sensor (not apart of another instrument)T10 s 0.5 Hz0.4 % of pt. K or0.2 % of max. K0.2 % of pt. K or0.1 % of max. K0.1 % of maxDewpoint sensor for intake air,PM-stabilization and balanceenvironmentsTdew50 s 0.1 Hz 0.25 K 0.1 K 0.02 KOther dewpoint sensorTdew50 s 0.1 Hz 1 K 0.5 K 0.1 KFuel flow meterc(Fuel totalizer)m5 s(N/A)1 Hz(N/A)2.0% of pt. or1.5 % of max.1.0% of pt. or0.75 % of max.0.5 % of max.Total diluted exhaust meter (CVS)c(With heat exchanger before meter)n1 s(5 s)1 Hz means(1 Hz)2.0% of pt. or1.5 % of max.1.0% of pt. or0.75 % of max.1.0% of max.Dilution air, inlet air, exhaust, andsample flow meterscn1 s1 Hz means of 5 Hzsamples2.5 % of pt. or1.5 % of max.1.25 % of pt. or0.75 % of max.1.0% of max.Continuous gas analyzerx5 s 1 Hz2.0% of pt. or2.0% of meas.1.0% of pt. or1.0% of meas.1.0% of max.Batch gas analyzerxN/A N/A2.0% of pt. or2.0% of meas.1.0% of pt. or1.0% of meas.1.0% of max.Gravimetric PM balancemPMN/A N/A See §1065.7900.5μgN/AInertial PM balancemPM5 s 1 Hz2.0% of pt. or2.0% of meas.1.0% of pt. or1.0% of meas.0.2 % of max.aThe performance specifications identified in the table apply separately for rise time and fall time.bAccuracy, repeatability, and noise are all determined with the same collected data, as described in §1065.305, and based on absolute values. “pt.” refers to the overall flowweighted mean value expected at the standard; “max.” refers to the peak value expected at the standardover any test interval, not the maximum of the instrument’s range; “meas”refers to the actual flow-weighted mean measured over any test interval.cThe procedure for accuracy, repeatability and noise measurement described in §1065.305 may be modified for flow meters to allow noise to be measured atthe lowest calibratedvalue instead of zero flow rate.44. Section 1065.220 is amended by revising paragraph ( a) and adding a new paragraph (a)(1)(iii) to read as follows: §1065.220 Fuel flow meter. * * * * * (a) Application . You may use fuel flow in combination with a chem ical balance of carbon (or oxygen) between the fuel, inlet air, and raw exhaust to calculate raw e xhaust flow as described in §1065.65 0 6 5 5 (e), as follows: (1) * * * (i) * * * (ii) * * * (iii) For calculating the dilution air flow for bac kground correction as described in §1065.667. * * * * *

45. Section 1065.225 is amended by revising paragraph ( a) and adding new paragraphs (a)(1)(iii) and (a)(1)(iv) to read as follows: §1065.225 Intake-air flow meter. * * * * * (a) Application . You may use an intake-air flow meter in combinat ion with a chemical balance of carbon (or oxygen) between the fuel, inlet air, and raw exhaust to calculate raw exhaust flow as described in §1065.65 0 6 5 5 (e) and (f), as follows: (1) * * * (i) * * * (ii) * * * (iii) For validating minimum dilution ratio for PM batch sampling as described in §1065.546. (iv) For calculating the dilution air flow for back ground correction as described in §1065.667. * * * * *

46. Section 1065.250 is amended by revising paragraph the introductory heading and paragraphs (a) and (b) to read as follows: §1065.250 Nondispersive infra

- red infrared analyzer.

* * * * * (a) Application. Use a nondispersive infrared (NDI R) analyzer to measure CO and CO 2 concentrations in raw or diluted exhaust for either batch or continuous sampling. (b) Component requirements . We recommend that you use an NDIR analyzer that meets the specifications in Table 1 of §1065.205. Note t hat your NDIR-based system must meet the calibration and verifications in §1065.350 and §1065.355 and it must also meet the linearity verification in §1065.307. You may u se an NDIR analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine’s known or assumed fuel properties. The tar get value for any compensation algorithm is 0 .0 % (that is, no bias high and no bias low), regardl ess of the uncompensated signal’s bias. * * * * *47. Section 1065.260 is amended by revising paragraphs (a), (b), (c), and (e) and adding paragraph (f) to read as follows: §1065.260 Flame-ionization detector. * * * * * (a) Application . Use a flame-ionization detector (FID) analyzer t o measure hydrocarbon concentrations in raw or diluted exhaust for either batch or continuous sampling. Determine hydrocarbon concentrations on a carbon nu mber basis of one, C 1 . For measuring THC or THCE you must use a FID analyzer. For measuring CH 4 you must meet the requirements of paragraph (f) of this sect ion. Determine methane and nonmethane hydrocarbon values as described in parag raph (e) of this section. See subpart I of this part for special provisions that apply to measuring hydrocarbons when testing with oxygenated fuels. (b) Component requirements . We recommend that you use a FID analyzer that me ets the specifications in Table 1 of §1065.205. Note that your FID-based system for measuring THC, THCE, or CH 4 must meet all of the verifications for hydrocarbon measurement in subpart D of this part, and it must also meet the l inearity verification in §1065.307. You may use a FID analyzer that has compensation algori thms that are functions of other gaseous measurements and the engine’s known or assu med fuel properties. The target value for any compensation algorithm is 0 .0 % (that is, no bias high and no bias low), regardless of the uncompensated signal’s bias. (c) Heated FID analyzers . For measuring THC or THCE from compression-ignit ion engines, two-stroke spark-ignition engines, and fou r-stroke spark-ignition engines below 19 kW, you must use heated FID analyzers that maint ain all surfaces that are exposed to emissions at a temperature of (191 ±11) °C. (d) * * * (e) NMHC . For demonstrating compliance with NMHC standards

, you may either measure THC and CH 4 and determine NMHC as described in §1065.660(b)(2) or (3 ) ), or you may measure THC and determine NMHC as described in §1065.660(b)(1). Methane

. FID analyzers measure total hydrocarbons (THC).To d etermine nonmethane hydrocarbons (NMHC), quantify methane, CH 4 , either with a nonmethane cutter and a FID analyzer as described in §1065.265, or with a g as chromatograph as described in §1065.267. Instead of measuring methane, you may a ssume that 2 % of measured total hydrocarbons is methane, as described in §1065.650( c)(1)(vi). For a FID analyzer used to determine NMHC, determine its response factor to CH 4 , RF CH4 , as described in §1065.360. Note that NMHC

- related calculations are described in §1065.660

. (f) CH 4
. For reporting CH 4 or for demonstrating compliance to with CH 4 standards or reporting requirements

, you may use a FID analyzer with a nonmethane cutter as described in §1065.265 or you may use a GC-FID as d escribed in §1065.267. Determine CH 4 as described in §1065.660(c).

48. Section 1065.265 is amended by revising paragraph (b) to read as follows: §1065.265 Nonmethane cutter. * * * * * (b) System performance . Determine nonmethane-cutter performance as descr ibed in §1065.365 and use the results to calculate CH 4 or NMHC emissions in §1065.660.* * * * *

49. Section 1065.267 is amended by revising paragraphs (a) and (b) to read as follows: §1065.267 Gas chromatograph with a flame ionization detector. * * * * * (a) Application . You may use a gas chromatograph with a flame ion ization detector (GCFID)to measure CH 4 concentrations of diluted exhaust for batch sampli ng. 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 fo r comparison with any proposed alternate measurement procedure under §1065.10. (b) Component requirements . We recommend that you use a GC-FID gas chromatograph that meets the specifications in Table 1 of §1065.2 05, and it must also meet the linearity verification in §1065.307.

50. Section 1065.267 is amended by revising paragraphs (a) and (b) to read as follows: §1065.270 Chemiluminescent detector. * * * * * (b) Component requirements . We recommend that you use a CLD that meets the specifications in Table 1 of §1065.205. Note that your CLD-based system must meet the quench verification in §1065.370 and it must also m eet the linearity verification in §1065.307. You may use a heated or unheated CLD, a nd you may use a CLD that operates at atmospheric pressure or under a vacuum. You may use a CLD that has compensation algorithms that are functions of other gaseous measurements and the engine’s known or assumed fuel properties. The targ et value for any compensation algorithm is 0 .0 % (that is, no bias high and no bias low), regardl ess of the uncompensated signal’s bias. * * * * *

51. Section 1065.272 is amended by revising paragraph ( b) to read as follows: §1065.272 N 2 O measurement devices. * * * * * (b) Component requirements . We recommend that you use an NDUV analyzer that meets the specifications in Table 1 of §1065.205. Note that your NDUV-based system must meet the verifications in §1065.372 and it mus t also meet the linearity verification in §1065.307. You may use a NDUV analyzer that has compensation algorithms that are functions of other gaseous measurements and the eng ine’s known or assumed fuel properties. The target value for any compensation a lgorithm is 0

. 0 % (that is, no bias high and no bias low), regardless of the uncompensated s ignal’s bias. * * * * *

52. Section 1065.275 is amended by revising paragraphs (b)(1), (b)(2), (b)(3), (b)(4), and (c) and adding a new paragraphs (b)(5) and (b)( 6) to read as follows: §1065.275 N 2 O measurement devices. * * * * * (b) * * *(1) Nondispersive infra

- red infrared (NDIR) analyzer . You may use an NDIR analyzer

that has compensation algorithms that are functions of other gaseous measurements and the engine’s known or assumed fuel properties. The target value for any compensation algorithm is 0 .0 % (that is, no bias high and no bias low), regardl ess of the uncompensated signal’s bias. (2) Fourier transform infra

- red infrared (FTIR) analyzer . You may use an FTIR analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine’s known or assumed fuel properties. The target value for any compensation algorithm is 0 .0 % (that is, no bias high and no bias low), regardl ess of the uncompensated signal’s bias. Use appropriate analy tical procedures for interpretation of infrared spectra. For example, EPA Test Method 320 is considered a valid method for spectral interpretation (see http://www.epa.gov/ttn /emc/methods/method320.html). (3) Pulsed

- mode high

- resolution narrow band mid

- IR (PMHRNBIR) analyzer . You may use a PMHRNBIR analyzer ( commonly known as a Quantum Cascade Laser infrared analyzer ) . You may use a laser infrared analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine’s known or assumed fuel properties. The target value for any compensation algorithm is 0 % (that is, no bias high and no bias low), regardle ss of the uncompensated signal’s bias. (4 ) Modulated continuous wave high

- resolution narrow band mid

- IR (MCWHRNBIR) analyzer . You may use a MCWHRNBIR analyzer ( commonly known as a Quantum Cascade Laser Infrared analyzer) that has compensation algorithms th at are functions of other gaseous measurements and the engine’s known o r assumed fuel properties. The target value for any compensation algorithm is 0 % (that is, no bias high and no bias low), regardless of the uncompensated signal’s bias

. Examples of laser infrared analyzers are pulsed-mode high-resolution narrow band mid-inf rared analyzers, and modulated continuous wave high-resolution narrow band mid-inf rared analyzers. ( 3 5 4 ) Photoacoustic analyzer . You may use a photoacoustic analyzer that has compensation algorithms that are functions of other gaseous measurements. The target value for any compensation algorithm is 0 .0 % (that is, no bias high and no bias low), regardless of the uncompensated signal’s bias. Use an optical wheel configuration that gives analytical priority to measurement of the lea st stable components in the sample. Select a sample integration time of at least 5 seco nds. Take into account sample chamber and sample line volumes when determining flush time s for your instrument. ( 4 6 5 ) Gas chromatograph analyzer . You may use a gas chromatograph with an electroncapture detector (GC-ECD) to measure N 2 O concentrations of diluted exhaust for batch sampling. (i)You may use a packed or porous layer open tubula r (PLOT) column phase of suitable polarity and length to achieve adequate resolution of the N 2 O peak for analysis. Examples of acceptable columns are a PLOT column co nsisting of bonded polystyrenedivinylbenzene or a Porapack Q packed column. Take the column temperature profile and carrier gas selection into consideration when s etting up your method to achieve adequate N 2 O peak resolution. (ii) Use good engineering judgment to zero your ins trument and correct for drift. You do not need to follow the specific procedures in §1065 .530 and §1065.550(b) that would otherwise apply. For example, you may perform a sp an gas measurement before and after sample analysis without zeroing . U and use the average area counts of the pre-spanand post-span measurements to generate a response f actor (area counts/span gas concentration), which you then multiply by the area counts from your sample to generate the sample concentration. (c) Interference verification validation . Perform interference verification validation for NDIR, FTIR, PMHRNBIR, MCWHRNBIR laser infrared analyzers , and photoacoustic analyzers using the procedures of §1065.375. Inter ference verification validation is not required for GC-ECD. Certain interference gases can positively interfere with NDIR, FTIR, and photoacoustic analyzers by causing a resp onse similar to N 2 O. When running the interference verification for these analyzers, use interference gases as follows: (1) The interference gases for NDIR analyzers are C O, CO 2 , H 2 O, CH 4 , and SO 2 . Note that interference species, with the exception of H 2 O, are dependent on the N 2 O infrared absorption band chosen by the instrument manufactur er and should be determined independently for each analyzer . For each analyzer determine the N 2 O infrared absorption band. For each N 2 O infrared absorption band, use good engineering ju dgment to determine which interference gases to use in the verification. (2) Use good engineering judgment to determine inte rference gases for FTIR, PMHRNBIR, and MCWHRNBIR laser infrared analyzers . Note that interference species, with the exception of H 2 O, are dependent on the N 2 O infrared absorption band chosen by the instrument manufacturer and should be determined dently for each analyzer

. . For each analyzer determine the N 2 O infrared absorption band. For each N 2 O infrared absorption band, use good engineering judgment to d etermine interference gases to use in the verification. (3) The interference gases for photoacoustic analyz ers are CO, CO 2 , and H 2 O. * * * * *

53. Section 1065.280 is amended by revising paragraph ( b) to read as follows: §1065.280 Paramagnetic and magnetopneumatic O 2 detection analyzers. * * * * * (b) Component requirements . We recommend that you use a PMD or MPD analyzer that meets the specifications in Table 1 of §1065.205. Note that it must meet the linearity verification in §1065.307. You may use a PMD or MP D that has compensation algorithms that are functions of other gaseous meas urements and the engine’s known or assumed fuel properties. The target value for any c ompensation algorithm is 0

. 0 % (that is, no bias high and no bias low), regardless of th e uncompensated signal’s bias. * * * * *

54. Section 1065.284 is amended by revising paragraph ( b) to read as follows: §1065.284 Zirconia (ZrO 2 ) analyzer. * * * * * (b) Component requirements . We recommend that you use a ZrO 2 analyzer that meets the specifications in Table 1 of §1065.205. Note t hat your ZrO 2 -based system must meet the linearity verification in §1065.307. You may u se a Zirconia analyzer that has compensation algorithms that are functions of other gaseous measurements and the engine’s known or assumed fuel properties. The targ et value for any compensation algorithm is 0

. 0 % (that is, no bias high and no bias low), regard less of the uncompensated signal’s bias.* * * * *

26.

* * * * *

55. Section 1065.290 is amended by revising paragraph ( b) to read as follows: §1065.295 PM inertial balance for field-testing analysis. * * * * * (b) Component requirements . We recommend that you use a balance that meets t he specifications in Table 1 of §1065.205. Note that your balance-based system must meet the linearity verification in §1065.307. If the ba lance uses an internal calibration process for routine spanning and linearity verifications, t he process must be NIST-traceable. You may use an inertial PM balance that has compensatio n algorithms that are functions of other gaseous measurements and the engine’s known o r assumed fuel properties. The target value for any compensation algorithm is 0

. 0 % (that is, no bias high and no bias low), regardless of the uncompensated signal’s bias

. * * * * *

Subpart D—[Amended] 56. Section 1065.303 is amended by revising Table 1 of 1065.303 to read as follows: §1065.303 Summary of required calibration and verifications. The following table summarizes the required and rec ommended calibrations and verifications described in this subpart and indicat es when these have to be performed:

Table 1 of §1065.303–Summary of required calibratio n and verifications. Type of calibration or verification Minimum frequency a

§1065.305: Accuracy, repeatability and noise Accuracy: Not required, but recommended for initial installat ion. Repeatability: Not required, but recommended for initial installation. Noise: Not required, but recommended for initial installat ion.

§1065.307: Linearity verification Speed: Upon initial installation, within 370 days before tes ting and after major maintenance. Torque: Upon initial installation, within 370 days before tes ting and after major maintenance. Electrical power: Upon initial installation, within 370 days before testing and after major maintenance. Fuel flow rate: Upon initial installation, within 370 days before testing, and after major maintenance. Intake-air, dilution air, diluted exhaust, and batch sampler Clean gas and diluted exhaust sampler flow rates: Upon initial installation, 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 d ays 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 bef ore testing, and after major maintenance. Gas analyzers (unless otherwise noted): Upon initial insta llation, 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 maintenan ce. PM balance: Upon initial installation, within 370 days before t esting and after major maintenance. Pressure, temperature, and d ewpoint: Upon initial installation, within370 days before testing and after major maintenance. §1065.308: Continuous gas analyzer system response and updating-recording verification—for gas analyzers not continuously compensated for other gas species Upon initial installation or after system modification t hat would affect
response.

§1065.309: Continuous gas analyzer systemresponse and updating-recording verification—for gas analyzers continuously compensated for other gas species Upon initial installation or after system modification t hat would affect
response.

§1065.310: Torque Upon initial installation and after major maintenance. §1065.315: Pressure, temperature, dewpoint Upon initial ins tallation and after major maintenance. §1065.320: Fuel flo w Upon initial installation and after major maintenance. §1065.325: Intake flow Upon initial installation and after ma jor maintenance. §1065.330: Exhaust flow Upon initial installation and after ma jor maintenance. §1065.340: Diluted exhaust flow (CVS) Upon initial installa tion and after major maintenance. §1065.341: CVS and batch sampler verification b Upon initial installation, within 35 days before testing, a nd after major maintenance.

§1065.342 Sample dryer verification For thermal chillers: upon installation and after major m aintenance. 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 before the start of the first test interval of each duty-cycle sequence, and after maintenance such as pre-filte r changes. For field testing: after each installation of the sa mpling system on the vehicle, prior to the start of the field test, and after ma intenance such as pre-filter changes. §1065.350: CO 2 NDIR H 2 O interference Upon initial installation and after major maintenance. §1065.355: CO NDIR CO 2 and H 2 O 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 a nd after major maintenance. Optimize and determine CH 4 response for THC FID analyzers: upon initial installation and after major maintenance. Verify CH 4 response for THC FID analyzers: upon initial installation, within 185 days before testing, and after major maintena nce.

§1065.362: Raw exhaust FID O 2 interference For all FID analyzers: upon initial installation, and af ter major maintenance. For THC FID analyzers: upon initial installation, after major maintenance, and after FID optimization according to §1065.3 60.
§1065.365: Nonmethane cutter penetration Upon initial installation, within 185 days before testing, a nd after major maintenance. §1065.370: CLD CO 2 and H 2 O quench Upon initial installation and after major maintenanc e. §1065.372: NDUV HC and H 2 O interference Upon initial installation and after major maintenance. §1065.375: N 2 O analyzer interference Upon initial installation and afte r major maintenance. §1065.376: Chiller NO 2 penetration Upon initial installation and after major mainte nance.
§1065.378: NO 2 -to-NO converter conversion Upon initial installation, within 35 days before testing, a nd 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.

a Perform calibrations and verifications more frequently , according to measurement system manufacturer instructio ns and good engineering judgment.
b The CVS verification described in §1065.341 is not required fo r systems that agree within ±2 % based on a chemical balance of carbon or oxygen of the intake air, fuel, and dil uted exhaust.* * * * *

27.

* * * * *

57. Section 1065.307 is amended by revising paragraph ( a) and Table 1 of 1065.307 to read as follows: §1065.307 Linearity verification. (a) Scope and frequency . Perform a linearity verification on each measure ment system listed in Table 1 of this section at least as frequ ently as indicated in Table 1 of §1065. 303 the table 303 , consistent with measurement system manufacturer recommendations and good engineering judgment. Not e that this linearity verification may replace requirements we previously referred to as “calibrations”. The intent of a linearity verification is to determine that a measu rement system responds proportionally over the measurement range of interest. A linearit y verification generally consists of introducing a series of at least 10 reference value s to a measurement system. The measurement system quantifies each reference value. The measured values are then collectively compared to the reference values by us ing a least squares linear regression and the linearity criteria specified in Table 1 of this section. (b) * * *Table 1 of §1065.307–Measurement systems that requi re linearity verifications.

Measurement system Quantity Linearity criteria | | x min ( a 1 -1)+ a 0 | a 1 SEE r 2
Speed f n ≤ 0.05 %

· nmax

f 0.98-1.02 ≤ 2 %

· nmax f ≥ 0.990
Torque T ≤ 1 %

· max T 0.98-1.02 ≤ 2 %

· max T ≥ 0.990
Electrical power P ≤ 1 %

· max P 0.98-1.02 ≤ 2 %

· max P ≥ 0.990

Fuel flow rate m  ≤ 1 %

· max

m  0.98-1.02 ≤ 2 %

· max m  ≥ 0.990

Intake-air flow rate n  ≤ 1 %

· max

n  0.98-1.02 ≤ 2 %

· max n  ≥ 0.990

Dilution air flow rate n  ≤ 1 %

· max

n  0.98-1.02 ≤ 2 %

· max n  ≥ 0.990

Diluted exhaust flow rate n  ≤ 1 %

· max

n  0.98-1.02 ≤ 2 %

· max n  ≥ 0.990

Raw exhaust flow rate n  ≤ 1 %

· max

n  0.98-1.02 ≤ 2 %

· max n  ≥ 0.990
Batch sampler flow rates n  ≤ 1 %

· max

n  0.98-1.02 ≤ 2 %

· max n  ≥ 0.990

Gas dividers x/x span ≤ 0.5 %

· x max /x span 0.98-1.02 ≤ 2 %

· x max /x span ≥ 0.990 Gas analyzers for laboratory testing x ≤ 0.5 %

· max x 0.99-1.01 ≤ 1 %

· max x ≥ 0.998
Gas analyzers for field testing x ≤ 1 %

· max x 0.99-1.01 ≤ 1 %

· max x ≥ 0.998

PM balance m ≤ 1 %

· max m 0.99-1.01 ≤ 1 %

· max m ≥ 0.998

Pressures p ≤ 1 %

· max p 0.99-1.01 ≤ 1 %

· max p ≥ 0.998 Dewpoint forintake air, PMstabilization and balance environments T dew ≤ 0.5 %

· dewmax

T 0.99-1.01 ≤ 0.5 %

· dewmax T ≥ 0.998

Other dewpoint

measurements T dew ≤ 1 %

· dewmax

T 0.99-1.01 ≤ 1 %

· dewmax T ≥ 0.998
Analog-to-digital conversion of temperature signals T ≤ 1 %

· max T 0.99-1.01 ≤ 1 %

· max T ≥ 0.998

58. Section 1065.340 is amended by revising paragraphs (b), (c), (d), (e), (f), (g) and (h) and adding paragraph (i) to read as follows: §1065.340 Diluted exhaust flow (CVS) calibration. * * * * * (b) Scope and frequency . Perform this calibration while the flow meter is installed in its permanent position, except as allowed in paragraph (c) of this section. Perform this calibration after you change any part of the flow c onfiguration upstream or downstream of the flow meter that may affect the flow-meter ca libration. Perform this calibration upon initial CVS installation and whenever correcti ve action does not resolve a failure to meet the diluted exhaust flow verification (i.e., p ropane check) in §1065.341. (c) Ex-situ CFV and SSV calibration . You may remove a CFV or SSV from its permanent position for calibration provided that as long as it meets the following requirements when installed in the CVS: (1) Upon installation of the CFV (s) or SSV into the CVS, use good engineering judgment to verify that you have not introduced any leaks be tween the CVS inlet and the venturi.(2) After ex-situ venturi calibration, you must ver ify all venturi flow combinations for

CFVs or at minimum of 10 flow points for an SSV usi ng the propane check as described in §1065.341. Your propane check result for each v enturi flow point may not exceed the tolerance in §1065.341(f)(5). (3) To validate verify your ex-situ calibration for a CVS with more than a single CFV

, perform the following check to verify that there ar e no flow meter entrance effects that

can contribute adversely to the CVS flow determination. This does not apply for a CVS that contains only a single CFV prevent you from passing this verification

. (i) Use a constant flow device like a CFO kit to de liver a constant flow of propane to the dilution tunnel. (ii) Measure hydrocarbon concentrations at a minimu m of 10 flows separate flow rates for an SSV flow meter, or at all possible flow combinat ions for a CFV flow meter, while keeping the flow of propane constant. We recommend that selecting CVS flows be selected flow rates in a random order. (iii) Measure the concentration of dilution air hydrocarbon background in the dilution air at the start of

beginning and upon co mpletion end of this test. Subtract the average background concentration from each concentration measurement at each flow point before performing the regression analysis in paragr aph ( c)(3)( iv) of this section. (iv) Perform a power regression of using all the paired values of flow points rate and corrected concentration data pairs to obtain a relationship in the form of y = a · x m x b . Use concentration as the independent variable and flow rate as the dependent variable. Calculate the residual of For each flow data point with respect to the power regression best , calculate the difference between the measured flo w rate and the value represented by the curve fit line. All residuals . The difference at each point must be less than ±1 % of the corresponding observed flow appropriate regression value . The value of m b must be within the range of

between –1.005 to and –0.995. (v) If your results do not meet the se limits set in paragraph (iv) of this section , take corrective action to determine if venturi entrance effects caused by the piping configuration upstream of the venturi are the reaso n for the discrepancy. Other possible sources of error are described in consistent with §1065.341(a). ( d c d ) Reference flow meter . Calibrate a CVS flow meter using a reference flo w meter such as a subsonic venturi flow meter, a long-radiu s ASME/NIST flow nozzle, a smooth approach orifice, a laminar flow element, a set of critical flow venturis, or an ultrasonic flow meter. Use a reference flow meter that report s quantities that are NIST-traceable within ±1 % uncertainty. Use this reference flow m eter’s response to flow as the reference value for CVS flow-meter calibration. ( e d e ) Configuration . Do not use an upstream screen or other restricti on that could affect the flow ahead of the reference flow meter, unless the flow meter has been calibrated with such a restriction. ( f e f ) PDP calibration . Calibrate a positive-displacement pump (PDP) to determine a flow-versus-PDP speed equation that accounts for fl ow leakage across sealing surfaces in the PDP as a function of PDP inlet pressure. Deter mine unique equation coefficients for each speed at which you operate the PDP. Calibrate a PDP flow meter as follows: (1) Connect the system as shown in Figure 1 of this section.(2) Leaks between the calibration flow meter and th e PDP must be less than 0.3 % of the

total flow at the lowest calibrated flow point; for example, at the highest restriction and lowest PDP-speed point. (3) While the PDP operates, maintain a constant tem perature at the PDP inlet within ±2 % of the mean absolute inlet temperature, in 

### T

. (4) Set the PDP speed to the first speed point at w hich you intend to calibrate. (5) Set the variable restrictor to its wide-open po sition. (6) Operate the PDP for at least 3 min to stabilize the system. Continue operating the PDP and record the mean values of at least 30 secon ds of sampled data of each of the following quantities: (i) The mean flow rate of the reference flow meter, ref 

### n  . This may include several measurements of different quantities, such as refer ence meter pressures and temperatures, for calculating ref



### n 

. (ii) The mean temperature at the PDP inlet, in 

### T

. (iii) The mean static absolute pressure at the PDP inlet, in p

. (iv) The mean static absolute pressure at the PDP o utlet,
out p

. (v) The mean PDP speed, nPDP 

### f

. (7) Incrementally close the restrictor valve to dec rease the absolute pressure at the inlet to the PDP, in

p

. (8) Repeat the steps in paragraphs (e)(6) and (7) o f this section to record data at a minimum of six restrictor positions ranging from th e wide open restrictor position to the minimum expected pressure at the PDP inlet. (9) Calibrate the PDP by using the collected data a nd the equations in §1065.640. (10) Repeat the steps in paragraphs (e)(6) through (9) of this section for each speed at which you operate the PDP. (11) Use the equations in §1065.642 to determine th e PDP flow equation for emission testing. (12) Verify the calibration by performing a CVS ver ification (i.e., propane check) as described in §1065.341. (13) Do not use the PDP below the lowest inlet pres sure tested during calibration. ( g f g ) CFV calibration . Calibrate a critical-flow venturi (CFV) to verif y its discharge coefficient, C d , at the lowest expected static differential pressu re between the CFV inlet and outlet. 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 f low meter and the CFV are less than 0.3 % of the total flow at the highest restriction. ( 2 3 3 ) Start the blower downstream of the CFV. ( 3 4 4 ) While the CFV operates, maintain a constant tempe rature at the CFV inlet within ±2 % of the mean absolute inlet temperature, in 

### T

. (4) Leaks between the calibration flow
meter and the CFV must be less than 0.3 % of the total flow at the highest re striction.

. (5) Set the variable restrictor to its wide-open po sition. Instead of a variable restrictor, you may alternately vary the pressure downstream of the CFV by varying blower speedor by introducing a controlled leak. Note that som e 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 secon ds of sampled data of each of the following quantities: (i) The mean flow rate of the reference flow meter, ref 

### n  . This may include several measurements of different quantities, such as refer ence meter pressures and temperatures, for calculating ref



### n 

. (ii) The mean dewpoint of the calibration air, dew 

### T . See §1065.640 for permissible assumptions during emission measurements. (iii) The mean temperature at the venturi inlet, in 

### T

. (iv) The mean static absolute pressure at the ventu ri inlet, in p

. (v) The mean static differential pressure between t he CFV inlet and the CFV outlet,

CFV p ∆

. (7) Incrementally close the restrictor valve or dec rease the downstream pressure to decrease the differential pressure across the CFV, CFV p ∆

. (8) Repeat the steps in paragraphs (f)(6) and (7) o f this section to record mean data at a minimum of ten restrictor positions, such that you test the fullest practical range of CFV p ∆ expected during testing. We do not require that yo u remove calibration components or CVS components to calibrate at the lowest possible restrictions. (9) Determine C d and the lowest allowable pressure ratio, r , according to §1065.640. (10) Use C

d to determine CFV flow during an emission test. Do not use the CFV below the lowest allowed r , as determined in §1065.640. (11) Verify the calibration by performing a CVS ver ification (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 t o this section and §1065.640. Refer to §1065.642 for instructions on calculating flow r ates for this option. (ii) Calibrate each CFV according to this section a nd §1065.640. Refer to §1065.642 for instructions on calculating flow rates for this opt ion. ( g h h ) SSV calibration . Calibrate a subsonic venturi (SSV) to determine its calibration coefficient, C d , for the expected range of inlet pressures. Calib rate 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 f low meter and the SSV are less than 0.3 % of the total flow at the highest restriction. ( 2 3 3 ) Start the blower downstream of the SSV

. (3) Leaks between the calibration flow meter and the SSV must be less than 0.3 % of the to tal flow at the highest restriction

. (4) While the SSV operates, maintain a constant tem perature at the SSV inlet within ±2 % of the mean absolute inlet temperature, in 

### T

. (5) Set the variable restrictor or variable-speed b lower to a flow rate greater than the greatest flow rate expected during testing. You ma y not extrapolate flow rates beyondcalibrated values, so we recommend that you make su re 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 s ampled data of each of the following quantities: (i) The mean flow rate of the reference flow meter ref 

### n  . This may include several measurements of different quantities, such as refer ence meter pressures and temperatures, for calculating ref



### n 

. (ii) Optionally, the mean dewpoint of the calibrati on air, dew 

### T . See §1065.640 for permissible assumptions. (iii) The mean temperature at the venturi inlet, in 

### T

. (iv) The mean static absolute pressure at the ventu ri inlet, in p

. (v) Static differential pressure between the static pressure at the venturi inlet and the static pressure at the venturi throat, SSV p ∆

. (7) Incrementally close the restrictor valve or dec rease the blower speed to decrease the flow rate. (8) Repeat the steps in paragraphs (g)(6) and (7) o f this section to record data at a minimum of ten flow rates. (9) Determine a functional form of C d versus Re # by using the collected data and the equations in §1065.640. (10) Verify the calibration by performing a CVS ver ification (i.e., propane check) as described in §1065.341 using the new C d versus Re # equation. (11) Use the SSV only between the minimum and maxim um calibrated flow rates. (12) Use the equations in §1065.642 to determine SS V flow during a test. ( h i i ) Ultrasonic flow meter calibration . [Reserved] * * * * *

59. Section 1065.341 is amended by revising paragraphs (a)(5 ) ), (a)(6), and (f)(5) and adding paragraph (a)(7) to read as follows: §1065.341 CVS and batch sampler verification (propane check). * * * * * (a) * * * (5) Change in CVS calibration . Perform a n in

- situ a calibration of the CVS flow meter as described in §1065.340. (6) Flow meter entrance effects. Inspect the CVS t unnel to determine whether the entrance effects from the piping configuration upst ream of the flow meter adversely affect the flow measurement. (7) Other problems with the CVS or sampling verific ation hardware or software. Inspect the CVS system, CVS verification hardware, and soft ware for discrepancies. * * * * * (f) * * *(5) Subtract the reference C 3 H 8 mass from the calculated mass. If this difference is

within ± 2 .0 % of the reference mass, the CVS passes this verif ication. If not, take corrective action as described in paragraph (a) of this section. * * * * *

60. Section 1065.350 is amended by revising paragraph ( d)(7) to read as follows: §1065.350 H 2 O interference verification for CO 2 NDIR analyzers. * * * * * (d) * * * (7) While the analyzer measures the sample’s concen tration, record 30 seconds of sampled data. Calculate the arithmetic mean of thi s data. The analyzer meets the interference verification if this value is within ( 0.0 ±0.4) mmol/mol. * * * * *

61. Section 1065.360 is amended by revising paragraph ( e) to read as follows: §1065.360 FID optimization and verification. * * * * * (e) THC FID methane (CH 4 ) response verification . This procedure is only for FID analyzers that measure THC. If the value of RF CH4[THC-FID] from paragraph (d) of this section is within ± 5 .0 % of its most recent previously determined value, the THC FID passes the methane response verification. For exam ple, if the most recent previous value
for RF CH4[THC-FID] was 1.05 and it changed by ± 0.05 to become 1.10 or it changed by - 0.05 to become 1.00, either case would be acceptabl e because ± 4.8 % is less than ± 5 .0 %. Verify RF

CH4[THC-FID] as follows: * * * * *

62. Section 1065.370 is amended by revising paragraph ( g)(1) to read as follows: §1065.370 CLD CO 2 and H 2 O quench verification. * * * * * (g) * * * (1) You may omit this verification if you can show by engineering analysis that for your NO x sampling system and your emission calculation proc edures, the combined CO 2 and H 2 O interference for your NO x CLD analyzer always affects your brake-specific NO x emission results within no more than ± 1 .0 % of the applicable NO x standard. If you certify to a combined emission standard (such as a NO x + NMHC standard), scale your NO x results to the combined standard based on the meas ured results (after incorporating deterioration factors, if applicable). For example , if your final NO x + NMHC value is half of the emission standard, double the NO x result to estimate the level of NO x emissions corresponding to the applicable standard. * * * * *

63. Section 1065.372 is amended by revising paragraph ( e)(1) to read as follows: §1065.372 NDUV analyzer HC and H 2 O interference verification. * * * * * (e) * * *(1) You may omit this verification if you can show by engineering analysis that for your

NO x sampling system and your emission calculation proc edures, the combined HC and H 2 O interference for your NO x NDUV analyzer always affects your brake-specific N O x emission results by less than 0.5 % of the applicab le NO x standard. * * * * *

64. Section 1065.378 is amended by revising paragraph ( d)(3)(iv) to read as follows: §1065.378 NO 2 -to-NO converter conversion verification. * * * * * (d) * * * (3) * * * (iv) Switch the ozonator on and adjust the ozone ge neration rate so the NO measured by the analyzer is 20 percent of x NOref or a value which would simulate the maximum concentration of NO 2 expected during testing, while maintaining at leas t 10 percent unreacted NO. This ensures that the ozonator is ge nerating NO 2 at the maximum concentration expected during testing. Record the concentration of NO by calculating the mean of 30 seconds of sampled data from the analyze r and record this value as x NOmeas

. * * * * *

Subpart F—[Amended]

65. Section 1065.510 is amended by revising paragraphs ( a) introductory text, (b)(5)(i), ( b)(6), (c)(2), ( c)(4), ( d)(5), (f)(3)(i ) ), (f)(5), and ( f)(5 g ) and adding paragraph s (b)(7 ) and ), ( f ( )( 3)(iii ), and (h ) to read as follows: §1065.510 Engine mapping. (a) Applicability, scope, and frequency . An engine map is a data set that consists of a series of paired data points that represent the max imum brake torque versus engine speed, measured at the engine's primary output shaft. Map your engine if the standard-setting part requires engine mapping to generate a duty cyc le for your engine configuration. Map your engine while it is connected to a dynamometer or other device that can absorb work output from the engine's primary output shaft accor ding to §1065.110. To establish speed and torque values for mapping, we generally recomme nd that you stabilize an engine for at least 15 seconds at each setpoint and record the mean feedback speed and torque of the last (4 to 6) seconds. Configure any auxiliary wor k inputs and outputs such as hybrid, turbo-compounding, or thermoelectric systems to rep resent their in-use configurations, and use the same configuration for emission testing . See Figure 1 of §1065.210. This may involve configuring initial states of charge and ra tes and times of auxiliary-work inputs and outputs. We recommend that you contact the Desi gnated Compliance Officer before testing to determine how you should configure any a uxiliary-work inputs and outputs. Use the most recent engine map to transform a norma lized duty cycle from the standardsetting part to a reference duty cycle specific to your engine. Normalized duty cycles are specified in the standard-setting part. You may upd ate an engine map at any time by repeating the engine-mapping procedure. You must ma p or re-map an engine before a test if any of the following apply: * * * * * (b) * * *( 6) For engines with a h igh speed governor, determine warm high

- idle speed by one of

the following methods. You may skip the determinat ion of high

- idle speed in this paragraph (b)(6) for engines subject to reference d uty cycles where all the specified normalized reference speeds are 100 % or less and for engines where you are gen erating a transient test cycle as specified in 40 CFR parts 86 and 1048. 5) * * * (i) Use a manufacturer declared warm high

- idle speed. You may only use this option (i) For any engine subject only to steady-state duty cy cles, you may perform an engine map by using discrete speeds. Select at least 20 evenly spaced setpoints from 95% of warm idle speed to the highest speed above maximum power at which 50% of maximum power occurs. We refer to this 50% speed as the check poi nt speed as described in paragraph (b)(5)(iii) of this section. At each setpoint, stab ilize speed and allow torque to stabilize. Record the mean speed and torque at each setpoint. Use linear interpolation to determine intermediate speeds and torques. Use this series of speeds and torques to generate the power map as described in paragraph (e) of this sec tion. * * * * * (6) Use one of the following methods to determine w arm high-idle speed for engines with a high-speed governor if they are subject to transi ent testing with a duty cycle that includes reference speed values above 100 %: (i) You may use a manufacturer-declared warm high-i dle speed if the engine is electronically governed. For engines designed with an electronic a high

- speed governor that shuts off torque output at a manufacturer

- specified speed and reactivates at another a lower manufacture r- specified speed ( e.g. such as engines using that use ignition cut-off ), take the manufacturer declared warm h igh

- idle speed as for governing), declare the middle of this the specified speed range as the warm high-idle speed

. (ii) Measure the warm high-idle speed using the fol lowing procedure

. : (A) Set operator demand to maximum and use the dyna mometer to target a zero torque of

zero on the engine’s primary output shaft. We recommend that you allow the engine to stabilize for at least 15 seconds and record the me an feedback speed and torque of the last (4 to 6) seconds. If the mean feedback torque is within ±1 % of T max mapped , you may use this mean feedback speed as the me asured warm high

- idle speed and you may skip the step in paragraph (b)(6)(ii)(B) of this section. I f the engine is unstable you must use this the observed mean feedback speed at that point as the measured warm high-idle speed. (B) If the engine is unstable as a result of in-use production components (such as engines that use ignition cut-off for governing, as opposed to unstable dynamometer operation), you must use the mean feedback speed from paragraph (b)(6)(ii)(A) of this section as the measured warm high-idle speed and you may skip the step in paragraph (b)(6)(ii)(B ) of this section . The unstable engine operation must be due to in

- use production components (e.g. an ignition cut

- off high

- speed governor system) and not an engine is considered unstable dynamometer torque control loop. The engine is dee med unstable when if any of the 1 Hz mean speed feedback values exceed are not within ±2 % of the calculated mean feedback speed as specified in this paragraph. For engines that a re unstable,

. We recommend that you record determine the mean as the value representing the midpoint between the observed maximum and minimum recorded feedback speed and torque over a positive integer number of oscillations. You may also take the average of the minimum and maximum 1 Hz mean speed feedback values observe d over at least one full oscillation as the mean feedback speed.

.( B C ) If you use a your dynamometer that

is not capable of achieving a mean feedback torque within ±1 % of T max mapped (e.g . an absorbing

- only dynamometer), you must

, operate the engine at a second point with operator demand set to maximum and with the dynamometer set to target a torque that is equal to the recorded mean feedback torque on the previous point plus 20 % of T max mapped

. We recommend that you allow the engine to stabilize for at least 15 seconds and record the me an feedback speed and torque of the last (4 to 6) seconds. Use these two data points Use this data point and the data point from paragraph (b)(6)(ii)(A) of this section to extrapolate the engine speed where torque is equal to zero. ( C D ) You may use a manufacturer

- declared T max instead of the measured T max mapped . If
you have a manufacturer declared T max do this, or if you are able to determine mean feedback speed as described in paragraphs (b)(6)(ii )(A) and (B) of this section, you may measure the warm high-idle speed prior to before running the speed sweep specified in paragraph (b)(5) of this section. You may also measure the warm high

- idle speed prior to running the speed sweep in paragraph (b)(5) if y ou can meet the requirements in paragraph (b)(6)(ii)(A) of this section. ( 6 7 7 ) For engines with a low-speed governor, if a nonze ro idle torque is representative of in-use operation, operate the engine at warm idle w ith the manufacturer-declared idle torque. Set the operator demand to minimum, use th e dynamometer to target the declared idle torque, and allow the engine to govern the spe ed. Measure this speed and use it as the warm idle speed for cycle generation in §1065.5 12. We recommend recording at least 30 values of speed and using the mean of thos e values. If you identify multiple warm idle torques under paragraph (f)(4)(i) of this section, measure the warm idle speed at each torque. You may map the idle governor at m ultiple load levels and use this map to determine the measured warm idle speed at the de clared idle torque(s). (c) * * * (2) Map the amount of negative torque required to m otor the engine by repeating paragraph (b) of this section with minimum operator demand. You may start the negative torque map at either the minimum or maximum speed in from paragraph (b) of this section. * * * * * (4) For engines with an electric hybrid system, you may create a negative torque map that would include the full negative torque of the elect ric hybrid system, so operator demand will be at a minimum when the reference duty cycle specifies negative torque values. (d) * * * (5) Perform one of the following: (i) For any constant-speed engine s subject only to steady-state duty cycles (i.e. discrete

mode or ramped

- modal), testing, you may perform an engine map by using a series of discrete torques. Select at least (5) five evenly spaced torque setpoints from no-load to 80 % of the manufacturer

- declared test torque or to a torque derived from manufacturer your published maximum power level if the declared test torque is not known unavailable

. Starting at the 80 % torque point, select setpoints in 2.5 % intervals, stopping at the endpoint torque as def

ined below. You may map your engine to higher torq ues. At each setpoint, stabilize torque and allow speed to stabi lize. Record the mean feedback speed and torque at each setpoint. We recommend that you stabilize an engine for at least 15 seconds at eac h setpoint and record the mean feedback speed and t orque for the last (4 to6) seconds. From this series of mean feedback spee d and torque values, use linear

interpolation to determine intermediate values. Us e this series of mean feedback speeds and torq ues to generate the power map as described in parag raph (e) of this section. The end point torque is defined as the first 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 pow er; or the torque when engine stall has been determined using good engineering ju dgment (i.e. sudden deceleration of engine speed while adding torque). (ii) For any constant

- speed engine, you may perform an engine map by usin g a continuous sweep of torque by continuing to Re cord record at 1 Hz the mean of feedback speed and torque at 1 Hz or more frequently. Use t he dynamometer to increase torque at
a constant rate . Increase the reference torque at a constant rate from no

- load to the end point torque as defined in paragraph (d)(5)(i) of this section. You may map your engine to higher torques. Unless the standard

- setting part specifies otherwise, target a torque sweep rate equal to the manufacturer declared test torque, or a torque derived from manufacturer published power l evel if the declared test torque is not known, divi ded by 180 s complete the map such that it takes (2 to 4) min to sweep from no

- load governed speed to the speed below maximum mapped power at wh ich the engine develops 90 % of maximum mapped power

. You may map your engine to lower speeds. You may continue mapping at higher torque setpoints. At ea ch setpoint, allow torque and speed to stabilize. Record the mean feedback speed and torq ue at each setpoint. Stop recording after you c omplete the sweep. Verify that the average torque sweep rate over the entire map is within ±7 % of the target torque sweep rate. From this series of mean feedback speed and torque values, use linear interpolation t o 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. (ii) For any constant-speed engine, you may perform an engine map with a continuous torque sweep by continuing to record the mean feedb ack speed and torque at 1 Hz or more frequently. Use the dynamometer to increase t orque. Increase the reference torque at a constant rate from no-load to the endpoint tor que as defined in paragraph (d)(5)(i) of this section. You may continue mapping at higher to rque setpoints. Unless the standardsetting part specifies otherwise, target a torque s weep rate equal to the manufacturerdeclared test torque (or a torque derived from your published power level if the declared test torque is not known) divided by 180 s. Stop recording after you complete the sweep. Verify that the average torque sweep rate over the entire map is within ±7 % of the target torque sweep rate. Use linear interpolation to determine intermediat e values from this series of mean feedback speed and torque values. U se this series of mean feedback speeds and torques to generate the power map as des cribed in paragraph (e) of this section. (iii) For electric power generation applications in which the design require ments will limit normal engine operation is limited to a specific speed range, map the engine with two points as follows. described in this paragraph (d)(5)(iii). After stabilizing at the noload governed speed in §1065.510(d)(4), record the mean feedback speed and torque. We recommend that you record the mean feedback speed and torque for the last (4 to 6 ) seconds. Continue to operate the engine with the governor or simulated governor controlling engine speed using operator demand, and control the dynamometer to target aspeed of 97.5 % of the recorded mean no-load govern ed speed. If the in-use performance

class of the electric power generation application is known, you may use those values in place of 97.5 % (e.g

. ., for ISO 8528-5 G3 Performance Class, the steady-st ate frequency band is less than or equal to 0.5 %, so use 99.75 % instead of 97.5 %). Stabilize Allow speed and allow torque to stabilize. Record the mean feedback spee d and torque. Record the target speed. We recommend that you stabilize for at least 15 sec onds and record the mean feedback speed and torque for the last (4 to 6) seconds. The absolute value of the speed error (the mean feedback speed minus the targ et speed) must be no greater than 20 % of the difference between the recorded mean no-lo ad governed speed and the target speed. From this series of two mean feedback speed and torque values, use linear interpolation to determine intermediate values. Us e this series of two mean feedback speeds and torques to generate a power map as descr ibed in paragraph (e) of this section. Note that the measured maximum test torque determin ed in §1065.610(b)(1), will be the mean feedback torque recorded on the second point. * * * * * (f) * * * (3) * * * (i) You may use a declared value for maximum test s peed for variable-speed engines if it is within (97.5 to 102.5) % of the corresponding me asured value. You may use a higher declared speed if the length of the “vector” at the declared speed is within 2 .0 % of the length of the “vector” at the measured value. The term vector refers to the square root of the sum of normalized engine speed squared and the normalized full-load power (at that speed) squared, consistent with the calculations in §1065.610. (ii) * * * (iii) For electronically governed engines, you may use a declared warm high-idle speed for calculating the alternate maximum test speed as specified in §1065.610. (4) * * * (5) Optional declared torques . (i) For variable-speed engines you may declare a maximum torque over the engine operating range. Yo u may use the declared value for measuring warm high-idle speed as specified in §106 5.510. (ii) For constant-speed engines you may declare a m aximum test torque. You may use the declared value for cycle generation if it is wi thin (95 to 100) % of the measured value.

* * * * *

(g) Mapping variable-speed engines with an electric hybrid system. Map variable-speed engines that include electric hybrid systems as des cribed in this paragraph (g). You may ask to apply these provisions to other types of hyb rid engines, consistent with good engineering judgment. However, do not use this pro cedure for engines used in hybrid vehicles where the hybrid system is certified as pa rt of the vehicle rather than the engine. Follow the steps for mapping a variable-speed engin e as given in paragraph (b)(5) of this section except as noted in this paragraph (g). You must generate one engine map with the hybrid system inactive as described in paragrap h (g)(1) of this section, and a separate map with the hybrid system active as described in p aragraph (g)(2) of this section. See the standard-setting part to determine how to use t hese maps. The map with the system inactive is typically used to generate steady-state duty cycles, but may also be used to generate transient cycles, such as those that do no t involve engine motoring. This hybrid-inactive map is also used for generating the hybrid -active map. The hybrid-active map is

typically used to generate transient duty cycles th at involve engine motoring. (1) Prepare the engine for mapping by either deacti vating the hybrid system or by operating the engine as specified in paragraph (b)( 4) of this section and remaining at this condition until the rechargeable energy storage sys tem (RESS) is depleted. Once the hybrid has been disabled or the RESS is depleted, p erform an engine map as specified in paragraph (b)(5) of this section. If the RESS was depleted instead of deactivated, ensure that instantaneous power from the RESS remains less than 2 % of the instantaneous measured power from the engine (or engine-hybrid sy stem) at all engine speeds. (2) The purpose of the mapping procedure in this pa ragraph (g) is to determine the maximum torque available at each speed, such as wha t might occur during transient operation with a fully charged RESS. Use one of th e following methods to generate a hybrid-active map: (i) Perform an engine map by using a series of cont inuous sweeps to cover the engine’s full range of operating speeds. Prepare the engine for hybrid-active mapping by fully charging the RESS. Perform the sweep as specified in paragraph (b)(5)(ii) of this section, but stop the sweep to charge the RESS when the powe r measured from the RESS drops below the expected maximum power from the RESS by m ore than 2 % of total system power (including engine and RESS power). Unless go od engineering judgment indicates otherwise, assume that the expected maximum power f rom the RESS is equal to the measured RESS power at the start of the sweep segme nt. For example, if the 3-second rolling average of total engine-RESS power is 200 k W and the power from the RESS at the beginning of the sweep segment is 50 kW, once t he power from the RESS reaches 46 kW, stop the sweep to charge the RESS. Note that t his assumption is not valid where the hybrid motor is torque-limited. Calculate total sy stem power as a 3-second rolling average of instantaneous total system power. After each charging event, stabilize the engine for 15 seconds at the speed at which you end ed the previous segment with operator demand set to maximum before continuing th e sweep from that speed. Repeat the cycle of charging, mapping, and recharging unti l you have completed the engine map. You may shut down the system or include other opera tion between segments to be consistent with the intent of this paragraph (g)(2) (i). For example, for systems in which continuous charging and discharging can overheat ba tteries to an extent that affects performance, you may operate the engine at zero pow er from the RESS for enough time after the system is recharged to allow the batterie s to cool. Use good engineering judgment to smooth the torque curve to eliminate di scontinuities between map intervals. (ii) Perform an engine map by using discrete speeds . Select map setpoints at intervals defined by the ranges of engine speed being mapped. From 95 % of warm idle speed to 90 % of the expected maximum test speed, select set points that result in a minimum of 13 equally spaced speed setpoints. From 90 % to 110 % of expected maximum test speed, select setpoints in equally spaced intervals that a re nominally 2 % of expected maximum test speed. Above 110 % of expected maximum test s peed, select setpoints based on the same speed intervals used for mapping from 95 % war m idle speed to 90 % maximum test speed. You may stop mapping at the highest sp eed above maximum power at which 50 % of maximum power occurs. We refer to the spee d at 50 % power as the check point speed as described in paragraph (b)(5)(iii) of this section. Stabilize engine speed at each setpoint, targeting a torque value at 70 % of peak torque at that speed without hybrid-assist. Make sure the engine is fully warmed up an d the RESS state of charge is within

the normal operating range. Snap the operator dema nd to maximum, operate the engine there for at least 10 seconds, and record the 3-sec ond rolling average feedback speed and torque at 1 Hz or higher. Record the peak 3-second average torque and 3-second average speed at that point. Use linear interpolation to d etermine intermediate speeds and torques. Follow §1065.610 (a) to calculate the max imum test speed. Verify that the measured maximum test speed falls in the range from 92 to 108 % of the estimated maximum test speed. If the measured maximum test s peed does not fall in this range, rerun the map using the measured value of maximum t est speed. (h) Other mapping procedures. You may use other ma pping procedures if you believe the procedures specified in this section are unsafe or unrepresentative for your engine. Any alternate techniques you use must satisfy the i ntent of the specified mapping procedures, which is to determine the maximum avail able torque at all engine speeds that occur during a duty cycle. Identify any deviations from this section’s mapping procedures when you submit data to us.

66. Section 1065.514 is amended by revising paragraph ( f)(3) and Table 2 as follows: §1065.514 Cycle-validation criteria for operation over specified duty cycles. * * * * * (f) * * * (3) For discrete-mode steady-state testing, apply c ycle-validation criteria by treating the sampling periods from the series of test modes as a continuous sampling period, analogous to ramped-modal testing and apply statist ical criteria as described in paragraph (f)(1) or (2) of this section. Note that if the ga seous and particulate test intervals are different periods of time, separate validations are required for the gaseous and particulate test intervals. Table 2 of §1065.514—Default statistical criteria f or validating duty cycles
Parameter Speed Torque Power Slope, a 1 0.950 ≤ a 1 ≤ 1.030 0.830 ≤ a 1 ≤ 1.030 0.830 ≤ a 1 ≤ 1.030 Absolute value of intercept, | a 0 | ≤ 10 % of warm idle ≤ 2 .0 % of maximum mapped torque ≤ 2 .0 % of maximum

mapped power Standard error of estimate, SEE ≤ 5 .0 % of

maximum test speed ≤ 10 % of maximum mapped torque ≤

10 % of maximum mapped power Coefficient of determination, r 2 ≥ 0.970 ≥ 0.850 ≥ 0.910

* * * * *

67. Section 1065.520 is amended by revising paragraph ( g) introductory paragraph, paragraphs (g)(5), (g)(7) and (g)(8) adding paragra ph (g)(9) to read as follows: §1065.520 Pre-test verification procedures and pre-test data collection. * * * * * (g) Verify the amount of nonmethane hydrocarbon con tamination in the exhaust and background HC sampling systems within 8 hours befor e the start of the first test interval of each duty-cycle sequence for laboratory tests. You may verify the contamination of a background HC sampling system by reading the last b ag fill and purge using zero gas.For any NMHC measurement system that involves separ ately measuring methane and

subtracting it from a THC measurement or for any CH 4 measurement system that uses an NMC, verify the amount of THC contamination using o nly the THC analyzer response. There is no need to operate any separate methane an alyzer for this verification

, ; however

, you may measure and correct for THC contamination i n the CH 4 sample train for the cases where NMHC is determined by subtracting CH 4 from THC or

, where CH 4 is determined, using an NMC as configured in §1065.365 (d), (e), and (f); and using the calculations in §1065.660(b)(2). Perform this verif ication as follows: (1) * * * (5) Measure the THC concentration in the sampling a nd background systems as follows: (i) For continuous sampling, record the mean THC co ncentration as overflow zero air gas flows. (ii) For batch sampling, fill the sample medium (e. g., bag) and record its mean THC concentration. (6) * * * (7) You may correct the measured initial THC concen tration for drift as follows: (i) For batch and continuous HC analyzers, after de termining the initial THC concentration, flow zero gas to the analyzer zero o r sample port. When the analyzer reading is stable, record the mean analyzer value. (ii) Flow span gas to the analyzer span or sample p ort. When the analyzer reading is stable, record the mean analyzer value. (iii) Use mean analyzer values from paragraphs (g)( 2), (3), (7)(i), and (7)(ii) of this section to correct the initial THC concentration re corded in paragraph (g)(6) of this section for drift, as described in §1065.550. ( 7 8 8 ) If any of the xTHC[THC-FID]init values exceed the greatest of the following values

, determine the source of the contamination and take corrective action, such as purging the system during an additional preconditioning cycle o r replacing contaminated portions: (i) 2 % of the flow-weighted mean wet, net concentr ation expected at the HC (THC or NMHC) standard. (ii) 2 % of the flow-weighted mean wet, net concent ration of HC (THC or NMHC) measured during testing. (iii) 2 μ mol/mol. ( 8 9 9 ) If corrective action does not resolve the deficie ncy, you may request to use the contaminated system as an alternate procedure under §1065.10.

* * * * *

* * * * *

68. Section 1065.525 is amended by revising paragraph ( a) and removing paragraph (c)(4). §1065.525 Engine starting, restarting, and shutdown. (a) For test intervals that require emission sampli ng during engine starting, s S tart the engine using one of the following methods: (1) Start the engine as recommended in the owners m anual using a production starter motor or air-start system and either an adequately charged battery, a suitable power supply, or a suitable compressed air source.(2) Use the dynamometer to start the engine. To do this, motor the engine within ±25 %

of its typical in-use cranking speed. Stop crankin g within 1 second of starting the engine. (3) In the case of hybrid engines, activate the sys tem such that the engine will start when its control algorithms determine that the engine sh ould provide power instead of or in addition to power from the RESS. Unless we specify otherwise, engine starting throughout this part generally refers to this step of activating the system on hybrid engines, whether or not that causes the engine to s tart running. * * * * * (c) * * * (4) DELETE * * * * *

69. Section 1065.530 is amended by revising paragraph ( b)(13) to read as follows: §1065.530 Emission test sequence. * * * * * (b) * * * (13) Drain any accumulated condensate from the inta ke air system before starting a duty cycle, as described in § 1065.125(e)(1). If engine and aftertreatment preco nditioning cycles are run before the duty cycle, treat the pre conditioning cycles and any associated soak period as part of the duty cycle for the purpo se of opening drains and draining condensate. Note that you must and close any intake air condensate drains that are no t representative of those normally open during in-use operation.

* * * * *

* * * * *

70. Section 1065.546 is amended by revising paragraph ( a) to read as follows: §1065.546 Validation of minimum dilution ratio for PM batch sampling, and drift correction. * * * * * (a) Determine minimum dilution ratio based on molar flow data. This involves determination of at least two of the following thre e quantities: raw exhaust flow (or previously diluted flow), dilution air flow, and di lute exhaust flow. You may determine the raw exhaust flow rate based on the measured int ake air or fuel flow rate and the raw exhaust chemical balance terms as given in §1065.65 5(e). 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 gi ven in §1065.655(f). You may alternatively estimate the molar raw exhaust flow r ate based on intake air, fuel rate measurements, and fuel properties, consistent with good engineering judgment. * * * * *

71. Section 1065.550 is amended by revising the section title and paragraph (b) to read as follows: §1065.550 Gas analyzer range validation , and drift validation , and drift correction

. * * * * *(b) Drift validation and drift correction

. Calculate two sets of brake

- specific emission

results for each test interval. Gas analyzer drift validation is required for all g aseous exhaust constituents for which a brake

- specific emissions an emission standard applies. It is also required for CO 2 even if there is no brak e

- specific CO 2 emission standard applies . It is not required for other gaseous exhaust con stituents for which only a reporting requirement applies ( e.g. brake

- specific such as CH 4 and N 2 O). (1) Depending on how a regulated constituent is determi ned, Validate drift as foll ows using one of the following methods : (i) For regulated exhaust

constituents determined from the mass of a single component, perform drift validation based on the regulated con stituent. For example, when NO x mass is determined with a dry sample measured with a CLD and the removed water is corrected based on measured CO 2 , CO, THC, and NO x concentrations ; , you must validate the calculated NO x value. (ii) For regulated exhaust constituents determined from the masses of multipl e subcomponents, perform the drift validation based o n either the regulated constituent or all the mass subcomponents. For example, when NO x is measured with separate NO and NO 2 analyzers, you must validate either the NO x value or both the NO and NO 2 values. (iii) For regulated exhaust constituents determined from the concentrations of multiple gaseous emission s subcomponents prior to performing mass calculation s (e.g., NMHC),

, perform drift validation on the regulated constitue nt. You may not validate the concentration subcomponents (e.g., THC and CH 4 for NMHC) separately. For example, for NMHC measurements, perform drift validation on NMHC; do not validate THC and CH 4 separately. (2) Drift validation requires two sets of emission s calculations. For each set includes of calculations, include all of the constituents to be validated for in the drift validation

. Calculate one set using the data before drift corre ction and calculate the other set after correcting all the data for drift according to §106 5.672. Use the two sets of brake

specific emission results to validate the duty cycl e for drift as follows: (1) The duty cycle is validated for drift if you sa tisfy one of the following criteria: (i) For each test interval of the duty cycle and fo r each measured exhaust constituent, the difference between the uncorrected and the correcte d brake

- specific emission values over the test interval is within ±4 % of the uncorrected value or applicable emission standard, whichever is greater. This requirement a lso applies for CO 2 , whether or not an emission standard applies for CO 2 . Where no emission standard applies for CO 2 , the difference must be within ±4 % of the uncorrected value. See paragraph (b)(4) of this section for exhaust constituents other than CO 2 for which no emission standard applies. (ii) For the entire duty cycle and for each measure d exhaust constituent, the difference between the uncorrected and corrected composite bra ke

- specific emission values over the entire duty cycle is within ± 4 % of the uncorrected value or the applicable emis sion standard, whichever is greater. Note that for purposes of drift validation using composite brake

- specific emission values over the entire duty cycle

, Note that for purposes of drift validation, you must

leave unaltered any negative emission results over a given test interval (i.e., do not set them to zero). These un altered results are used when validating either test interval results or composite brake-spe cific emissions over the entire duty cycle for drift. For each constituent to be valida ted, both sets of calculations must include the following:(i) Calculated mass (or mass rate) emission values over each test interval.

(ii) If you are validating each test interval based on brake-specific values, calculate brakespecific emission values over each test interval. (iii) If you are validating over the entire duty cy cle, calculate composite brake

- specific emission values. A third calculation of composite brake

- specific emission values is required for final reporting. This calculation use s drift

- correcte d mass (or mass rate) values from each test interval and sets any negativ e mass (or mass rate) values to zero before calculating the composite brake

- specific emission values over the entire duty cycle. This requirement also applies for CO 2 , whether or not an emission standard applies for CO 2 . Where no emission standard applies for CO 2 , the difference must be within ±4 % of the uncorrected value. See paragrap h (b)(4) of this section for exhaust constituents other than CO 2 for which no emission standard ap plies. ( 2 3 (iii) If you are validating over the entire duty cy cle, calculate composite brake-specific emission values. (3 ) Validation Criteria

. For standards consisting of combined, individual me asurements of exhaust constituents (such as NO x + NMHC or separate NO and NO 2 measurements to comply with a NO x standard), t The duty cycle shall be is The duty cycle is validated for drift if you satisfy one of the following criteria: (i) For each test interval of the duty cycle and for each indivi dually measured regulated regulated gaseous exhaust constituent (e.g. NO, NO 2 , NO x , or NMHC)

, , you must satisfy one of the following: (A) For each test interval of the duty cycle you must satisfy one of the following: ( 1 ) T t he , the difference between the uncorrected and the correct ed brake-specific emission values over of the regulated constituent must be test interval is within ±4 % of the uncorrected value ; or the applicable emissions standard, whichever is greater ; (ii) For each test interval of . Alternatively, the duty cycle or ( 2 ) for the entire duty cycle T t he difference between the combined (e.g. NO x + NMHC) uncorrected and combined (e.g. NO x + NMHC) the corrected composite brake

- specific emissions emission mass (or mass rate) values of the regulated consti tuent must be over each test interval of the duty cycle or the entire duty cycle is within ± 4 % of the uncorrected value or the composite work (or power) multiplied by the applicable emissions standard, whichever is greater. For purp oses of validating each test interval, you may use either the reference or actual composit e work (or power). (B) For each test interval of the duty cycle and fo r each subcomponent of the regulated constituent you must satisfy one of the following: , the difference between the uncorrected and the corrected brake-specific emission values mu st be within ±4 % of the uncorrected value. Alternatively, the difference between the u ncorrected and the corrected emissions mass (or mass rate) values must be within ±4 % of t he uncorrected value. ( 1 ) The difference between the uncorrected and the co rrected brake

- specific emission values must be within ±4 % of the uncorrected value ; or ( 2 ) The difference between the uncorrected and the co rrected emissions mass (or mass rate) values must be within ±4 % of the uncorrected value. (C) For the entire duty cycle, the difference betwe en the uncorrected and the corrected composite brake-specific emission values of the reg ulated constituent must be within ±4 % of the uncorrected value or applicable emission s tandard, whichever is greater.(D) For the entire duty cycle and for each subcompo nent of the regulated constituent, the

difference between the uncorrected and the correcte d composite brake-specific emission values must be within ±4 % of the uncorrected value

. (ii) Where no emission standard applies for CO 2 , you must satisfy one of the following: (A) For each test interval of the duty cycle, the d ifference between the uncorrected and the corrected brake-specific CO 2 values must be within ±4 % of the uncorrected valu e; or the difference between the uncorrected and the corr ected CO 2 mass (or mass rate) values must be within ±4 % of the uncorrected value. (B) For the entire duty cycle, the difference betwe en the uncorrected and the corrected composite brake-specific CO 2 values must be within ±4 % of the uncorrected valu e. ( 3 2 2 ) If the test is not validated for drift as describ ed in paragraph (b)(1) of this section, you may consider the test results for the duty cycl e to be valid only if, using good engineering judgment, the observed drift does not a ffect your ability to demonstrate compliance with the applicable emission standards. For example, if the drift-corrected value is less than the standard by at least two tim es the absolute difference between the uncorrected and corrected values, you may consider the data to be valid for demonstrating compliance with the applicable standa rd. (4) The provisions of this paragraph (b)(4) apply f or measurement of pollutan ts other than CO 2 for which no emission standard applies (for purpose s of this provision, standards consisting of combined, individual measur ements are considered to be standards for each individual pollutant). You may use measurements that do not meet th e drift validation criteria specified in paragraph (b )(1). For example, this allowance may be appropriate for measuring and reporting very low co ncentrations of CH 4 and N 2 O as long as no emission standard applies for these compounds

. * * * * *

* * * * *

Subpart G—[Amended]

72. Section 1065.602 is amended by revising paragraph ( f)(3) before the table

, paragraph (h), and paragraphs (l)(1)(ii) and (iii) as follows: §1065.602 Statistics. * * * * * (f) * * * (3) Use Table 1 of this section to compare t to the t

crit values tabulated versus the number of degrees of freedom. If t is less than t

crit , then t passes the t -test. The Microsoft Excel software package contains has a TINV function that returns results equivalent to Table 1 of §1065.602 Table 1 results and may be used in place of Table 1

. , which follows: * * * * * (h) Slope. Calculate a least-squares regression sl ope, a 1y , as follows:

## ( ) i refi ref i 1 1y 2

refi ref i 1 

### ( )

( ) N

N 

### y y y y

a

y y

=

= 

### − ⋅ −

=

− 

# ∑

∑

Eq. 1065.602-9 Example:
N = 6000

y 1 = 2045.8

y = 1050.1

y ref 1 = 2045.0

ref y = 1055.3 

## ( ) ( ) ( ) ( )

( ) ( ) 6000 ref6000 1y 2 2

ref6000 2045.8 1050.1 2045.0 1055.3 ... 1050.1 1055.3

2045.0 1055.3 ... 1055.3 y y a y

− ⋅ − + + − ⋅ −

= − + + −

a 1y = 1.0110 * * * * * (l) * * * (1) * * * (ii) Based on your engine design, estimate maximum power, P max , the design speed at maximum power, f nmax , the design maximum intake manifold boost pressure

, p inmax , and temperature, T

inmax . Also, estimate a mean fraction of power that is lost due to friction and pumping, frict



### P . Use this information along with the engine displ acement volume,

V disp , an approximate volumetric efficiency, η V, and the number of engine strokes per power stroke (2-stroke or 4-stroke), N stroke , to estimate the maximum raw exhaust molar flow rate, exhmax

n 

. (iii) Use your estimated values as described in the following example calculation:



## ( ) std ref
exp
ref frict max

exhmax duty cycle

max

e W
x P P P M n t P

⋅

=   + ⋅ ⋅ ⋅ ∆ ⋅  

  



## ( )

std ref
exp
ref frict max

exhmax duty cycle

max



### e W
x P P P M n t P

⋅

=   + ⋅ ⋅ ⋅ ∆ ⋅  

  

Eq. 1065.602-13

max disp nmax V
stroke exhmax

max 2 p V f N
n R T η

⋅ ⋅ ⋅ ⋅

=

⋅ max disp nmax V
stroke exhmax

max 2 p V f N
n R T η

⋅ ⋅ ⋅ ⋅

=

⋅ 

Eq. 1065.602-14 Example:

e NOx = 2.5 g/(kW

· hr) W ref = 11.883 kW

· hr
M NOx = 46.0055 g/mol = 46.0055

· 10 -6 g/ μ mol ∆ t dutycycle = 20 min = 1200 s

ref 

### P = 35.65 kW

frict 

### P = 15 %

P max = 125 kW

p max = 300 kPa = 300000 Pa V disp = 3.0 l = 0.0030 m 3 /r f nmax = 2800 r ev r

/min = 46.67 r ev r

/s N stroke = 4 1/rev
η V = 0.9 R = 8.314472 J/(mol

· K)
T max = 348.15 K

exhmax 2 300000 0.0030 46.67 0.9

4 8.314472 348.15 n ⋅ ⋅ ⋅ ⋅

=

⋅ 

exhmax 

### 2 300000 0.0030 46.67 0.9

4 8.314472 348.15 n ⋅ ⋅ ⋅ ⋅

=

⋅ 

exhmax n  = 6.53 mol/s



## ( ) exp 6 2.5 11.883
35.65 0.15 125 46.0055 10 6.53 1200 125 x

− ⋅

= + ⋅  

⋅ ⋅ ⋅ ⋅  

 



## ( ) exp 6 2.5 11.883
35.65 0.15 125 46.0055 10 6.53 1200 125 x

− ⋅

= + ⋅  

⋅ ⋅ ⋅ ⋅  

 

exp 

### x = 189.4 μmol/mol

73. Section 1065.610 is amended by revising paragraphs (a)(1), (a)(2), (a)(3), (b)(1), (c)(1), (c)(2), and (c)(3) and adding a new (a)(4) as follows: §1065.610 Duty cycle generation.* * * * *

(a) * * * (1) Based on the map, determine maximum power, P max , and the speed at which maximum power occurred, f nPmax . If maximum power occurs at multiple speeds, take f nPmax as the lowest of these speeds. Divide every recor ded power by P max and divide every recorded speed by f nPmax . The result is a normalized power-versus-speed ma p. Your measured f

ntest is the speed at which the sum of the squares of no rmalized speed and power is maximum. Note that if multiple maximum va lues are found, f ntest should be taken as the lowest speed of all points with the sa me maximum sum of squares. Determine f

ntest as follows: 

# ( ) 2 2 ntest ni nnormi normi at the maximum of f f f P = +



# ( )

2 2 ntest ni nnormi normi at the maximum of f f f P = +

Eq. 1065.610-1 Where: f ntest = maximum test speed. i = an indexing variable that represents one record ed value of an engine map. f nnormi = an engine speed normalized by dividing it by f nPmax
. P normi = an engine power normalized by dividing it by P max .
Example: ( f nnorm1 = 1.002, P norm1 = 0.978, f n1 = 2359.71) ( f nnorm2 = 1.004, P norm2 = 0.977, f n2 = 2364.42) ( f nnorm3 = 1.006, P norm3 = 0.974, f n3 = 2369.13) ( f nnorm1 2 + P norm1 2 ) = (1.002 2 + 0.978 2 ) = 1.960 ( f nnorm2 2 + P norm2 2 ) = (1.004 2 + 0.977 2 ) = 1.963 ( f nnorm3 2 + P norm3 2 ) = (1.006 2 + 0.974 2 ) = 1.961 maximum = 1.963 at i = 2 f ntest = 2364.42 r ev r

/min (2) For engines with a high-speed governor that wil l 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 the alternate maximum test speed, f ntest,alt , is less than the measured maximum test speed, f ntest , determined in paragraph (a)(1) of this section, replace f ntest with f ntest,alt
. This alternate maximum test speed In this case, f ntest,alt becomes the “maximum test speed” for that engine. You may Note that §1065.510 allows you to apply an optional declared maximum test speed , as specified in §1065.510, to the final measured maximum test speed (i.e. the lower of f ntest , determined in paragraph (a)(1) of this section as an outcome of the comparison between f ntest , and f ntest,alt determined in this paragraph ). This paragraph does not apply if the duty cycle does not include reference speeds greater than 100 % of maxi mum test speed such as the transient test cycles specified in 40 CFR 86.1330

- 2010 and 1048.510. (a)(2). Determine f ntest,alt as follows:

f ntest,alt = ( f nhi,idle – f

nidle )/ % speed

max + f nidle Eq. 1065.610-2Where:

f ntest,alt = alternate maximum test speed f nhi,idle = warm high-idle speed f nidle = warm idle speed % speed

max = maximum normalized speed from duty cycle

Example: f nhi,idle = 2200 r/min f nidle = 800 r/min % speed

max = 105 % (Nonroad CI Transient Cycle) f ntest,alt = (2200 – 800)/105 % + 800 f ntest,alt = 2133 r/min (3) For variable-speed engines, transform normalize d speeds to reference speeds according to paragraph (c) of this section by using the measured maximum test speed determined according to paragraphs (a)(1) and ( a)( 2) of this section—or use your declared maximum test speed, as allowed in §1065.51 0. ( 3 4 4 ) For constant-speed engines, transform normalized speeds to reference speeds according to paragraph (c) of this section by using the measured no-load governed speed—or use your declared maximum test speed, as a llowed in §1065.510 (b) * * * (1) Based on the map, determine maximum power, P max , and the speed at which maximum power occurs, f nPmax . If maximum power occurs at multiple speeds, take f nPmax as the lowest of these speeds. Divide every record ed power by P max and divide every recorded speed by f nPmax . The result is a normalized power-versus-speed ma p. Your measured T

test is the torque at which the sum of the squares of n ormalized speed and power is maximum. Note that that if multiple maximu m values are found, T test should be taken as the highest torque of all points with the same maximum sum of squares. Determine T

test as follows:



# ( )

2 2 test i nnormi normi at the maximum of T T f P = + 

## ( ) 2 2 test i nnormi normi at the maximum of T T f P = +

Eq. 1065.610- 2 3 3 Where:
T test = maximum test torque.

Example: ( f nnorm1 = 1.002, P norm1 = 0.978, T 1 = 722.62 N

· m) ( f nnorm2 = 1.004, P norm2 = 0.977, T 2 = 720.44 N

· m) ( f nnorm3 = 1.006, P norm3 = 0.974, T 3 = 716.80 N

· m) ( f nnorm1 2 + P norm1 2 ) = (1.002 2 + 0.978 2 ) = 1.960 ( f nnorm1 2 + P norm1 2 ) = (1.004 2 + 0.977 2 ) = 1.963 ( f nnorm1 2 + P norm1 2 ) = (1.006 2 + 0.974 2 ) = 1.961 maximum = 1.963 at i = 2
T test = 720.44 N

· m(2) * * *

(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: f nref = % speed

· (

f ntest – f nidle ) + f

nidle Eq. 1065.610- 3 4 4 Example: % speed = 85 % f ntest = 2364 r ev r

/min f nidle = 650 r ev r

/min f nref = 85 %

· (2364 – 650 ) + 650 f nref = 2107 r ev r

/min (2) A, B, and C speeds . If your normalized duty cycle specifies speeds a s A, B, or C values, use your power-versus-speed curve to determ ine the lowest speed below maximum power at which 50 % of maximum power occurs . Denote this value as n lo

. Take n lo to be warm idle speed if all power points at speed s 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 hi to be the declared maximum safe engine speed or th e declared maximum representative engine speed, whichever is l ower. Use n hi and n lo to calculate reference values for A, B, or C speeds as follows: f nrefA = 0.25

· ( n hi – n lo ) + n lo

Eq. 1065.610- 4 5 5 f nrefB = 0.50

· ( n hi – n lo ) + n lo

Eq. 1065.610- 5 6 6 f nrefC = 0.75

· ( n hi – n lo ) + n lo

Eq. 1065.610- 6 7 7 Example:

n lo = 1005 r ev r

/min

n hi = 2385 r ev r

/min f nrefA = 0.25

· (2385 – 1005) + 1005 f nrefB = 0.50

· (2385 – 1005) + 1005 f nrefC = 0.75

· (2385 – 1005) + 1005 f nrefA = 1350 r ev r

/min f nrefB = 1695 r ev r

/min f nrefC = 2040 r ev r

/min (3) Intermediate speed . If your normalized duty cycle specifies a speed as “intermediate speed,” use your torque-versus-speed curve to deter mine the speed at which maximum torque occurs. This is peak torque speed. If maxi mum torque occurs in a flat region of the torque-versus-speed curve, your peak torque spe ed is the midpoint between the lowest and highest speeds at which the trace reaches the f lat region. For purposes of this paragraph (c)(3), a flat region is one in which mea sured torque values are within 2 .0 % of the maximum recorded value. Identify your referenc e intermediate speed as one of the following values: * * * * *74. Section 1065.640 is amended by revising paragraphs (b)(1), (b)(2), (b)(5), (e)(3), (e)(4), and (e)(7) as follows: §1065.640 Flow meter calibration calculations. * * * * * (b) * * * (1) PDP volume pumped per revolution, V rev (m 3 / r ev r ):

ref in

rev in nPDP n R T V P f ⋅ ⋅

=

⋅  ref in

rev in nPDP n R T V P f

⋅ ⋅

=

⋅ 

Eq. 1065.640-2 Example:

ref 

### n 

###  = 25.096 mol/s

R = 8.314472 J/(mol

· K)

in 

### T = 299.5 K

in 

### P = 98290 Pa

nPDP 

### f = 1205.1 r ev r

/min = 20.085 r ev r

/s

25.096 8.314472 299.5
98290 20.085 rev V ⋅ ⋅

=

⋅ 

### 25.096 8.314472 299.5
98290 20.085 rev 

### V ⋅ ⋅

=

⋅

V rev = 0.03166 m 3 /

r ev r

(2) PDP slip correction factor, K s (s/ r ev r ):

out in

s nPDP out 1 P P K f P

−

= ⋅

out in

s nPDP out 1 P P K f P

−

= ⋅

Eq. 1065.640-3 Example:

nPDP 

### f = 1205.1 r ev r

/min = 20.085 r ev r

/s

out 

### P = 100.103 kPa

in 

### P = 98.290 kPa

s 1 100.103 98.290
20.085 100.103 K −

= ⋅

s 1 100.103 98.290
20.085 100.103 K −

= ⋅

K s = 0.006700 s/

r ev r(3) * * *

(4) * * * (5) The following example illustrates these calcula tions: Table 1 of §1065.640– Example of PDP calibration data

nPDP f ( r ev r /min) a 1

(m 3 /min) a 0

(m 3 / r ev r )

755.0 50.43 0.056

987.6 49.86 -0.013

1254.5 48.54 0.028

1401.3 47.30 -0.061

(e) * * * (3) If the standard deviation of all the C d values is less than or equal to 0.3 % of the mean C d , use the mean C d in Eq 1065.642-6, and use the CFV only up to the h ighest r measured during calibration using the following equ ation:

CFV

in 

### 1 p r p ∆

= −

CFV

in 1 p r p ∆

= −

Eq. 1065.640-13 Where:
∆ p CFV = Differential static pressure; venturi inlet minu s venturi outlet.

(4) If the standard deviation of all the C d values exceeds 0.3 % of the mean C d , omit the
C d values corresponding to the data point collected a t the highest r measured during calibration. * * * * * (7) If the standard deviation of the remaining C d values is less than or equal to 0.3 % of the mean of the remaining C d , use that mean C d in Eq 1065.642-6, and use the CFV values only up to the highest r associated with the remaining C d
. * * * * *

75. Section 1065.642 is amended by revising paragraph ( a) as follows: §1065.642 SSV, CFV, and PDP molar flow rate calculations. * * * * * (a) PDP molar flow rate . Based upon the speed at which you operate the PD P for a test interval, select the corresponding slope, a 1 , and intercept, a 0 , as calculated in §1065.640, to calculate molar flow rate, 

### n  as follows:

nPDP in rev

in 

### p V n f R T

⋅

= ⋅

⋅ nPDP in rev

in p V n f R T

⋅

= ⋅

⋅ 

Eq. 1065.642-1 Where:

nPDP

1 out in rev 0

out a p p V a f p − = ⋅ + nPDP 1 out in rev 0

out a p p V a f p − = ⋅ +

Eq. 1065.642-2

Example:

a 1 = 50.43 (m 3 /min) = 0.8405 (m 3 /s)

nPDP 

### f = 755.0 r ev r

/min = 12.58 r ev r

/s

p out = 99950 Pa

p in = 98575 Pa

a 0 = 0.056 (m 3 /

r ev r )
R = 8.314472 J/(mol·K)
T in = 323.5 K C p = 1000 (J/m 3 )/kPa C t = 60 s/min

rev 0.8405 99950 98575 0.056 12.58 99950 V − = ⋅ + rev 0.8405 99950 98575 0.056 12.58 99950 V − = ⋅ +

V rev = 0.06383 m 3 /

r ev r

98575 0.06383 12.58 8.314472 323.5 n ⋅

= ⋅

⋅ 



### 98575 0.06383 12.58 8.314472 323.5 n ⋅

= ⋅

⋅ 



### n  = 29.428 mol/s * * * * *

76. Section 1065.645 is amended by revising the introdu ctory paragraph and paragraph (a) as follows: §1065.645 Amount of water in an ideal gas. This section describes how to determine the amount of water in an ideal gas, which you need for various performance verifications and emis sion calculations. Use the equation for the vapor pressure of water in paragraph (a) of this section or another appropriate equation and, depending on whether you measure dewp oint or relative humidity, perform one of the calculations in paragraph (b) or (c) of this section. Note that The equations for the vapor pressure of water equations as presented in this section are derived from equations in “Saturation Pressure of Water on the N ew Kelvin Temperature Scale” ( Gore Goff , J.A., Transactions American Society of Heating an d Air-Conditioning Engineers, Vol. 63, No. 1607, pages 347 – 354). No te also that the equations wereoriginally published to derive vapor pressure in un its of atmospheres and have been

modified to derive results in units of kPa by conve rting the last term in each equation. (a) Vapor pressure of water . Calculate the vapor pressure of water for a give n saturation temperature condition, T sat , as follows, or use good engineering judgment to u se a different relationship of the vapor pressure of wat er to a given saturation temperature condition: (1) For humidity measurements made at ambient tempe ratures from (0 to 100) °C, or for humidity measurements made over super-cooled water at ambient temperatures from (– 50 to 0) °C, use the following equation:

sat

sat 8 2969 1 4 273.16 sat 10 H2O 10

sat

273.16 4.76955 1 3 .

273.16 log ( ) 10.79574 1 5.02800 log 1.50475 10 1 10 273.16

0.42873 10 10 1 0.2138602 T

T T p T  

− ⋅ −  

−  

 

⋅ −  

−    

   
= ⋅ − − ⋅ + ⋅ ⋅ 

− 

                + ⋅ ⋅ − −

  Eq. 1065.645-1 Where:

p H20 = vapor pressure of water at saturation temperatur e condition, kPa.
T sat = saturation temperature of water at measured cond itions, K.

Example:
T sat = 9.5 °C
T d sat = 9.5 + 273.15 = 282.65 K

282.65 8.2969 1 4 273.16 10 H2O 10

273.16 4.76955 1 3 282.65

273.16 282.65 log ( ) 10.79574 1 5.02800 log 1.50475 10 1 10 282.65 273.16

0.42873 10 10 1 0.2138602 p  

− ⋅ −  

−  

 

⋅ −  

−    

    = ⋅ − − ⋅ + ⋅ ⋅ −              

+ ⋅ ⋅ − −

    log 10 ( p H20 ) = 0.074297

p H20 = 10 0.074297 = 1.186581 kPa

(2) For humidity measurements over ice at ambient t emperatures from (–100 to 0) °C, use the following equation:

10 H2O 10

sat sat

sat 273.16 273.16 log ( ) 9.096853 1 3.566506 log

0.876812 1 0.2138602

273.16 p T T

T    

= − ⋅ − − ⋅

         
+ ⋅ − −

   

Eq. 1065.645-2

Example:
T ice = –15.4 °C T

ice =

– 15.4 °C
T ice = –15.4+ 273.15 = 257.75 K Field Code Changed

Field Code Changed

Field Code Changed10 H2O 10 273.16 273.16 log ( ) 9.096853 1 3.566506 log 257.75 257.75

257.75 0.876812 1 0.2138602

273.16 p    

= − ⋅ − − ⋅

          + ⋅ − −

   

log 10 ( p H20 ) = –0.798207

p H20 = 10 –0.79821 = 0.159145 kPa * * * * *

77. Section 1065.650 is amended by revising paragraphs (c) introductory text, (c)(1), (c)(4), (d)(7), (e)(4), (f)(4), and adding paragrap h (c)(5) to read as follows: §1065.650 Emission calculations. * * * * * (c) Total mass of emissions over a test interval . To calculate the total mass of an emission, multiply a concentration by its respectiv e flow. For all systems, make preliminary calculations as described in paragraph (c)(1) of this section , then to correct concentrations. Next, use the method in paragraphs (c)(2) through (4) of this section that is appropriate for your system. Finally, make calculations for if necessary, calculate the mass of NMHC as described in paragraph (c)(5) of th is section for all systems. Calculate the total mass of emissions as follows: (1) Concentration corrections . Perform the following sequence of preliminary calculations on recorded concentrations: (i) Correct all gaseous emission s analyzer concentration readings, including continu ous readings, sample bag readings, and dilution air bac kground readings, for drift as described in §1065.672. Note that you must omit this step is skipped on the initial set of calculations where brake-specific emissions are calculated with out the drift correction for performing the drift validation per according to §1065.550(b). When applying the initial THC and CH 4 contamination readings taken per according to §1065.520(g), use the same values for both sets of calculations. You may also use as-measured values in the initial set of calculations and corrected values in the dri ft

- corrected set of calculations as described in §1065.520(g)(7). (ii) Correct all THC and CH 4 concentrations, including continuous readings, sam ple bags readings, and dilution air background readings, for initial contamination, as described in §1065.660(a). (iii) Correct all concentrations measured on a “dry ” basis to a “wet” basis, including dilution air background concentrations, as describe d in §1065.659. ( iii iv iv ) Calculate all THC and NMHC and CH 4 concentrations, including dilution air background concentrations, as described in §1065.66 0. ( i v v ) For emission testing with an oxygenated fuel, cal culate any HC concentrations, including dilution air background concentrations, a s described in §1065.665. See subpart I of this part for testing with oxygenated fuels. (vi) Correct all the NO x concentrations, including dilution air background concentrations, for intake-air humidity as described in §1065.670. (vi) Compare the background corrected mass of NMHC to background corrected mass of THC. If the background corrected mass of NMHC is g reater than 0.98 times the background corrected mass of THC, take the backgrou nd corrected mass of NMHC to be Field Code Changed0.98 times the background corrected mass of THC. I f you omit t he NMHC calculations

as described in §1065.660(b)(1), take the backgroun d corrected mass of NMHC to be 0.98 times the background corrected mass of THC. (vii) Calculate brake

- specific emissions before and after correcting for drift, including dilution air b ackground concentrations, according to §1065.672. * * * * * (4) Additional provisions for diluted exhaust sampl ing; continuous or batch . The following additional provisions apply for sampling emissions from diluted exhaust: (i) For sampling with a constant dilution ratio, ( DR )

, , of diluted exhaust versus exhaust flow (e.g., secondary dilution for PM sampling), ca lculate m using the following equation:

m = m dil · ( m PM = m PMdil · DR )

Eq. 1065.650-9 Example:

m PMdil = 6.853 g
DR = 6:1

m PM = 6.853

· ( 6 )

m PM = 41.118 g (ii) For continuous or batch sampling, you may meas ure background emissions in the dilution air. You may then subtract the measured b ackground emissions, as described in §1065.667. (5) Mass of NMHC . Compare the corrected mass of NMHC to corrected mass of THC. If the corrected mass of NMHC is greater than 0.98 times the corrected mass of THC, take the corrected mass of NMHC to be 0.98 times th e corrected mass of THC. If you omit the NMHC calculations as described in §1065.66 0(b)(1), take the corrected mass of NMHC to be 0.98 times the corrected mass of THC. * * * * * (d) * * * (7) Integrate the resulting values for power over t he test interval. Calculate total work as follows:

i i 1 N W P t

= = ⋅ ∆ 

# ∑

Eq. 1065.650-10 Where: W = total work from the primary output shaft
P i = instantaneous power from the primary output shaf t over an interval i

. P i = f ni · T i Eq. 1065.650-11

Example: N = 9000 f n1 = 1800.2 r ev r

/min f n2 = 1805.8 r ev r

/min
T 1 = 177.23 N·m
T 2 = 175.00 N·m
C rev = 2

· π rad/ r ev rC t1 = 60 s/min C p = 1000 (N

· m · rad/s)/kW f record = 5 Hz C t2 = 3600 s/hr

1 

### 1800.2 177.23 2 3.14159

60 1000 P ⋅ ⋅ ⋅

=

⋅ P 1 = 33.41 kW
P 2 = 33.09 kW Using Eq. 1065.650-5,
∆ t = 1/5 = 0.2 s

9000 

### (33.41 33.09 ... ) 0.2

3600 P W + + + ⋅

=

W = 16.875 kW

· hr * * * * * (e) * * * (4) The following example shows how to calculate mass of emissions us ing mean mass rate and mean power:
M CO = 28.0101 g/mol

CO x = 12.00 mmol/mol = 0.01200 mol/mol

n  = n  = 1.530 mol/s

n 

### f = 3584.5 r ev r

/min = 375.37 rad/s

T = 121.50 N·m

28.0101 0.01200 1.530 m = ⋅ ⋅ 

m  = 0.514 g/s = 1850.4 g/hr
121.5 375.37 P = ⋅ P = 45607 W

P = 45.607 kW

e CO = 1850.4/45.61

e CO = 40.57 g/(kW

· hr) * * * * * (f) * * * (4) Example. The following example shows how to calculate mass of emi ssions using proportional values: N = 3000 f record = 5 Hz

e fuel = 285 g/(kW

· hr)

w fuel = 0.869 g/g
M c = 12.0107 g/mol

1 

### n = 3.922

~ mol/s = 14119.2 mol/hr

x Ccombdry1 = 91.634 mmol/mol = 0.091634 mol/mol

x H2Oexh1 = 27.21 mmol/mol = 0.02721 mol/mol Using Eq. 1065.650-5,
∆ t = 0.2 s2 Ccombdry2 3000 Ccombdry3000

H2Oexh2 H2Oexh3000 

### 3.922 0.091634 12.0107 ... 0.2

1 0.02721 1 1

285 0.869 n x n x

x x W  

⋅ ⋅ ⋅ + + + ⋅  
+ + +  

=

⋅ 

W= 5.09 (kW

· hr) * * * * *

78. Section 1065.655 is amended by adding a new paragraph (f) and revising paragra phs (b)(1), (b)(2), (b)(3), (c)(5), (d )(1 ), and (e)(3) as follows: §1065.655 Chemical balances of fuel, intake air, and exhaust. * * * * * (b) * * * (1) A value proportional to total work, Wwhen you choose to determine brake-specific emissions as described in §1065.650(f). (2) The amount of water in a raw or diluted exhaust flow, x H2Oexh , when you do not measure the amount of water to correct for the amount of water remov ed by a sampling system. Correct for removed water according to §1065.659 (c)(2)

. . (3) The calculated dilution air flow

- weighted mean fraction of dilution air in diluted exhaust, x dil/exh , when you do not measure dilution air flow to correct for background emissions as described in §1065.667(c) and (d). Note that if you use chemical balances for this purpose, you are assuming that your exhaust is stoichiometric, eve n if it is not. (c) * * * (5) The following example is a solution for x dil/exh , x H2Oexh , and x Ccombdry using the equations in paragraph (c)(4) of this section:

dil/exh 

### 0.184 1 0.822 35.37 1 1000 x mol mol = − = +

H2Oexh 

### 35.37 34.16

35.37 1+ 1000 x mmol mol = =

Ccombdry 

### 29.3 47.6 0.371 0.369 0.0252 0.851 0.172 0.0249 1000000 1000000 1000 1000 x mol mol = + + − ⋅ − ⋅ = 

## ( )

H2dry 29.3 0.034 0.012 0.851 8.5

25.2 0.371 3.5 0.851 1000 1000 x mol mol μ ⋅ − ⋅

= =  

⋅ − ⋅    

H2Oexhdry 1.8 47.6 8.5

0.0249 0.012 0.851 0.017 0.172 0.0353 2 1000000 1000000 x mol mol

  = − + ⋅ + ⋅ − =    

dil/exhdry 

### 0.822 0.851 1-0.034 x mol mol = =

int/exhdry 1.8 47.6 0.050 2 2 0.0003 0.0249 2 1000000 1 0.172 2 0.206 29.3 50.4 12.1 8.5 2 1000000 1000000 1000000 1000000 x mol mol

     − + + ⋅ − −          

= =

 

⋅  

− − ⋅ +         Field Code Changed

Field Code Changed

Field Code Changedraw/exhdry 1.8 47.6 0.050 0.0001 0.0249 2 1000000 1 0.172 0.184 2 47.6 29.3 12.1 8.5 2 1000000 1000000 1000000 1000000 x mol mol

      + + − +            

= + =     ⋅ + − +        

O2int 0.209820 0.000375 0.206

17.22 1 1000 x mol mol

−

= = +

CO2int 

### 0.000375 1000 0.369

17.22 1 1000 x mmol mol

⋅

= =

+

H2Ointdry 16.93 17.22

16.93 1 1000 x mmol mol = =

−

CO2dil 0.375 0.371

12.01 1 1000 x mmol mol = = +

H2Odildry 11.87 =12.01

11.87 1 1000 x mmol mol =

−

COdry 29.0 = 29.3 8.601 1 1000 x mol mol

μ =

−

CO2dry 24.98 = 25.2 8.601 1 1000 x mmol mol

=

−

NOdry 50.0 = 50.4 8.601 1 1000 x mol mol

μ =

−

NO2dry 12.0 = 12.1 8.601 1 1000 x mol mol

μ =

− Field Code Changed

Field Code ChangedTHCdry 46 = 47.6 34.16 1 1000 x mol mol μ =

−

α = 1.8 β = 0.05
γ = 0.0003 δ = 0.0001 * * * * * (d) * * * (1) You may calculate w c as described in this paragraph (d)(1) based on measured fuel properties. To do so, you must determine values for α and β in all cases, but you may set
γ and δ to zero if the default value listed in Table 1 of this section is z ero. Calculate w c using the following equation:

C

c C H O S N

1

1 M
w M M M M M

α β γ δ

⋅

= ⋅ + ⋅ + ⋅ + ⋅ + ⋅

Eq. 1065.655-19 Where:

w c , c = carbon mass fraction of fuel.
M C = molar mass of carbon.

α = atomic hydrogen-to-carbon ratio of the mixture of fuel(s) being combu sted, weighted by molar consumption.
M H = molar mass of hydrogen. β = atomic oxygen-to-carbon ratio of the mixture of fuel(s) being co mbusted, weighted by molar consumption.
M O = molar mass of oxygen.
γ = atomic sulfur-to-carbon ratio of the mixture of fuel(s) being combust ed, weighted by molar consumption.
M S = molar mass of sulfur. δ = atomic nitrogen-to-carbon ratio of the mixture of fuel(s) being comb usted, weighted by molar consumption.
M N = molar mass of nitrogen.

Example:

α = 1.8 β = 0.05
γ = 0.0003 δ = 0.0001M C = 12.0107
M H = 1.01
M O = 15.9994
M S = 32.065
M N = 14.0067

c 

### 1 12.0107
1 12.0107 1.8 1.01 0.05 15.9994 0.0003 32.065 0. 0001 14.0067 w ⋅

= ⋅ + ⋅ + ⋅ + ⋅ + ⋅

w c , c = 0.8205

* * * * * (2) You may use the default values in the following table to determi ne w c for a given fuel:

Table 1 of §1065.655–Default values of α , β

, γ , δ , and w c , for various fuels

Fuel Atomic hydrogen,

oxygen, sulfur, and nitrogen-to-carbon ratios

CH α O β S γ N δ Carbon mass

fraction, w c g/g

Gasoline CH 1.85 O 0 S 0 N 0 0.866

E10 Gasoline CH 1.92 O 0.03 S 0 N 0 0.833

E15 Gasoline CH 1.95 O 0.05 S 0 N 0 0.817

E85 Gasoline CH 2.73 O 0.38 S 0 N 0 0.576

#1 Diesel CH 1.93 O 0 S 0 N 0 0.861

#2 Diesel CH 1.80 O 0 S 0 N 0 0.869
Liquefied Petroleum Gas CH 2.64 O 0 S 0 N 0 0.819
Natural gas CH 3.78 O 0.016 S 0 N 0 0.747

E100 Ethanol CH 3 O 0.5 S 0 N 0 0.521

M100 Methanol CH 4 O 1 S 0 N 0 0.375

Residual fuel blends Must be determined by measured fuel properties as described in paragraph (d)(1) of this section.

(e) * * * (3) Fuel mass flow rate calculation . Based on fuel m  , calculate exh

n  as follows: 

# ( ) fuel c H2Oexhdry
exh c Ccombdry

1 m w x
n M x

⋅ ⋅ +

=

⋅ 



Eq. 1065.655-21 Where:

exh n  = raw exhaust molar flow rate from which you measured emissions.

fuel m  = fuel flow rate including humidity in intake air.

Example:

fuel m  = 7.559 g/s

w C w c = 0.869 g/g
M C = 12.0107 g/molx Ccombdry = 99.87 mmol/mol = 0.09987 mol/mol

x H20exhdry = 107.64 mmol/mol = 0.10764 mol/mol



## ( )

exh 7.559 0.869 1 0.10764

12.0107 0.09987 n ⋅ ⋅ +

=

⋅ 

exh n  = 6.066 mol/s (f) Calculated raw exhaust molar flow rate from measured int ake air molar flow rate, dilute exhaust molar flow rate, and dilute chemical balance. You may calculate the raw exhaust molar flow rate from the engine's tailpipe

, exh n  , based on the measured intake air molar flow rate, int

n  , the measured dilute exhaust molar flow rate, dexh n  , and the values calculated using the chemical balance in paragraph (c) of this sec tion. Note that the chemical balance must be based on dilute exhaust gas concentrations. For conti nuous

flow calculations, solve for the chemical balance in paragraph (c) of this section at the same frequency that you update and record int n  and dexh n  . This calculated raw exhaust

molar flow rate exh

n  may be used for the PM dilution ratio verification in §1065.546; the
calculation of dilution air molar flow rate in the background correction in §1065.667; and the calculation of mass of emissions in §1065.650(c) for species that ar e measured in the raw exhaust. (1) Crankcase flow rate . If engines are not subject to crankcase controls under the standard-setting part, you may correct the calculated calculate raw exhaust flow using

one as described in paragraph (e)(1) of the following: this section. (i) You may measure flo w rate through the crankcase vent and subtract it from the calculated exhaust flow. (ii) You may estimate flow rate through the crankcase vent by eng ineering analysis as long as the uncertainty in your calculation does not adversely aff ect your ability to show that your engines comply with applicable emission standards. (iii) You may assume your crankcase vent flow rate is zero. (2) Dilute exhaust and intake air molar flow rate calculation

. Based on dexh 

### n  and int 

### n 

Calculate exh

n  as follows: 

# ( ) ( ) exh raw/exhdry int/exhdry H2Oexh dexh int 1 n x x x n n = − ⋅ − ⋅ +   

Eq. 1065.655-22 Where:



### = exh 

### n  raw exhaust molar flow rate from the engine's tailpipe.



### = int 

### n  intake air molar flow rate.

Example:

int 7.930 mol/s n = 

raw/exhdry 

### 0.1544 mol/mol 

### x =
mol/mol

1451 .0 int/exhdry 

### = 

### x

H2Oexh 32.46 mmol/mol 0.03246 mol/mol x = =

dexh 49.02 mol/s n = 

## ( ) ( ) exh 0.1544 0.1451 1 0.03246 49.02 7.930 0.4411 7.93 0 8.371 mol/s n = − ⋅ − ⋅ + = + = 

* * * * *

79. Section 1065.659 is amended by revising paragraphs (a), (b), and (c) to read as follows: §1065.659 Removed water correction. (a) If you remove water upstream of a concentration measurement, x , or upstream of a flow measurement, n, correct for the removed water. Perform this correction based on the amount of water at the concentration measurement, x H2O[emission]meas , and at the flow meter, x H2Oexh , whose flow is used to determine the mass emission rate or concentration’s total mass over a test interval. (b) When using For For

continuous analyzers downstream of a sample dryer for transient and ramped-modal cycles testing , you must apply this correction on a for removed water using signals from other

continuous basis over the test interval, even if you use one of the options in §1065.145(e)(2) that results in a constant value for x H2O[emission]meas because

x H2Oexh varies over the test interval analyzers

. When using For interval. For batch analyzers, determine downstream of a sample dryer, you must correct for removed water by using signals either from other batch analyzers or from the flow-weighted average based on the concentrations from continuous x

H2Oexh values determined as described in paragraph (c) of this section. For batch analyzers, you may determine the f low

- weighted
average x H2Oexh based on a single value of x H2Oexh determined as described in paragraphs (c)(2) and (3) of this section, using flow

- weighted average or batch concentration inputs analyzers inputs

. (b) D ownstream of where you removed water, you may (b) Determine the amount of water remaining downstream of a sample dryer and at the concentration m easurement using one of the methods described in §1065.145(e)(2). If you use a sample dr i y er upstream of an analyzer and if the calculated amount of water remaining d ownstream of the sample dryer and at the concentration measurement, x H2O[emission]meas , is higher than the amount of water at the flow meter, x H2Oexh , set x

H2O[emission]meas equal to x H2Oexh . If you use a sample dr i y er upstream of storage media, you must be able to demonstrate that the sample dr i y er is removing water continuously (i.e

. ., x H2Oexh is higher than x H2O[emission]meas ) throughout the test interval

. by any of the following: ). (1) Measure the dewpoint and absolute pressure downstream of the w ater removal location and calculate the amount of water remaining as described in §1065.645. (2) When saturated water vapor conditions e xist at a given location, you may use the measured temperature at that location as the dewpoint for the downstr eam flow. If we ask, you must demonstrate how you know that saturated water vapor conditions e xist. Use good engineering judgment to measure th e temperature at the appropriate location to accurately reflect the dewpoint of the flow. Note that if you use this option and the water correction in paragraph (d) of this section results in a corrected value that is greater than the measured value, your saturation assumption is invalid and you must determine the water content according to paragraph (b)(1) of this section. (3) You may also use a nominal value of absolute pressure based on an alar m set point, a pressure regulator set point, or good enginee ring judgment. (4) Set x H2O[emission]meas equal to that of the measured upstream humidity condition if it is lower than the dryer saturation conditions.(c) For a corresponding concentration or flow measurement where you did not remove

water, you may set x H2O[emission]meas equal to x H2Oexh . Y y ou may determine the amount of initial water at the flow meter, x H2Oexh , by using any of the following methods : (1) Measure the dewpoint and absolute pressure and calculate the a mount of water as described in §1065.645. Use any of t he techniques described in paragraph (b) of this section. (2) If the measurement comes from raw exhaust, you may determin e the amount of water based on intake-air humidity, plus a chemical balance of fuel, intake air

, and exhaust as described in§1065.655. (3) If the measurement comes from diluted exhaust, you may determ ine the amount of water based on intake-air humidity, dilution air humidity, and a chemica l balance of fuel, intake air, and exhaust as described in §1065.655. (d) * * *

80. Section 1065.660 is amended by revising paragraphs all paragraphs to read as follows: §1065.660 THC, NMHC, and CH 4 determination. (a) THC determination and initial THC/CH 4 initial contamination corrections . (1) If we require you to determine THC emissions, calculate x THC[THC-FID]cor using the initial THC contamination concentration x THC[THC-FID]init from §1065.520 as follows:

x THC[THC-FID]cor = x THC[THC-FID]uncor – x THC[THC-FID]init

Eq. 1065.660-1 Example:

x THCuncor = 150.3 μmol/mol

x THCinit = 1.1 μmol/mol

x THCco r = 150.3 – 1.1

x THCcor = 149.2 μmol/mol

(2) For the NMHC determination described in paragraph (b) of this section , correct

x THC[THC-FID] for initial THC contamination using Eq. 1065.660-1. You may correct

x THC[NMC-FID] for initial contamination of the CH 4 sample train using Eq. 1065.660-1, substituting in CH 4 concentrations for THC. (3) For the CH 4 determination described in paragraph (c) of this section, you may corre ct

x THC[NMC-FID] for initial THC contamination of the CH 4 sample train using Eq. 1065.660- 1, substituting in CH 4 concentrations for THC. (b) NMHC determination . Use one of the following to determine NMHC concentration,

x NMHC : (1) If you do not measure CH 4 , you may determine omit the calculation of NMHC concentrations and calculate the mass of NMHC as described in §1065.650(c)( 1 5) (vi 5 ). (2) For nonmethane cutters, calculate x NMHC using the nonmethane cutter’s penetration fraction s ( PF ) of CH 4 and the response factor penetration fraction ( RFPF ) of C 2 H 6 from §1065.365, the response factor ( RF ) of the THC FID to CH 4 from §1065.360, and using the initial THC contamination and dry-to-wet corrected THC concentra tion x THC[THCFID]cor as determined in paragraph (a) of this section, and the dry-to-wet correct ed CH 4 concentration x THC[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 N MC

configuration as outlined in §1065.365(d):

THC[THC-FID]cor THC[NMC-FID]cor CH4[THC-FI D]
NMHC C2H6[NMC-FID] CH4[THC-FID]



### 1 x x RF

x RFPF RF

− ⋅

=

− ⋅

Eq. 1065.660-2 Where:

x NMHC = concentration of NMHC.

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 t he NMC.

x THC[NMC-FID]cor = concentration of THC, initial THC contamination (optional) and dry-towet corrected, as measured by the NMC FID during sampling through the NMC.
RF CH4[THC-FID] = response factor of THC FID to CH 4 , according to §1065.360(d).
RFPF C2H6[NMC-FID] = nonmethane cutter combined ethane response factor and penetration fraction, according to §1065.365(d).

Example:

x THC[THC-FID]cor = 150.3 μmol/mol

x THC[NMC-FID]cor = 20.5 μmol/mol
RFPF C2H6[NMC-FID] = 0.019
RF CH4[THC-FID] = 1.05

NMHC 

### 150.3 20.5 1.05
1 0.019 1.05 x − ⋅

=

− ⋅

x NMHC = 131.4 μmol/mol

(ii) For penetration fractions determined using an NMC configuration as o utlined in section §1065.365(e), use the following equation:

THC[THC-FID]cor CH4[NMC-FID] THC[NMC-FID]c or NMHC CH4[NMC-FID] C2H6[NMC-FID] x PF x

x PF PF

⋅ −

=

−

Eq. 1065.660-3 Where:

x NMHC = concentration of NMHC.

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 CH4[NMC-FID] = nonmethane cutter CH 4 penetration fraction, according to §1065.365(e).

x THC[NMC-FID]cor = concentration of THC, initial THC contamination (optional) and dry-towet corrected, as measured by the THC FID during sampling through the NMC.
PF C2H6[NMC-FID] = nonmethane cutter ethane penetration fraction, according to §1065.365(e).

Example:

x THC[THC-FID]cor = 150.3 μmol/mol
PF CH4[NMC-FID] = 0.990

x THC[NMC-FID]cor = 20.5 μmol/mol
PF C2H6[NMC-FID] = 0.020 Field Code Changed

Field Code Changed

Field Code ChangedNMHC 150.3 0.990 20.5
0.990 0.020 x ⋅ −

=

−

NMHC 

### 150.3 0.990 20.5
0.990 0.020 x ⋅ −

=

−

x NMHC = 132.3 μmol/mol

(iii) For penetration fractions determined using an NMC configuration a s outlined in section §1065.365(f), use the following equation:

THC[THC-FID]cor CH4[NMC-FID] THC[NMC-FID]c or CH4[THC-FID]
NMHC CH4[NMC-FID] C2H6[NMC-FID] CH4[THC-FID] 

### x PF x RF

x PF RFPF RF

⋅ − ⋅

=

− ⋅

THC[THC-FID]cor CH4[NMC-FID] THC[NMC-FID]c or CH4[THC-FID]
NMHC CH4[NMC-FID] C2H6[NMC-FID] CH4[THC-FID] x PF x RF

x PF RFPF RF

⋅ − ⋅

=

− ⋅

Eq. 1065.660-4 Where:

x NMHC = concentration of NMHC.

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 CH4[NMC-FID] = nonmethane cutter CH 4 penetration fraction, according to §1065.365(f).

x THC[NMC-FID]cor = concentration of THC, initial THC contamination (optional) and dry-towet corrected, as measured by the THC FID during sampling through the NMC.
RFPF C2H6[NMC-FID] = nonmethane cutter CH 4 combined ethane response factor and 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:

x THC[THC-FID]cor = 150.3 μmol/mol
PF CH4[NMC-FID] = 0.990

x THC[NMC-FID]cor = 20.5 μmol/mol
RFPF C2H6[NMC-FID] = 0.019
RF CH4[THC-FID] = 0.980

NMHC 

### 150.3 0.990 20.5 0.980
0.990 0.019 0.980 x ⋅ − ⋅

=

− ⋅

x NMHC = 132.5 μmol/mol (3) For a GC- FID gas chromatograph FID , calculate x NMHC using the THC analyzer’s response factor ( RF

) for CH 4 , from §1065.360, and the initial THC contamination and dry-to-wet corrected initial THC concentration x THC[THC-FID]cor as determined in paragraph (a) of this section as follows:

NMHC THC[THC-FID]cor CH4[THC-FID] CH4 

### x x RF x = − ⋅ Eq. 1065.660-5 Where:

x NMHC = concentration of NMHC.

x THC[THC-FID]cor = concentration of THC, initial THC contamination and dry-to-wet corrected, as measured by the THC FID. Field Code Changedx CH4 = concentration of CH 4 , HC contamination (optional) and dry-to-wet corrected, as

measured by the GC- gas chromatograph FID. RF CH4[THC-FID] = response factor of THC-FID to CH 4
.
Example:

x THC[THC-FID[cor = 145.6 μmol/mol
RF CH4[THC-FID] = 0.970

x CH4 = 18.9 μmol/mol

x NMHC = 145.6 – 0.970 · 18.9

x NMHC = 127.3 μmol/mol (c) CH 4 determination . Use one of the following methods to determine CH 4 concentration, x CH4 : (1) For nonmethane cutters, calculate x CH4 using the nonmethane cutter’s penetration fraction s ( PF ) of CH 4 and the response factor penetration fraction ( RFPF ) of C 2 H 6 from §1065.365, the response factor ( RF ) of the THC FID to CH 4 from §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 using the dry-to-wet corrected CH 4 concentration x THC[NMC-FID]cor optionally corrected for initial THC contamination as determined in paragraph (a) of this section and optionally using the CH 4 contamination correction under paragraph (a) of this section

. . (i) Use the following equation for penetration fractions determined using an N MC configuration as outlined in §1065.365(d):

THC[NMC-FID]cor THC[THC-FID]cor C2H6[NMC-F ID]
CH4 C2H6[NMC-FID] CH4[THC-FID]



### 1 x x RFPF

x RFPF RF

− ⋅

=

− ⋅

Eq. 1065.660-6 Where:

x CH4 = concentration of CH 4

.
x THC[NMC-FID]cor = concentration of THC, initial THC contamination (optional) and dry-towet corrected, as measured by the NMC FID during sampling through the N MC.

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:

x THC[NMC-FID]cor = 10.4 μmol/mol

x THC[THC-FID]cor = 150.3 μmol/mol
RFPF C2H6[NMC-FID] = 0.019
RF CH4[THC-FID] = 1.05

CH4 

### 10.4 150.3 0.019
1 0.019 1.05 x − ⋅

=

− ⋅

x CH4 = 7.69 μmol/mol Field Code Changed

Field Code Changed(ii) For penetration fractions determined using an NMC configuration as o utlined in

§1065.365(e), use the following equation:



# ( ) THC[NMC-FID]cor THC[THC-FID]cor C2H6[NMC-F ID] CH4 CH4[THC-FID] CH4[NMC-FID] C2H6[NMC-FID] 

### x x PF

x RF PF PF

− ⋅

=

⋅ −

Eq. 1065.660-7 Where:

x CH4 = concentration of CH 4

.
x THC[NMC-FID]cor = concentration of THC, initial THC contamination (optional) and dry-towet corrected, as measured by the NMC FID during sampling through the N MC.

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 N MC.
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).
PF CH4[NMC-FID] = nonmethane cutter CH 4 penetration fraction, according to §1065.365(e).

Example:

x THC[NMC-FID]cor = 10.4 μmol/mol

x THC[THC-FID]cor = 150.3 μmol/mol
PF C2H6[NMC-FID] = 0.020
RF CH4[THC-FID] = 1.05
PF CH4[NMC-FID] = 0.990



## ( ) CH4 10.4 150.3 0.020
1.05 0.990 0.020 x − ⋅

=

⋅ −

x CH4 = 7.25 μmol/mol

(iii) For penetration fractions determined using an NMC configuration as outlined in §1065.365(f), use the following equation:

THC[NMC-FID]cor THC[THC-FID]cor C2H6[NMC-F ID]
CH4 CH4[NMC-FID] C2H6[NMC-FID] CH4[THC-FID] 

### x x RFPF

x PF RFPF RF

− ⋅

=

− ⋅

Eq. 1065.660-8 Where:

x CH4 = concentration of CH 4
.
x THC[NMC-FID]cor = concentration of THC, initial THC contamination (optional) and dry-towet corrected, as measured by the NMC FID during sampling through the N MC.

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 t he 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:

x THC[NMC-FID]cor = 10.4 μmol/mol

x THC[THC-FID]cor = 150.3 μmol/mol Field Code Changed

Field Code Changed

Field Code ChangedRFPF C2H6[NMC-FID] = 0.019
PF CH4[NMC-FID] = 0.990
RF CH4[THC-FID] = 1.05

CH4 

### 10.4 150.3 0.019
0.990 0.019 1.05 x − ⋅

=

− ⋅

x CH4 = 7.78 μmol/mol (2) For a gas chromatograph GC GC -FID, x CH4 is the actual dry-to-wet corrected CH 4 concentration as measured by the analyzer. * * * * *

* * * * *

81. Section 1065.667 is amended by adding a new paragraph (f) and revising paragra phs (a), (b), (c), (d), and (e) to read as follows: §1065.667 Dilution air background emission correction. (a) To determine the mass of background emissions to subtract from a dilu ted exhaust sample, first determine the total flow of dilution air, n dil , over the test interval. This may be a measured quantity or a calculated quantity calculated from the diluted exhaust flow

and the flow

- weighted mean fraction of dilution air in diluted exhaust, dil/exh 

### x . . Multiply

the total flow of dilution air by the mean mole fraction (i.e., conc entration) of a background emission. This may be a time-weighted mean or a flow-weighted mean (e.g., a proportionally sampled background). Finally

, multiply by the molar mass, M , of the associated gaseous emissions species emission constituent . The product of n dil and the mean molar concentration of a background emission and its molar mas s, M , is the total amount of a background emission, m

. If this is a molar quantity, convert it to a mass by mu ltiplying it by its molar mass, M . The result is the mass of the background emission, m

. background emission mass, m

. In the case of PM, where the mean PM concentration is already in units of mass per mole of sample, PM 

### M , multiply it by the
total amount of dilution air flow, and the result is the total background mass of PM,

m PM . Subtract total background mass es from total mass to correct for background emissions. (b) You may determine the total flow of dilution air by a direct flow measurement. In this case, calculate the total mass of background as described in §1065.650( c), using the dilution air flow, n dil . Subtract the background mass from the total mass. Use the result in brake

- specific emission calculations. (c) You may determine the total flow of dilution air by subtracting t he calculated raw exhaust molar flow as described in §1065.655(f) from the measured dilute exhaust flow. This may be done by totaling continuous calculations or by using batch results. ( c d d ) You may determine the total flow of dilution air from the total flow of measured dilute d measured dilute exhaust flow and a chemical balance of the fuel, intake air, and dilute exhaust as described in §1065.655. For this option, the molar flow of dilu tion air is calculated by multiplying the dilute exhaust flow by the mole fraction of dilution gas to dilute exhaust, dil/exh

x , from the dilute chemical balance. This may be done by totaling continuous calculations or by using batch results. In this case, calculate the total mass Field Code Changedof background as described in §1065.650(c), using For For example, to use batch results, the total flow of dilution air is calculated by mult iplying the total flow of diluted exhaust, n dexh , then multiply this result by the flow-weighted mean mole fraction of dilution air in diluted exhaust, dil/exh x . Calculate dil/exh

x using flow-weighted mean
concentrations of emissions in the chemical balance, as described in §1065. 655. The chemical balance in §1065.655 You may assumes that your engine operates stoichiometrically, even if it is a lean-burn engine, such as a compr ession-ignition engine. Note that for lean-burn engines this assumption could result in an error in emission calculations. This error could occur because the chemical balan ce s in §1065.655 correct

treats excess air passing through a lean-burn engine as if it was dilution air. If an emission concentration expected at the standard is about 100 times its dilution air background concentration, this error is negligible. However, if an emission concentration expected at the standard is similar to its background concen tration, this error could be significant. If this error might affect your abilit y to show that your engines comply with applicable standards, we recommend that you eit her determine the total flow of dilution air using one of the more accurate methods in paragr aphs (b) or (c) of this section, or remove background emissions from dilution air by HEPA filt ration, chemical adsorption, or catalytic scrubbing. You might also consider using a part ialflow dilution technique such as a bag mini-diluter, which uses purif ied air as the dilution air. ( d e e ) The following is an example of using the flow-weighted mean fractio n of dilution air in diluted exhaust, dil/exh

x , and the total mass of background emissions calculated using the total flow of diluted exhaust, n dexh , as described in §1065.650(c):

bkgnd dil/exh bkgnddexh 

### m x m = ⋅ Eq. 1065.667-1

bkgnddexh bkgnd dexh 

### m M x n = ⋅ ⋅ Eq. 1065.667-2 Example:
M NOx = 46.0055 g/mol

bkgnd 

### x = 0.05 μmol/mol = 0.05

⋅ 10 -6 mol/mol

n dexh = 23280.5 mol

dil/exh x = 0.843 mol/mol

6 bkgndNOxdexh 46.0055 0.05 10 23280.5 m −

= ⋅ ⋅ ⋅

m bkgndNOxdexh = 0.0536 g

m bkgndNOx = 0.843

· 0.0536

m bkgndNOx = 0.0452 g ( e f f ) The following is an example of using the fraction of dilution air in diluted exha ust,

x dil/exh , and the mass rate of background emissions calculated using the flow rate of diluted exhaust, dexh

n  , as described in §1065.650(c) :

bkgnd dil/exh bkgnddexh 

### m x m = ⋅ 

###   Eq. 1065.667-3bkgnddexh bkgnd dexh



### m M x n = ⋅ ⋅ 

###   Eq. 1065.667-4 Example:
M NOx = 46.0055 g/mol

x bkgnd = 0.05 μmol/mol = 0.05

⋅ 10 -6 mol/mol

dexh n  = 23280.5 mol/s

x dil/exh = 0.843 mol/mol

6 bkgndNOxdexh 46.0055 0.05 10 23280.5 m −

= ⋅ ⋅ ⋅ 

bkgndNOxdexh 

### m 

###  = 0.0536 g/hr

bkgndNOx 

### m 

###  = 0.843

· 0.0536

bkgndNOx 

### m 

###  = 0.0452 g/hr

82. Section 1065.670 is amended by revising the introductory paragraph to read as follows: §1065.670 NO x intake-air humidity and temperature corrections. See the standard-setting part to determine if you may correct NO x emissions for the effects of intake-air humidity or temperature. Use the NO x intake-air humidity and temperature corrections specified in the standard-setting part inste ad of the NO x intakeair humidity correction specified in this part 1065. If the standard-s etting part does not prohibit correcting NO x emissions for intake-air humidity according to this part 1065, first apply any NO x corrections for background emissions and water removal from the exhaust sample, then correct NO x concentrations for intake-air humidity as described in this paragraph section . See §1065.650(c)(1) for the proper sequence for applying the NO x intake-air humidity and temperature corrections. You may use a time-w eighted mean combustion air humidity to calculate this correction if your combust ion air humidity remains within a tolerance of ±0.0025 mol/mol of the mean value over the test interval. For intake-air humidity correction, use one of the following approach es: * * * * *

83. Section 1065.675 is amended by revising paragraph (d) to read as follows: §1065.675 CLD quench verification calculations. * * * * * (d) Calculate quench as follows:

NOwet

H2Oexp CO2exp NOmeas H2Omeas

NOdry H2Omeas NOact CO2act 1 1 1 100 % x

x x x x quench

x x x x          

−   = − ⋅ + − ⋅ ⋅                

Eq. 1065.675-1

Where: quench = amount of CLD quench.

x NOdry = concentration of NO upstream of a bubbler, according to §1065.370(e)(4).x NOwet = measured concentration of NO downstream of a bubbler, according to §1065.370(e)(9).

x H2Oexp = maximum expected mole fraction of water during emission testing, ac cording to paragraph (b) of this section.

x H2Omeas = measured mole fraction of water during the quench verification, according to §1065.370(e)(7)

.
x NOmeas = measured concentration of NO when NO span gas is blended with CO 2 span gas, according to §1065.370(d)(10).

x NOact = actual concentration of NO when NO span gas is blended with CO 2 span gas, according to §1065.370(d)(11) and calculated according to Equation 1065.675-2.

x CO2exp = maximum expected concentration of CO 2 during emission testing, according to paragraph (c) of this section.

x CO2act = actual concentration of CO 2 when NO span gas is blended with CO 2 span gas, according to §1065.370(d)(9)

.

CO2act NOact NOspan

CO2span 1 x x x

x  

= − ⋅     Eq. 1065.675-2 Where:

x NOspan = the NO span gas concentration input to the gas divider, according to §1065.370(d)(5).

x CO2span = the CO 2 span gas concentration input to the gas divider, according to §1065.370(d)(4).

Example:

x NOdry = 1800.0 μmol/mol

x NOwet = 17 29 17 39.6 μmol/mol

x H2Oexp = 0.030 mol/mol

x H2Omeas = 0.030 mol/mol

x NOmeas = 1 49 515 15 .2 μmol/mol

x NOspan = 3001.6 μmol/mol

x CO2exp = 3.2 %

x CO2span = 6. 00 1 %

x CO2act = 2.98 %

NOact 2.98 1 3001.6 1535.24459 μ mol/mol 6.1 x  

= − ⋅ =    

1739.6 0.030 1515.2 3.2 1 0.030 1 1 100 % 1800.0 0.030 1535.24459 2.98 quench  

       

− = − ⋅ + − ⋅ ⋅      

            quench = (–0. 00939 00366 0036655 – 0. 01109 01398 014020171 )

⋅ 100 % = – 2.0048 1.7649 % =

- 2 1.7685671 %

Subpart H—[Amended] Field Code Changed

Field Code Changed84. Section 1065.750 is amended by revising paragraphs (a)(3) and (a)(4) to read as follows: §1065.750 Analytical Gases. * * * * * (a) * * * (3) Use the following gas mixtures, with gases trac eable within ±1 .0 % of the NISTaccepted value or other gas standards we approve: * * * * * (4) You may use gases for species other than those listed in paragraph (a)(3) of this section (such as methanol in air, which you may use to determine response factors), as long as they are traceable to within ±3 .0 % of the NIST-accepted value or other similar standards we approve, and meet the stability requir ements of paragraph (b) of this section. * * * * *

85. Section 1065.790 is amended by revising paragraph ( a) to read as follows: §1065.790 Mass standards. (a) PM balance calibration weights . Use PM balance calibration weights that are cert ified as NIST-traceable within 0.1 % uncertainty. Calibr ation weights may be certified by any calibration lab that maintains NIST-traceability. Make sure your lowest highest calibration weight has no greater than ten times th e mass of an unused PM-sample medium.

Subpart J—[Amended]

86. Section 1065.915 is amended by revising Table 1 to read as follows: §1065.915 PEMS instruments. * * * * * (a) * * *Table 1 of §1065.915–Recommended minimum PEMS measurement instrument performanceMeasurementMeasuredquantity symbolRise time,t10-90,andFall time,t90-10Recording updatefrequencyAccuracy1Repeatability1Noise1Engine speed transducerfn1 s 1 Hz means5.0% of pt. or1.0% of max.2.0% of pt. or1.0% of max.0.5 % of maxEngine torque estimator, BSFC(This is a signal from an engine’s ECM)Tor BSFC 1 s 1 Hz means8.0% of pt. or5 % of max.2.0% of pt. or1.0% of max.1.0% of max.General pressure transducer(not a part of another instrument)p5 s 1 Hz5.0% of pt. or5.0% of max.2.0% of pt. or0.5 % of max.1.0% of maxAtmospheric pressure meterpatmos50 s 0.1 Hz 250 Pa 200 Pa 100 PaGeneral temperature sensor(not a part of another instrument)T5 s 1 Hz1.0% of pt. K or5 K0.5 % of pt. K or2 K0.5 % of max0.5 KGeneral dewpoint sensorTdew50 s 0.1 Hz 3 K 1 K 1 KExhaust flow metern1 s 1 Hz means5.0% of pt. or3.0% of max.2.0% of pt.2.0% of max.Dilution air, inlet air, exhaust, and sampleflow metersn1 s 1 Hz means2.5 % of pt. or1.5 % of max.1.25 % of pt. or0.75 % of max.1.0% of max.Continuous gas analyzerx5 s 1 Hz4.0% of pt. or4.0% of meas.2.0% of pt. or2.0% of meas.1.0% of max.Gravimetric PM balancemPMN/A N/A See §1065.7900.5μgN/AInertial PM balancemPMN/A N/A4.0% of pt. or4.0% of meas.2.0% of pt. or2.0% of meas.1.0% of maxa1Accuracy, repeatability, and noise are all determined with the same collected data, as described in §1065.305, and based on absolute values. “pt.” refers to the overallflow-weighted mean value expected at the standard;“max.” refers to the peak value expected at the standard over any test interval, not the maximum ofthe instrument’srange; “meas” refers to the actual flow-weighted mean measured over any test interval.* * * * *87. Section 1065.925 is amended by revising paragraphs (h)(1), (h)(2), and (h)(3) to read as follows: §1065.925 PEMS preparation for field testing. * * * * * (h) * * * (1) Select the HC analyzer s’ range s analyzer range for measuring the maximum concentration expected at the HC standard. (2) Zero the HC analyzers using a zero gas or ambie nt air introduced at the analyzer port. When zeroing the a FID s , use the FID’s ’ burner air that would be used for in-use measurements (generally either ambient air or a por table source of burner air). (3) Span the HC analyzer s using span gas introduced at the analyzer port. When spanning the FIDs, use the FIDs’ burner air that would be us ed in

- use (for example, use ambient air or a porta ble source of burner air). * * * * *

Subpart K—[Amended] 88. Section 1065.1001 is amended by revising the introd uctory text to read as follows: §1065.1001 Definitions. * * * * * Electric power generation application means an application that requires the engine speed to be very precisely controlled for th e whose purpose of generating is to generate a precise frequency of electricity . Note that , which is characterized by an engine that controls engine speed very precisely. This would generally not apply to welders or portable home generators. * * * * * High-idle speed means the engine speed where at which an engine governor function controls engine speed with operator demand at maxim um and with zero load applied. Note that “ Warm high-idle speed ” is the high-idle speed of a warmed-up engine. High-speed governor

means any device, system, or element of design tha t modulates the engine output torque for the purpose of limiting the maximum engine speed. * * * * * Idle speed means the lowest engine speed where at which an engine governor function controls engine speed with operator demand at minimum and with minimum load applied (greater than or equal to zero load ) , where an engine governor function controls engine speed

. ). For engines without a governor function that cont rols idle speed, idle speed means the manufacturer-declared value fo r lowest engine speed possible with minimum load. Note that warm idle speed This definition does not apply for operation designated as “high-idle speed.” “Warm idle speed” is the idle speed of a warmed-up engine. * * * * * Percent (%) means a representation of exactly 0.01 (with infinite precision)

. Note, however, that the precision of calculated val u es . Numbers expressed as percent is determined by standard rules of rounding, as specif ied percentages in §1065.20.Significant digits for the product of % and another value

, or the expression of any other

value this part (such as a percentage, are defined as follows: (1) tolerance of ±2 %) have infinite precision, so 2 % and 2.000000000 % have the same meaning. This means that where we specify some percentage of a total value, the calculated value has the same number of signifi cant digits as the total value. The specified percentage by which the total value is mu ltiplied has infinite precision , so that 2 % is exactly 0.02 . Note that not all dis played or recorded digits are significant. For example, 2 % of a span value where the span value i s 101.3302 is 2.026604. However, where the span value is known to have has limited precision such that only one digit to the right of the decimal is signif icant (i.e., the actual value is 101.3), 2 % of the span value is 2.026. (2) In other cases, determine the number of signif icant digits using the same method as you would use for determining the number of signifi cant digits of any calculated value. For e xample, a calculated value of 0.321, where all thre e digits are significant, is equivalent to 32.1 %. * * * * * Round means to apply the rounding convention specified i n §1065.20(e ) round numbers according to NIST SP 811 (incorporated by r eference in §1065. 1010 ), unless otherwise specified. * * * * *

89. Section 1065.1005 is amended by revising the introd uctory text, paragraphs (a), (e), (f)(2), and (g) to read as follows: §1065.1005 Symbols, abbreviations, acronyms, and units of measure. The procedures in this part generally follow the In ternational System of Units (SI), as detailed in NIST Special Publication 811, “Guide fo r the Use of the International System of Units (SI),” which we incorporate by reference i n §1065.1010. See §1065. 25 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 quantities . This part uses the following symbols and units o f measure for various quantities:

Symbol Quantity Unit Unit symbol Units in terms of SI base SI u Units units
% percent 0.01 % 10 - 2

α atomic hydrogen to carbon ratio mole per mole mol/mol 1
A area square meter m 2 m 2

A 0 intercept of least squares regression
A 1 slope of least squares regression β ratio of diameters meter per meter m/m 1 β atomic oxygen to carbon ratio mole per mole mol/mol 1
C # number of carbon atoms in a molecule d Diameter meter m m
DR dilution ratio mole per mol mol/mol 1

ε error between a quantity and its

reference

e brake-specific basis emission or fuel

consumption gram per kilowatt hour g/(kW

· hr) g

· 3.6 -1

· 10 6

· m -2

· kg

· s 2

F F

- test statistic f frequency hertz Hz s - 1 f n angular speed rotational frequency revolutions per minute r ev r /min 2

· π pi π · 60 - 1

· m·m - 1 ·s -(shaft) 1

γ ratio of specific heats (joule per kilogram kelvin) per (joule per kilogram kelvin) (J/(kg

· K))/(J/(kg

· K)) 1

K correction factor 1 l length meter m m

μ viscosity, dynamic pascal second Pa

· s m - 1

· kg

· s - 1

M molar mass 1 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

ν viscosity, kinematic meter squared per second m 2 /s m 2

· s -1

N total number in series

n amount of substance mole mol mol

n  amount of substance rate mole per second mol/s mol

· s -1

P power kilowatt kW 10 3

· m 2

· kg

· s - 3

PF penetration fraction

p pressure pascal Pa m - 1

· kg

· s - 2

ρ mass density kilogram per cubic

meter kg/m 3 kg

· m -3

r ratio of pressures pascal per pascal Pa/Pa 1
R 2 coefficient of determination
Ra average surface roughness micrometer μ m m 10 10 - 6 m Re # Reynolds number
RF response factor
RH % relative humidity 0.01 % 10 - 2

σ 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 m 2

· kg

· s - 2

t time second s s
∆ t time interval, period, 1/frequency second s s
V volume cubic meter m 3 m 3

V  volume rate cubic meter per second m 3 /s m 3

· s -1

W work kilowatt hour kW

· hr 3.6

· 10 - 6

· m 2

· kg

· s - 2

w c carbon mass fraction gram per gram g/g 1

x amount of substance mole fraction 2 mole per mole mol/mol 1

x flow-weighted mean concentration mole per mole mol/mol 1

y generic variable

1 See paragraph (f)(2) of this section for the values to u se for molar masses. Note that in the cases of NO
x and HC, the regulations specify effective molar masses based on assum ed speciation rather than actual speciation.

2 Note that mole fractions for THC, THCE, NMHC, NMHCE, a nd NOTHC are expressed on a C 1 equivalent basis. * * * * * (e) Subscripts . This part uses the following subscripts to defin e a quantity:

Subscript Quantity abs absolute quantity
act actual condition air air, dry atmos atmospheric cal calibration quantity
CFV critical flow venturi cor corrected quantity
dil dilution air dexh diluted exhaust
exh raw exhaustexp expected quantity hi,idle condition at high-idle i an individual of a series
idle condition at idle in quantity in init initial quantity, typically before an emission test j an individual of a series

max the maximum (i.e., peak) value expected at the standard over a

test interval; not the maximum of an instrument range meas measured quantity

out quantity out part partial quantity
PDP positive

- displacement pump ref reference quantity
rev revolution sat saturated condition slip PDP slip span span quantity
SSV subsonic venturi std standard condition test test quantity test,alt alternate test quantity uncor uncorrected quantity zero zero quantity

(f) * * * (2) This part uses the following molar masses or ef fective molar masses of chemical species:

Symbol Quantity g/mol (10 -3

. kg . mol -1 )
M air molar mass of dry air 1 air 1 28.96559
M Ar molar mass of argon 39.948
M C molar mass of carbon 12. 0107 16.0425 010 7
M C3H8 molar mass of propane 44.09562
M CH4 molar mass of methane 16.043
M CO molar mass of carbon monoxide 28.0101
M CO2 molar mass of carbon dioxide 44.0095
M H molar mass of atomic hydrogen 1.00794
M H2 molar mass of molecular hydrogen 2.01588
M H2O molar mass of water 18.01528
M He molar mass of helium 4.002602
M N molar mass of atomic nitrogen 14.0067
M N2 molar mass of molecular nitrogen 28.0134
M NMHC effective molar mass of nonmethane hydrocarbon 2 13.875389
M NMHCE effective molar mass of nonmethane equivalent hydrocarbon 2 13.875389
M NOx effective molar mass of oxides of nitrogen 3 46.0055
M N2O effective molar mass of nitrous oxide 44.0128
M O molar mass of atomic oxygen 15.9994
M O2 molar mass of molecular oxygen 31.9988
M S molar mass of sulfur 32.065
M THC effective molar mass of total hydrocarbon 2 13.875389
M THCE effective molar mass of total hydrocarbon equivalent 2 13.875389

1 See paragraph (f)(1) of this section for the composition o f dry air.

2 The effective molar masses of THC, THCE, NMHC, and NMH CE are defined by an atomic hydrogen-to-carbon ratio, α , of 1.85.

3 The effective molar mass of NO
x is defined by the molar mass of nitrogen dioxide, NO 2 .(g) Other acronyms and abbreviations . This part uses the following additional

abbreviations and acronyms:

ASTM American Society for Testing and Materials BMD bag mini-diluter
BSFC brake

- specific fuel consumption
CARB California Air Resources Board CFR Code of Federal Regulations
CFV critical

- flow venturi CI compression-ignition CITT Curb Idle Transmission Torque CLD chemiluminescent detector CVS constant-volume sampler DF deterioration factor
ECM electronic control module EFC electronic flow control EGR exhaust gas recirculation EPA Environmental Protection Agency FEL Family Emission Limit FID flame-ionization detector GC gas chromatograph GC-ECD gas chromatograph with an electron-capture detector GC-FID gas chromatograph with a flame ionization detector
IBP initial boiling point
ISO International Organization for Standardization
LPG liquefied petroleum gas
NDIR nondispersive infrared NDUV nondispersive ultraviolet NIST National Institute for Standards and Technology
NMC nonmethane cutter PDP positive-displacement pump PEMS portable emission measurement system PFD partial-flow dilution PMP Polymethylpentene pt. a single point at the mean value expected at the standard. PTFE polytetrafluoroethylene (commonly known as TeflonTM) RE rounding error
RESS rechargeable energy storage system RMC ramped-modal cycle RMS root-mean square RTD resistive temperature detector
SSV subsonic venturi SI spark-ignition
UCL upper confidence limit UFM ultrasonic flow meter
U.S.C. United States Code

* * * * *

* * * * *

90. Section 1065.1010 is amended by revising paragraph (c) to read as follows: §1065.1010 Reference materials.

* * * * *Documents listed in this section have been incorpor ated by reference into this part. The

Director of the Federal Register approved the incor poration by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR part 51. Anyone may inspect copies at the U.S. EP A, Air and Radiation Docket and Information Center, 1301 Const itution Ave., NW., Room B102, EPA West Building, Washington, DC 20460 or at the National Archives and Records Administration (NARA). For information on the avai lability of this material at NARA

, call 202

- 741

- 6030, or go to: http://www.archives.gov/federal_register/code_of_fe deral_regulations/ibr_locations.html. (a) ASTM material . Table 1 of this section lists material from the American Society for Testing and Materials that we have incorporate d by reference. The first column lists the number and name of the material. The second column lists the sections of this part where we reference it. Anyone may purchase copies of the se materials from the American Society for Testing and Materials, 100 B arr Harbor Dr., P.O. Box C700, West Conshohocken, PA 19428 or www.astm.com. Table 1 fo llows:

Table 1 of §1065.1010

– ASTM materials

Document number and name Part 1065 reference

ASTM D86

- 07a, Standard Test Method for Distillation of Petroleum Products at Atmospheric Pressure 1065.703, 1065.710

ASTM D93

- 07, Standard Test Methods for Flash Point by Pensky

- Martens Closed Cup Tester 1065.703

ASTM D445

- 06, Standard Test Method for Kinematic Viscosity of Tra nsparent and Opaque Liquids (and the Calculation of D ynamic Viscosity) 1065.703

ASTM D613

- 05, Standard Test Method for Cetane Number of Diesel Fuel Oil 1065.703

ASTM D910

- 07, Standard Specification for Aviation Gasolines 1065.701

ASTM D975

- 07b, Standard Specification for Diesel Fuel Oils 1065.701

ASTM D1267

- 02 (Reapproved 2007), Standard Test Method for Gage Vapor Pressur e of Liquefied Petroleum (LP) Gases (LP

- Gas Method) 1065.720

ASTM D1319

- 03, Standard Test Method for Hydrocarbon Types in Liquid Petroleum Products by Fluorescent Indicator Adsorption 1065.710

ASTM D1655

- 07e01, Standard Specification for Aviation Turbine Fuels 1065.701

ASTM D1837

- 02a (Reapproved 2007), Standard Test Method for Volatility of Liquefied Petroleum (LP) Gases 1065.720

ASTM D1838

- 07, Standard Test Method for Copper Strip Corrosion by Liquefied Petroleum (LP) Gases 1065.720

ASTM D1945

- 03, Standard Test Method for Analysis of Natural Gas by Gas Ch romatography 1065.715

ASTM D2158

- 05, Standard Test Method for Residues in Liquefied Petroleum (LP) Gases 1065.720

ASTM D2163

- 05, Standard Test Method for Analysis of Liquefied Petroleum ( LP) Gases and Propene Concentrates by Gas Chromatography 1065.720

ASTM D2598

- 02 (Reapproved 2007), Standard Practice for Calculation of Certa in Physical Properties of Liquefied Petroleum (LP) Gases from Compositional Analysis 1065.720

ASTM D2622

- 07, Standard Test Method for Sulfur in Petroleum Products by Wav elength Dispersive X

- ray Fluorescence Spectrometry 1065.703, 1065.710

ASTM D2713

- 91 (Reapproved 2001), Standard Test Method for Dry ness of Propane (Valve Freeze Method) 1065.720

ASTM D2784

- 06, Standard Test Method for Sulfur in Liquefied Petroleum Gases (Oxy

- Hydrogen Burner or Lamp) 1065.720

ASTM D2880

- 03, Standard Specification for Gas Turbine Fuel Oils 1065.701

ASTM D2986

- 95a (Reapproved 1999), Standard Practice for Evaluation of Air Ass ay Media by the Monodisperse DOP (Dioctyl Phthalate) Smoke Test 1065.170

ASTM D3231

- 07, Standard Test Method for Phosphorus in Gasoline 1065.710

ASTM D3237

- 06e01, Standard Test Method for Lead in Gasoline By Atomic Absorption Spectroscopy 1065.710ASTM D4052

- 96e01 (Reapproved 2002), Standard Test Method for Density a nd Relative Density of Liquids by Digital Density Meter 1065.703

ASTM D4814

- 07a, Standard Specification for Automotive Spark

- Ignition Engine Fuel 1065.701

ASTM D5186

- 03, Standard Test Method for Determination of the Aromatic Co ntent and Polynuclear Aromatic Content of Diesel Fuels and Aviation Turbine Fuels B y Supercritical Fluid Chromatography 1065.703

ASTM D5191

- 07, Standard Test Method for Vapor Pressure of Petroleum Products (Mini Method) 1065.710

ASTM D5797

- 07, Standard Specification for Fuel Methanol (M70

- M85) for Automotive Spark

- Ignition Engines 1065.701

ASTM D5798

- 07, Standard Specification for Fuel Ethanol (Ed75

- Ed85) for Automotive Spark

- Ignition Engines 1065.701

ASTM D6615

- 06, Standard Specification for Jet B Wide

- Cut Aviation Turbine Fuel 1065.701

ASTM D6751

- 07b, Standard Specification for Biodiesel Fuel Blend Stock (B100) for Middle Distillate Fuels 10 65.701

ASTM D6985

- 04a, Standard Specification for Middle Distillate Fuel Oil

— Military Marine Applications 1065.701

ASTM F1471

- 93 (Reapproved 2001), Standard Test Method for Air Cleaning Performance of a High

Efficiency Particulate Air Filter System 1065.1001

(b) ISO material . Table 2 of this section lists material from the International Organization for Standardization that we have incor porated by reference. The first column lists the number and name of the material. The second column lists the section of this part where w e reference it. Anyone may purchase copies of thes e materials from the International Organization for Standardization, Cas e Postale 56, CH

- 1211 Geneva 20, Switzerland or www.iso.org. Table 2 follows:

Table 2 of §1065.1010

– ISO materials

Document number a nd name Part 1065 reference ISO 2719:2002, Determination of flash point

-- Pensky

- Martens closed cup method 1065.705 ISO 3016:1994, Petroleum products

-- Determination of pour point 1065.705 ISO 3104:1994/Cor 1:1997, Petroleum products

-- Transparent and opaque liquids

-- Determination of kinematic viscosity and calculation of dynamic viscosity 1065.705

ISO 3675:1998, Crude petroleum and liquid petroleum products

-- Laboratory determination of density

-- Hydrometer method 1065.705

ISO 3733:1999, Petr oleum products and bituminous materials

-- Determination of water

-- Distillation method 1065.705 ISO 6245:2001, Petroleum products

-- Determination of ash 1065.705 ISO 8217:2005, Petroleum products

-- Fuels (class F)

-- Specifications of marine fuels 10 65.705 ISO 8754:2003, Petroleum products

-- Determination of sulfur content

-- Energy

- dispersive X

- ray fluorescence spectrometry 1065.705

ISO 10307

- 2:1993, Petroleum products

-- Total sediment in residual fuel oils

-- Part 2: Determination using standard procedures for ageing 1065.705

ISO 10370:1993/Cor 1:1996, Petroleum products

-- Determination of carbon residue

-- Micro method 1065.705 ISO 10478:1994, Petroleum products

-- Determination of aluminium and silicon in fuel oils

-- Inductively coupled pla sma emission and atomic absorption spectroscopy methods 1065.705

ISO 12185:1996/Cor 1:2001, Crude petroleum and petroleum prod ucts

-- Determination of density

-- Oscillating U

- tube method 1065.705

ISO 14596:2007, Petroleum products

-- Determination of sulfur content

-- Wavelength

- dispersive X

- ray fluorescence spectrometry 1065.705

ISO 14597:1997, Petroleum products

-- Determination of vanadium and nickel content

-- Wavelength

dispersive X

- ray fluorescence spectrometry 1065.705

ISO 14644

- 1:1999, Cleanr ooms and associated controlled environments 1065.190

* * * * * (c) NIST material . Table 3 of this section lists material from the National Institute of Standards and Technology that we have incorporated by reference. The first column liststhe number and name of the material. The second co lumn lists the section of this part

where we reference it. Anyone may purchase copies of these materials from the Government Printing Office, Washington, DC 20402 or download them free from the Internet at www.nist.gov. Table 3 follows:

Table 3 of §1065.1010–NIST materials

Document number and name Part 1065 reference NIST Special Publication 811, 2008 Edition, Guide for the Us e of the International System of Units (SI), Barry N. Taylor, Physics Laboratory, and Ambler Thompson, Technology Services and Barry N. Taylor, Physics Laboratory , March 2008 1065.20(a) and (e), 1065.1005

NIST Technical Note 1297, 1994 Edition, Guidelines for Evaluati ng and Expressing the Uncertainty of NIST Measurement Results, Barry N. Taylor and Chris E. Kuyatt 1065.1001

(d) SAE material . Table 4 of this section lists material from the Society of Automotive Engineering that we have incorporated by reference. The first column lists the number and name of the material. The second column lists the sections of this part where we reference it. Anyone may purchase copies of these materials from the Society of Automotive Engineers, 400 Commonwealth Drive, Warre ndale, PA 15096 or www.sae.org. Table 4 follows:

Table 4 of §1065.1010

– SAE materials

Document number and name Part 1065 reference “Optimization of Flame Ionization Detector for Determi nation of Hydrocarbon in Diluted Automotive Exhausts,” Reschke Glen D., SAE 770141 1065.360

(e) California Air Resources Board material . Table 5 of this section lists material from the California Air Resources Board that we have inc orporated by reference. The first column lists the number and name of the material. The second column lists the sections of this part where we reference it. Anyone may get copies of these materials from the California Air Resources Board 9528 Telstar Ave., E l Monte, California 91731. Table 5 follows: Table 5 of §1065.1010

– California Air Resources Board materials

Document number and name Part 1065 reference

“California Non

- Methane Organic Gas Test Procedures,” Amended July 30, 2002, M obile Source Division, California Air Resources Board 1065.805

(f) Institute of Petroleum material . Table 6 of this section lists the Institute of P etroleum standard test methods material from the Energy Inst itute that we have incorporated by reference. The first column lists the number and n ame of the material. The second column lists the section of this part where we refe rence it. Anyone may purchase cop ies of these materials from the Energy Institute, 61 Ne w Cavendish Street , London, W1G 7AR, UK , +44 (0)20 7467 7100 or www.energyinst.org .uk. Table 6 follows:

Table 6 of §1065.1010

– Institute of Petroleum materials

Document number and name Part 1065 ref erence

IP

- 470, Determination of Aluminum, silicon, vanadium, nickel, iron, calcium, zinc, and sodium in residual fuels by atomic absorption spectrometry 1065.705

IP

- 500 Determination of the phosphorus content of residual fuels by ultra

- violet spectrometry 1065.705
IP

- 501 Determination of aluminium, silicon, vanadium, nickel, iron, sodium, calcium, zinc and 1065.705 Formatted Tablephosphorus in residual fuel oil by ashing, fusion and inducti vely coupled plasma emission spectrometry

* * * * *

* * * * *91. A new part 1066 is added to subchapter U to read as follows:

Part 1066—Vehicle-Testing Procedures

Subpart A—Applicability and General Provisions

Sec. 1066.1 Applicability. 1066.2 Submitting information to EPA under this par t. 1066.5 Overview of this part 1066 and its relations hip to the standard-setting part. 1066.10 Other procedures. 1066.15 Overview of test procedures. 1066.20 Units of measure and overview of calculatio ns. 1066.25 Recordkeeping.

Subpart B—Equipment, Fuel, and Gas Specifications

1066. 201 101 Overview.

Subpart C—Dynamometer Specifications

1066. 1 1066. 201 Dynamometer Overview overview. 1066. 1 1066. 210 Dynamometers. 1066. 1 1066. 215 Summary of verification and calibration procedu res for chassis dynamometers. 1066. 1 1066. 220 Linearity verification. 1066. 1 1066. 225 Roll runout and diameter verification procedure

. 1066. 1 1066. 230 Time verification procedure. 1066. 1 1066. 235 Speed verification procedure. 1066. 1 1066. 240 Torque transducer verification and calibration. 1066. 1 1066. 245 Response time verification. 1066. 1 1066. 250 Base inertia verification. 1066. 1 1066. 255 Parasitic loss verification. 1066. 1 1066. 260 Parasitic friction compensation evaluation. 1066. 1 1066. 265 Acceleration and deceleration verification. 1066. 1 1066. 270 Unloaded coastdown verification. 1066. 1 1066. 280 Driver’s aid.

Subpart C D D —Coastdown

1066. 2 1066. 301 Overview of coastdown procedures. 1066. 2 1066. 310 Coastdown procedures for heavy-duty vehicles.

Subpart D E E —Vehicle Preparation and Running a Test

1066. 3 1066. 401 Overview.1066. 3 1066.404 Road load power and test weight determinat ion.

1066.3 1066. 407 Vehicle preparation and preconditioning. 1066. 3 1066. 410 Dynamometer test procedure. 1066. 3 1066. 420 Pre-test verification procedures and pre-test d ata collection. 1066. 3 1066. 425 Engine starting and restarting. 1066. 3 1066. 430 Performing emission tests

Subpart E F F —Hybrids 1066. 401 501 Overview.

Subpart F

— [Reserved]

Subpart G—Calculations

1066.601 Overview. 1066.610 Mass-based and molar-based exhaust emissio n calculations.

Subpart H—Definitions and Other Reference Material

1066.701 Definitions. 1066.705 Symbols, abbreviations, acronyms, and unit s of measure. 1066.710 Reference materials.

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

Subpart A—Applicability and General Provisions

§1066.1 Applicability. (a) This part describes the procedures that apply t o testing we require for the following vehicles: (1) Model year 2014 and later heavy-duty highway ve hicles we regulate under 40 CFR part 1037 that are not subject to chassis testing f or exhaust emissions under 40 CFR part 86. (2) [Reserved] (b) The procedures of this part may apply to other types of vehicles, as described in this part and in the standard-setting part. (c) The term “you” means anyone performing testing under this part other than EPA. (1) This part is addressed primarily to manufacture rs of vehicles, but it applies equally to anyone who does testing under this part for such ma nufacturers. (2) This part applies to any manufacturer or suppli er of test equipment, instruments, supplies, or any other goods or services related to the procedures, requirements, recommendations, or options in this part. (d) Paragraph (a) of this section identifies the pa rts of the CFR that define emission standards and other requirements for particular typ es of vehicles. In this part, we refer to each of these other parts generically as the ''stan dard-setting part.'' For example, 40 CFR part 1037 is the standard-setting part for heavy-du ty highway vehicles.(e) Unless we specify otherwise, the terms “procedu res” and “test procedures” in this part

include all aspects of vehicle testing, including t he equipment specifications, calibrations, calculations, and other protocols and procedural sp ecifications needed to measure emissions. (f) For additional information regarding these test procedures, visit our Web site at www.epa.gov, and in particular http://www.epa.gov/n vfel/testing/regulations.htm.

§1066.2 Submitting information to EPA under this part. (a) You are responsible for statements and informat ion in your applications for certification, requests for approved procedures, se lective enforcement audits, laboratory audits, production-line test reports, field test re ports, or any other statements you make to us related to this part 1066. If you provide state ments or information to someone for submission to EPA, you are responsible for these st atements and information as if you had submitted them to EPA yourself. (b) In the standard-setting part and in 40 CFR 1068 .101, we describe your obligation to report truthful and complete information and the co nsequences of failing to meet this obligation. See also 18 U.S.C. 1001 and 42 U.S.C. 7413(c)(2). This obligation applies whether you submit this information directly to EPA or through someone else. (c) We may void any certificates or approvals assoc iated with a submission of information if we find that you intentionally submi tted false, incomplete, or misleading information. For example, if we find that you inte ntionally submitted incomplete information to mislead EPA when requesting approval to use alternate test procedures, we may void the certificates for all engine familie s certified based on emission data collected using the alternate procedures. This wou ld also apply if you ignore data from incomplete tests or from repeat tests with higher e mission results. (d) We may require an authorized representative of your company to approve and sign the submission, and to certify that all of the information submitted is accurate and complete. This includes everyone who submits infor mation, including manufacturers and others. (e) See 40 CFR 1068.10 for provisions related to co nfidential information. Note however that under 40 CFR 2.301, emission data is generally not eligible for confidential

treatment. (f) Nothing in this part should be interpreted to l imit our ability under Clean Air Act section 208 (42 U.S.C. 7542) to verify that vehicle s conform to the regulations.

§1066.5 Overview of this part 1066 and its relationship to the standard-setting part

. (a) This part specifies procedures that can apply g enerally to testing various categories of vehicles. See the standard-setting part for direct ions in applying specific provisions in this part for a particular type of vehicle. Before using this part's procedures, read the standard-setting part to answer at least the follow ing questions: (1) What drive schedules must I use for testing? (2) Should I warm up the test vehicle before measur ing emissions, or do I need to measure cold-start emissions during a warm-up segme nt of the duty cycle? (3) Which exhaust constituents do I need to measure ? Measure all exhaust constituents that are subject to emission standards, any other e xhaust constituents needed for calculating emission rates, and any additional exha ust constituents as specified in thestandard-setting part. We may approve your request to omit measurement of N 2 O and CH 4 for a vehicle, provided it is not subject to an N 2 O or CH 4 emission standard and we determine that other information is available to gi ve us a reasonable basis for estimating or approximating the vehicle’s emission rates. (4) Do any unique specifications apply for test fue ls? (5) What maintenance steps may I take before or bet ween tests on an emission-data vehicle? (6) Do any unique requirements apply to stabilizing emission levels on a new vehicle? (7) Do any unique requirements apply to test limits , such as ambient temperatures or pressures? (8) Is field testing required or allowed, and are t here different emission standards or procedures that apply to field testing? (9) Are there any emission standards specified at p articular operating conditions or ambient conditions? (10) Do any unique requirements apply for durabilit y testing? (b) The testing specifications in the standard-sett ing part may differ from the specifications in this part. In cases where it is not possible to comply with both the standard-setting part and this part, you must compl y with the specifications in the standard-setting part. The standard-setting part m ay also allow you to deviate from the procedures of this part for other reasons. (c) The following table shows how this part divides testing specifications into subparts:

Table 1 of §1066.5—Description of Part 1066 subpart s. This subpart Describes these specifications or proc edures Subpart A Applicability and general provisions. Subpart B Equipment for testing. Subpart C Coastdowns for testing. Dynamometer specifications. Subpart D How to prepare your vehicle and run an emissions test over a

predetermined duty cycle. Coastdowns for testing. Subpart E How to prepare your vehicle and run an emission test with hybrid

vehicles

. Subpart F Reserved. How to test hybrid vehicles. Subpart G Test procedure calculations. Subpart H Definitions and reference material.

§1066.10 Other procedures. (a) Your testing. The procedures in this part apply for all testing you do to show compliance with emission standards, with certain ex ceptions listed in this section. In some other sections in this part, we allow you to u se other procedures (such as less precise or less accurate procedures) if they do not affect your ability to show that your vehicles comply with the applicable emission standa rds. This generally requires emission levels to be far enough below the applicable emissi on standards so that any errors caused by greater imprecision or inaccuracy do not affect your ability to state unconditionally that the engines meet all applicable emission stand ards.(b) Our testing. These procedures generally apply for testing that we do to determine if your vehicles comply with applicable emission stand ards. We may perform other testing as allowed by the Act. (c) Exceptions. We may allow or require you to use procedures oth er than those specified in this part in the following cases, which may apply to for laboratory testing, field testing, or both . We intend to publicly announce when we allow or require such exceptions. The provisions of , as described in 40 CFR 1065.10(c ) apply for testing under this part. ). All of the test procedures noted there as exceptions to the specified procedures are considered generically as "other pro cedures." Note that the terms "special procedures" and "alternate procedures" have specifi c meanings; "special procedures" are those allowed by 40 CFR 1065.10(c)(2) and "alternat e procedures" are those allowed by 40 CFR 1065.10(c)(7). If we require you to request approval to use other procedures under this paragraph (c), you may not use them unti l we approve your request.

§1066.15 Overview of test procedures. This section outlines the procedures to test vehicl es that are subject to emission standards. (a) In the standard-setting part, we set emission s tandards in g/mile (or g/km), for the following constituents: (1) Total oxides of nitrogen, NO x . (2) Hydrocarbons (HC), which may be expressed in th e following ways: (i) Total hydrocarbons, THC. (ii) Nonmethane hydrocarbons, NMHC, which results f rom subtracting methane (CH 4 ) from THC. (iii) Total hydrocarbon-equivalent, THCE, which res ults from adjusting THC mathematically to be equivalent on a carbon-mass ba sis. (iv) Nonmethane hydrocarbon-equivalent, NMHCE, whic h results from adjusting NMHC mathematically to be equivalent on a carbon-mass ba sis. (3) Particulate mass, PM. (4) Carbon monoxide, CO. (b) Note that some vehicles may not be subject to s tandards for all the emission constituents identified in paragraph (a) of this se ction. (c) We generally set emission standards over test i ntervals and/or drive schedules, as follows: (1) Vehicle operation . Testing may involve measuring emissions and mile s travelled in a laboratory-type environment or in the field. The s tandard-setting part specifies how test intervals are defined for field testing. Refer to the definitions of “duty cycle” and “test interval” in §1066.701. Note that a single drive s chedule may have multiple test intervals and require weighting of results from multiple test phases to calculate a composite distance-based emission value to compare to the sta ndard. (2) Constituent determination . Determine the total mass of each constituent ove r a test interval by selecting from the following methods: (i) Continuous sampling . In continuous sampling, measure the constituent’ s concentration continuously from raw or dilute exhau st. Multiply this concentration by the continuous (raw or dilute) flow rate at the emi ssion sampling location to determine the constituent’s flow rate. Sum the constituent’s flow rate continuously over the test interval. This sum is the total mass of the emitte d constituent.(ii) Batch sampling . In batch sampling, continuously extract and stor e a sample of raw or

dilute exhaust for later measurement. Extract a sa mple proportional to the raw or dilute exhaust flow rate, as applicable. You may extract and store a proportional sample of exhaust in an appropriate container, such as a bag, and then measure HC, CO, and NO x concentrations in the container after the test phas e. You may deposit PM from proportionally extracted exhaust onto an appropriat e substrate, such as a filter. In this case, divide the PM by the amount of filtered exhau st to calculate the PM concentration. Multiply batch sampled concentrations by the total (raw or dilute) flow from which it was extracted during the test interval. This product i s the total mass of the emitted constituent. (iii) Combined sampling . You may use continuous and batch sampling simulta neously during a test interval, as follows: (A) You may use continuous sampling for some consti tuents and batch sampling for others. (B) You may use continuous and batch sampling for a single constituent, with one being a redundant measurement, subject to the provisions of 40 CFR 1065.201. (d) Refer to the standard-setting part for calculat ions to determine g/mile emission rates. (e) The regulation highlights several specific case s where good engineering judgment is especially relevant. You must use good engineering judgment for all aspects of testing under this part, not only for those provisions wher e we specifically re-state this requirement.

§1066.20 Units of measure and overview of calculations. (a) System of units . The procedures in this part follows both convent ional English Units and the International System of Units (SI), as deta iled in NIST Special Publication 811, 1995 Edition, “Guide for the Use of the International System of U nits (SI),” which we incorporate by reference in §1066.710. This document is available on the Internet at http://www.nist.gov/physlab/pubs/sp811. (b) Units conversion . Use good engineering judgment to convert units b etween measurement systems as needed. The following conve ntions are used throughout this document and should be used to convert units as app licable: (1) 1 hp = 33,000 ft

· lbf/min = 550 ft

· lbf/s = 0.7457 kW. (2) 1 lbf = 32.174 ft

· lbm/s 2 = 4.4482 N. (3) 1 inch = 25.4 mm. (c) Rounding

. Unless the standard

- setting The rounding provisions of 40 CFR 1065.20 apply for calculations in this part . This generally specifies otherwise, that you round only final values

, but

not intermediate values. Round values to the number of significant digits necessary to match the number of decimal pla ces of the applicable standard or specification. For information not related to stan dards or sp ecifications, Use good engineering judgment to record the appropriate numb er of significant digits for all

measurements

. (d) Interpretation of ranges . Interpret a range as a tolerance unless we expli citly identify it as an accuracy, repeatability, linearity, or noi se specification. See 40 CFR 1065.1001 for the definition of tolerance. In this part, we specify two types of ranges:(1) Whenever we specify a range by a single value a nd corresponding limit values above

and below that value, target any associated control point to that single value. Examples of this type of range include “±10 % of maximum pre ssure”, or “(30 ±10) kPa”. (2) Whenever we specify a range by the interval bet ween two values, you may target any associated control point to any value within that r ange. An example of this type of range is “(40 to 50) kPa”. (e) Scaling of specifications with respect to an ap plicable standard . Because this part 1066 is applicable applies to a wide range of vehicles and emission standards , some of the specifications in this part are scaled with respect to a vehicle’s applicable standard or weight. This ensures that the specification will b e adequate to determine compliance, but not overly burdensome by requiring unnecessarily hi gh-precision equipment. Many of these specifications are given with respect to a “f low-weighted mean” that is expected at the standard or during testing. Flow-weighted mean is the mean of a quantity after it is weighted proportional to a corresponding flow rate. For example, if a gas concentration is measured continuously from the raw exhaust of an engine, its flow-weighted mean concentration is the sum of the products of each re corded concentration times its respective exhaust flow rate, divided by the sum of the recorded flow rates. As another example, the bag concentration from a CVS system is the same as the flow-weighted mean concentration, because the CVS system itself f low-weights the bag concentration. Refer to 40 CFR 1065.602 for information needed to estimate and calculate flowweighted means.

§1066.25 Recordkeeping. The procedures in this part include various require ments to record data or other information. Refer to the standard-setting part re garding recordkeeping requirements. If the standard-setting part does not specify recordke eping requirements, store these records in any format and on any media and keep them readil y available for one year after you send an associated application for certification, o r one year after you generate the data if they do not support an application for certificatio n. You must promptly send us organized, written records in English if we ask for them. We may review them at any time.

Subpart B—Equipment, Fuel, and Gas Specifications

§1066.101 Overview. (a) This subpart addresses equipment related to emi ssion testing, as well as test fuels and analytical gases. This section addresses emission sampling and analytical equipment, test fuels, and analytical gases. The remainder of this subpart addresses chassis dyn amometers and related equipment. (b) The provisions of 40 CFR part 1065 specify engi ne-based procedures for measuring emissions. Except as specified otherwise in this p art, the provisions of 40 CFR part 1065 apply for testing required by this part as follows: (1) The provisions of 40 CFR 1065.140 through 1065. 195 specify equipment for exhaust dilution and sampling systems. (2) The provisions of 40 CFR part 1065, subparts C and D, specify measurement instruments and their calibrations.(3) The provisions of 40 CFR part 1065, subpart H, specify fuels, engine fluids, and

analytical gases. (4) The provisions of 40 CFR part 1065, subpart J, describe how to measure emissions from vehicles operating outside of a laboratory, ex cept that provisions related to measuring engine work do not apply. (c) The provisions of this subpart are intended to specify systems that can very accurately and precisely measure emissions from motor vehicles . We may waive or modify the specifications and requirements of this part for te sting highway motorcycles or nonroad vehicles, consistent with good engineering judgment . For example, it may be appropriate to allow the use of a hydrokinetic dynamometer that is not able to meet all the performance specifications described in this subpar t.

Subpart C—Dynamometer Specifications

§1066.201 Dynamometer overview. This subpart addresses chassis dynamometers and rel ated equipment.

§1066. 110 210 Dynamometers. (a) General requirements. A chassis dynamometer typically uses electrically generated load forces combined with the its rotational inertia of the dynamometer to recreate the mechanical inertia and frictional forces that a veh icle exerts on road surfaces (known as “road load”). Load forces are calculated using veh icle-specific coefficients and response characteristics. The load forces are applied to th e vehicle tires by rolls connected to intermediate motor/absorbers. The dynamometer uses a load cell to measure the forces the dynamometer rolls apply to the vehicle’s tires. (b) Accuracy and precision. The dynamometer’s output values for road load mus t be NIST-traceable. We may determine traceability to a specific international standards organization to be sufficient to demonstrate NIST-t raceability. The force-measurement system must be capable of indicating force readings to a resolution of ±0. 1 05 % of the maximum forces simulated by the dynamometer or ±0. 9 N (±0. 2 lbf

, ), whichever is greater, during a test. (c) Test cycles. The dynamometer must be capable of fully simulati ng applicable test cycles for the vehicles being tested as referenced in the corresponding standard-setting part. (1) For light

- duty vehicles and for heavy

- duty vehicles with a gross vehicle weight rating (GVWR) at or below 14,000 lbs, the dynamometer must be able to fully simulate a driving schedule with a maximum speed of 36 m/s ( 80 .3 mph ) and a maximum acceleration rate of 3.6 m/s 2 ( 8 .0 mph/s ) in two-wheel drive and four-wheel drive configurations . Note that your dynamometer does not have to meet this requirement for vehicles larger than vehicles tested

. (2) For heavy

- duty vehicles with GVWR above 14,000 lbs, the dynamomet er must be able to fully simulate a driving schedule with a ma ximum speed of 29 m/s ( 65 .0 mph ) and a maximum acceleration rate of 1. 3 .0 m/s 2 (3 mph/s ) in either two-wheel drive or four-wheel drive configurations. (d) Component requirements. The dynamometer must have an independent drive roll for each axle being driven by the vehicle. meet the following specifications:(1) For light

- duty vehicles and for heavy

- duty vehicles with GVWR at or below 14,000

lbs, the nominal roll diameter must be 1.20 to 1.25 meters (this is commonly referred to as a 48

- inch roll dynamometer)

. . The dynamometer must have an independent drive ro ll for each axle being driven by the vehicle during an emission test. (2) For heavy

- duty vehicles with GVWR above 14,000 lbs, the nominal r oll diameter must be at least 1.20 meters and no great er than 1 3. 85 3. 10 meters. The dynamometer
may must have an independent drive roll for each axle being driven by the vehicle or alternatively up to , except that two drive n axles may use share a single drive roll. Use good engineering judgment to ensure that the dynamo meter roll diameter is large enough to provide sufficient tire-roll contact area for avoiding to avoid tire overheating and power losses from tire-roll slippage. (3) If you measure force and speed at 10 Hz or fast er, you may use good engineering judgment to convert those measurements to 1-Hz, 2-H z, or 5-Hz values. (4) The load applied by the dynamometer simulates f orces acting on the vehicle during normal driving according to the following equation:

2 i i-1 i i i
i i-1 S S FR A B S C S M t t − = + ⋅ + ⋅ + ⋅

−

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 ea ch roll surface. i = a counter to indicate a point in time over the d riving schedule. For a dynamometer operating at 10-Hz intervals over a 600-second driv ing schedule, the maximum value of i is 6,000. A = constant value representing the vehicle’s fricti onal load in lbf or newtons. See subpart C of this part.
B = coefficient representing load from drag and roll ing resistance, which are a function of vehicle speed, in lbf/mph or newtons/kph N

· s/m . See subpart C of this part. S = linear speed at the roll surfaces as measured by the dynamometer, in mph or kph m/s

. Let S i-1 = 0. C = coefficient representing aerodynamic effects, wh ich are a function of vehicle speed squared, in lbf/mph 2 or newton/kph 2 N

· s 2 /m 2 . See subpart C of this part.
M = mass of vehicle in lbm or kg. Determine the veh icle’s mass based on the test weight, taking into account the effect of rotating axles, a s specified in §1066. 3 1066.404 310(b)(7) and dividing the weight by the acceleration due to gra vity as specified in 40 CFR 1065.630

, consistent with good engineering judgment.

t = elapsed time in the driving schedule as measured by the dynamometer, in seconds. Let t i-1 = 0.

(5) The dynamometer must be designed to M easured values of generally generally apply an actual road

- load force may not differ from the corresponding calculated va lues at any operating conditions by more than within ± within ± 1 % or ± 9.8 N (± 2.2 lbf , whichever is greater, ) of the reference value , whichever is greater . Dynamometers that do not fully meet this specification may be used consistent with good engineering judgment. For example, slightly higher errors may be permissible during highly transient operation.(e) Dynamometer manufacturer instructions . This part specifies that you follow the

dynamometer manufacturer’s recommended procedures f or things such as calibrations and general operation. If you perform testing with a dynamometer that you manufactured or if you otherwise do not have these recommended p rocedures, use good engineering judgment to establish the additional procedures and specifications we specify in this part, unless we specify otherwise. Keep records to descr ibe these recommended procedures and how they are consistent with good engineering j udgment.

§1066 .1 1066 .215 Summary of verification and calibration procedures for chassis dynamometers. (a) Overview . This section describes the overall process for ve rifying and calibrating the performance of chassis dynamometers. (b) Scope and frequency . The following table summarizes the required and recommended calibrations and verifications describe d in this subpart and indicates when these have to be performed they must occur :

Table 1 of §1066. 1 1066. 215–Summary of required dynamometer calibrations an d verifications. Type of calibration or verification Minimum frequency a

§1066. 1 1066. 220: Linearity verification Speed: Upon initial installation, within 370 days before tes ting, and after major maintenance. Torque (load): Upon initial installation, within 370 days before testing, and after major maintenance. §1066. 1 1066. 225: Roll runout and diameter Upon initial installation and after major maintenance.

§1066. 1 1066. 230: Time Upon initial installation and after major maintenance. §1066. 1 1066. 235: Speed

measurement Upon initial installation, within 35 370 days before testing, and after major maintenance. §1066. 1 1066. 240: Torque (load) transducer Upon initial installation , within 370 days before testing, and after major maintenance. §1066. 1 1066. 245: Response time Upon initial installation and after major maintenance. §1066. 1 1066. 250: Base inertia Upon initial installation and after major maintenance.

§1066. 1 1066. 255: Parasitic loss Upon initial installation, within 7 days before testing, and after major maintenance. §1066. 1 1066. 260: Parasitic friction compensation evaluation Upon initial installation, within 7 days before testing, and after major maintenance. §1066. 1 1066. 265: Acceleration and deceleration Upon initial installation and after major maintenance.

§1066. 1 1066. 270: Unloaded coastdown Upon initial installation, within 7 days before testing, and after major maintenance.

a Perform calibrations and verifications more frequently, acc ording to measurement system manufacturer instructions and good engineering judgment.

(c) Automated dynamometer verifications and calibra tions . In some cases, dynamometers are designed with internal diagnostic and control f eatures to accomplish the verifications and calibrations specified in this subpart. You ma y use these automated functions instead of following the procedures we specify in this subp art to demonstrate compliance with applicable requirements, consistent with good engin eering judgment. (d) Sequence of verifications and calibrations . Upon initial installation and after major maintenance, perform the verifications and calibrat ions in the same sequence as noted in Table 1 of this section. At other times, you may n eed to perform specific verifications or calibration in a certain sequence, as noted in this subpart.(e) Corrections . Unless the regulation s directs otherwise, if the dynamometer fails to mee t

any specified calibration or verification, make any necessary adjustments or repairs such that the dynamometer meets the specification before running a test. Repairs required to meet specifications are generally considered major maintenance under this part.

§1066. 1 1066. 220 Linearity verification. (a) Scope and frequency . Perform linearity verifications as specified in Table 1 of this section at least as frequently as indicated in the table, consistent with the dynamometer manufac turer’s recommendations upon initial installation, within 370 days before t esting, and good engineering judgment. after major maintenance. Note that these linearity verification s may replace requirements we previously referred to as calibrations. The intent of linearity verification is to determine th at a measurement system responds accurately and proportionally over the measurement range of interest. Linearity verification generally consists of introducing a se ries of at least 10 reference values (or the manufacturer’s recommend number of reference va lues) to a measurement system. The measurement system quantifies each reference va lue. The measured values are then collectively compared to the reference values by us ing a least-squares linear regression and the linearity criteria specified in Table 1 of this section. (b) Performance requirements . If a measurement system does not meet the applic able linearity criteria in Table 1 of this section, corr ect the deficiency by re-calibrating, servicing, or replacing components as needed. Repe at the linearity verification after correcting the deficiency to ensure that the measur ement system meets the linearity criteria. Before you may use a measurement system that does not meet linearity criteria, you must demonstrate to us that the deficiency does not adversely affect your ability to demonstrate compliance with the applicable standard s. (c) Procedure . Use the following linearity verification protocol , or use good engineering judgment to develop a different protocol that satis fies the intent of this section, as described in paragraph (a) of this section: (1) In this paragraph (c), the letter “y” denotes a generic measured quantity, the superscript over-bar denotes an arithmetic mean (su ch as y ), and the subscript “ ref ” denotes the known or reference quantity being measu red. (2) Operate a dynamometer system at the specified t emperatures and pressures. This may include any specified adjustment or periodic calibr ation of the dynamometer system. (3) Set dynamometer speed and torque to zero and ap ply the dynamometer brake to ensure a zero-speed condition. (4) Span the dynamometer speed or torque signal. (5) After spanning, check for zero speed and torque . Use good engineering judgment to determine whether or not to rezero or re-span befor e continuing. (6) For both speed and torque, use the dynamometer manufacturer’s recommendations and good engineering judgment to select reference v alues, y refi , that cover a range of values that you expect would prevent extrapolation beyond these values during emission testing. We recommend selecting zero speed and zer o torque as reference values for the linearity verification. (7) Use the dynamometer manufacturer’s recommendati ons and good engineering judgment to select the order in which you will intr oduce the series of reference values. For example, you may select the reference values ra ndomly to avoid correlation withprevious measurements or the influence of hysteresi s; you may select reference values in

ascending or descending order to avoid long settlin g times of reference signals; or you may select values to ascend and then descend to inc orporate the effects of any instrument hysteresis into the linearity verification. (8) Set the dynamometer to operate at a reference c ondition. (9) Allow time for the dynamometer to stabilize whi le it measures the reference values. (10) At a recording frequency of at least 1 Hz, mea sure speed and torque values for 30 seconds and record the arithmetic mean of the recor ded values, i y . Refer to 40 CFR 1065.602 for an example of calculating an arithmeti c mean. (11) Repeat the steps in paragraphs (c)(8) though ( 10) of this section until you measure speeds and torques at each of the reference conditi ons. (12) Use the arithmetic means, i y , and reference values, y refi , to calculate least-squares linear regression parameters and statistical values to compare to the minimum performance criteria specified in Table 1 of this s ection. Use the calculations described in 40 CFR 1065.602. Using good engineering judgmen t, you may weight the results of individual data pairs (i.e., ( y refi , i y )), in the linear regression calculations. Table 1 of §1066. 1 1066. 220– Dynamometer measurement systems that require linear ity verifications

Measurement system Quantity Linearity criteria | | x min ( a 1 -1)+ a 0 | a 1 SEE r 2
Speed S < 0.05 %

· max S 0.98-1.02 < 2 %

· max S > 0.990
Torque (load) T < 1 %

· max T 0.98-1.02 < 2 %

· max T > 0.990

§1066 .1 1066 .225 Roll runout and diameter verification procedure. (a) Overview. This section describes the verification procedure for roll runout and roll diameter. Roll runout is a measure of the variatio n in roll radius around the circumference of the roll. (b) Scope and frequency . Perform these verifications upon initial install ation and after major maintenance. (c) Roll runout procedure. Verify roll runout as follows: (1) Perform this verification with laboratory and d ynamometer temperatures stable and at equilibrium. Release the roll brake and shut off p ower to the dynamometer. Remove any dirt, rubber, rust, and debris from the roll surfac e. Mark measurement locations on the roll surface using a permanent marker. Mark the ro ll at a minimum of four equally spaced locations across the roll width; we recommen d taking measurements every 150 mm across the roll. Secure the marker to the deck plate adjacent to the roll surface and slowly rotate the roll to mark a clear line around the roll circumference. Repeat this process for all measurement locations. (2) Measure roll runout using a dial indicator with a probe that allows for measuring the position of the roll surface relative to the roll c enterline as it turns through a complete revolution. The dial indicator must have a magneti c base assembly or other means of being securely mounted adjacent to the roll. The d ial indicator must have sufficient range to measure roll runout at all points, with a minimu m accuracy and precision of ±0.025 mm. Calibrate the dial indicator according to the i nstrument manufacturer’s instructions. (3) Position the dial indicator adjacent to the rol l surface at the desired measurement location. Position the shaft of the dial indicator perpendicular to the roll such that thepoint of the dial indicator is slightly touching th e surface of the roll and can move freely

through a full rotation of the roll. Zero the dial indicator according to the instrument manufacturer’s instructions. Avoid distortion of t he runout measurement from the weight of a person standing on or near the mounted dial in dicator. (4) Slowly turn the roll through a complete rotatio n and record the maximum and minimum values from the dial indicator. Calculate runout from as the difference between these maximum and minimum values. (5) Repeat the steps in paragraphs (c)(3) and (4) o f this section for all measurement locations. (6) The roll runout must be less than 0.25 mm at al l measurement locations. (d) Diameter procedure. Verify roll diameter based on the following proce dure, or an equivalent procedure based on good engineering judg ment: (1) Prepare the laboratory and the dynamometer as s pecified in paragraph (c)(1) of this section. (2) Measure roll diameter using a Pi Tape®. Orient the Pi Tape® to the marker line at the desired measurement location with the Pi Tape® hook pointed outward. Temporarily secure the Pi Tape® to the roll near the hook end w ith adhesive tape. Slowly turn the roll, wrapping the Pi Tape® around the roll surface . Ensure that the Pi Tape® is flat and adjacent to the marker line around the full circumf erence of the roll. Attach a 2.26-kg weight to the hook of the Pi Tape® and position the roll so that the weight dangles freely. Remove the adhesive tape without disturbing the ori entation or alignment of the Pi Tape®. (3) Overlap the gage member and the vernier scale e nds of the Pi Tape® to read the diameter measurement to the nearest 0.01 mm. Follo w the manufacturer’s recommendation to correct the measurement to 25 20 °C, if applicable. (4) Repeat the steps in paragraphs (d)(2) and (3) o f this section for all measurement locations. (5) The measured roll diameter must be within ±0.25 mm of the specified nominal value at all measurement locations. You may revise the n ominal value to meet this specification, as long as you use the corrected nom inal value for all calculations in this subpart.

§1066 .1 1066 .230 Time verification procedure. (a) Overview. This section describes how to verify the accuracy of the dynamometer’s timing device. (b) Scope and frequency . Perform this verification upon initial installat ion and after major maintenance. (c) Procedure. Perform this verification using one of the follow ing procedures: (1) WWV method. You may use the time and frequency signal broadca st by NIST from radio station WWV as the time standard if the trigg er for the dynamometer timing circuit has a frequency decoder circuit, as follows: (i) Dial station WWV at (303) 499-7111 and listen f or the time announcement. Verify that the trigger started the dynamometer timer. Us e good engineering judgment to minimize error in receiving the time and frequency signal. (ii) After at least 1000 seconds, re-dial station W WV and listen for the time announcement. Verify that the trigger stopped the dynamometer timer.(iii) Compare the measured elapsed time, y act , to the corresponding time standard, y ref , to

determine the time error, y error , using the following equation:

act ref

error ref 100 % y y y y

−

= ⋅

Eq. 1066 .1 1066 .230-1 (2) Ramping method. You may set up an operator-defined ramp function in the signal generator to serve as the time standard as follows: (i) Set up the signal generator to output a marker voltage at the peak of each ramp to trigger the dynamometer timing circuit. Output the designated marker voltage to start the verification period. (ii) After at least 1000 seconds, output the design ated marker voltage to end the verification period. (iii) Compare the measured elapsed time between mar ker signals, y act , to the corresponding time standard, y ref , to determine the time error, y error , using Equation 1066. 1 1066. 230-1. (3) Dynamometer coastdown method. You may use a signal generator to output a known speed ramp signal to the dynamometer controller to serve as the time standard as follows: (i) Generate upper and lower speed values to trigge r the start and stop functions of the coastdown timer circuit. Use the signal generator to start the verification period. (ii) After at least 1000 seconds, use the signal ge nerator to end the verification period. (iii) Compare the measured elapsed time between tri gger signals, y act , to the corresponding time standard, y ref , to determine the time error, y error , using Equation 1066. 1 1066. 230-1. (d) Performance evaluation . The time error determined in paragraph (c) of thi s section may not exceed ±0.001 %.

§1066 .1 1066 .235 Speed verification procedure. (a) Overview. This section describes how to verify the accuracy and resolution of the dynamometer speed determination. (b) Scope and frequency . Perform this verification upon initial installat ion, within 370 5 days before testing, and after major maintenance. (c) Procedure. Use one of the following procedures to verify the accuracy and resolution of the dynamometer speed simulation: (1) Pulse method . Connect a universal frequency counter to the out put of the dynamometer’s speed-sensing device in parallel with the signal to the dynamometer controller. The universal frequency counter must b e calibrated according to the instrument manufacturer’s instructions and be capab le of measuring with enough accuracy to perform the procedure as specified in t his paragraph (c)(1). Make sure the instrumentation does not affect the signal to the d ynamometer control circuits. Determine the speed error as follows: (i) Set the dynamometer to speed

- control mode. Set the dynamometer speed to a value between 15 kph 4.2 m/s and the maximum speed expected during testing; rec ord the output of the frequency counter after 10 seconds. Determine the roll speed, S act , using the following equation:roll

act 

### f d S

n π


### ⋅ ⋅

=
Eq. 1066. 1 1066. 235-1 Where: f = frequency of the dynamometer speed sensing devic e, in hr s -1 , accurate to at least four significant figures. d roll = nominal roll diameter, in km m , accurate to the nearest 0.01 mm, consistent with §1066. 1 1066. 225(d).

n = the number of pulses per revolution from the dyn amometer roll speed sensor.

Example: f = 2.9 2 31 8 Hz = 2.9 2 31 8 s -1 = 10,554 hr - 1
d roll = 914 904 .40 mm = 914.40

· 10 - 6 km 0.90440 m

n = 1 pulse/rev

act 

### 2.9231 0.90440

1 S π



### ⋅ ⋅

=

S act = 29.986 kph 8.3053 m/s

(ii) Compare the calculated roll speed, S act , to the corresponding speed set point, S ref , to determine a value for speed error, S error , using the following equation:

S error = S act - S

ref Eq. 1066 .1 1066 .235-2 Example: S act = 29.986 kph 8.3053 m/s S ref = 30.000 kph 8.3000 m/s S error = 29.986

– 30.000 =

– 8.3053 – 8.3000 = 0. 014 kph 0053 m/s

(2) Frequency method. Use the method described in this paragraph (c)(2) only if the dynamometer does not have a readily available outpu t signal for speed sensing. Install a single piece of tape in the shape of an arrowhead o n the surface of the dynamometer roll near the outer edge. Put a reference mark on the d eck plate in line with the arrow. Install a stroboscope or photo tachometer on the deck plate and direct the flash toward the tape on the roll. The stroboscope or photo tachometer m ust be calibrated according to the instrument manufacturer’s instructions and be capab le of measuring with enough accuracy to perform the procedure as specified in t his paragraph (c)(2). Determine the speed error as follows: (i) Set the dynamometer to speed control mode. Set the dynamometer speed to a value between 15 kph and the maximum speed expected durin g testing. Tune the stroboscope or photo tachometer until the signal matches the dy namometer roll speed. Record the frequency. Determine the roll speed, y act , using Equation 1066 .1 10 66 .235-1, using the stroboscope or photo tachometer’s frequency for f

. (ii) Compare the calculated roll speed, y act , to the corresponding speed set point, y ref , to determine a value for speed error, y error , using Equation 1066. 1 1066. 235-2. (d) Performance evaluation . The speed error determined in paragraph (c) of th is section may not exceed ±0. 05 0 mph or ±0.08 0 kph 02 m/s

.§1066 .1 1066 .240 Torque transducer verification and calibration.

Calibrate torque-measurement systems as described i n 40 CFR 1065.310.

§1066 .1 1066 .245 Response time verification. (a) Overview. This section describes how to verify the dynamome ter’s response time. (b) Scope and frequency . Perform this verification upon initial installat ion and after major maintenance. (c) Procedure. Use the dynamometer’s automated process to verify response time. Perform this test at two different inertia settings corresponding approximately to the minimum and maximum vehicle weights you expect to t est. Use good engineering judgment to select road

- load coefficients representing vehicles of the appr opriate 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 bel ow the final equilibrium value, as illustrated in Figure 1 of this section. The obser ved settling response time must be less than 100 milliseconds for each inertia setting.Figure 1 of §1066. 1 1066. 245

— Example of a settling response time diagram.

t s t c(t)

1.1

1.0

0.9§1066 .1 1066 .250 Base inertia verification.

(a) Overview. This section describes how to verify the dynamome ter’s base inertia. (b) Scope and frequency . Perform this verification upon initial installat ion and after major maintenance. (c) Procedure. Verify the base inertia using the following proce dure: (1) Warm up the dynamometer according to the dynamo meter manufacturer’s instructions. Set the dynamometer’s road

- load inertia to zero and motor the rolls to 5 mph. Apply a constant force to accelerate the roll at a nominal rate of 1 mph/s. Measure the elapsed time to accelerate from 10 to 40 mph, n oting the corresponding speed and time points to the nearest 0.01 mph and 0.01 s. Al so determine average force over the measurement interval. (2) Starting from a steady roll speed of 45 mph, ap ply a constant force to the roll to decelerate the roll at a nominal rate of 1 mph/s. Measure the elapsed time to decelerate from 40 to 10 mph, noting the corresponding speed a nd time points to the nearest 0.01 mph and 0.01 s. Also determine average force over the measurement interval. (3) Repeat the steps in paragraphs (c)(1) and (2) o f this section for a total of five sets of results at the nominal acceleration rate and the no minal deceleration rate. (4) Use good engineering judgment to select two add itional acceleration and deceleration rates that cover the middle and upper rates expecte d during testing. Repeat the steps in paragraphs (c)(1) through (3) of this section at ea ch of these additional acceleration and deceleration rates. (5) Determine the base inertia, I b , for each measurement interval using the following equation:

b
final initial F I S S

t =

− ∆ Eq. 1066 .1 1066 .250-1

Where:
F = average dynamometer force over the measurement i nterval as measured by the dynamometer, in ft

· lbm/s 2

. S final = roll surface speed at the end of the measurement interval to the nearest 0.01 mph. S initial = roll surface speed at the start of the measureme nt interval to the nearest 0.01 mph.



### t ∆ = elapsed time during the measurement interval to the nearest 0.01 s.

Example:
F = 1.500 lbf = 48.26 ft

· lbm/s 2
S final = 40.00 mph = 58.67 ft/s S initial = 10.00 mph = 14.67 ft/s



### t ∆ = 30.00 s

b 48.26
58.67 14.67
30.00 I =

−

I b = 32.90 lbm(6) Determine the arithmetic mean value of base ine rtia from the five measurements at

each acceleration and deceleration rate. Calculate these six mean values as described in 40 CFR 1065.602(b). (7) Calculate the base inertia error, I berror , for each measured base inertia, I b , by comparing it to the manufacturer’s stated base iner tia, I bref , using the following equation:

NMHC 

### 150.3 0.990 20.5
0.990 0.020 x ⋅ −

=

−

bref bact berror
bref 100 % I I I I −

= ⋅

Eq. 1066 .1 1066 .250-2

Example:
I bref = 32.96 lbm

bact 

### I = 33.01 lbm

berror 

### 32.96 33.01 100 %

32.96 I −

= ⋅

I berror = –0.15 %

(8) Calculate the inertia error for each mean value of base inertia from paragraph (c)(6) of this section. Use Equation 1066 .1 1066 .265-2, substituting the mean base inertias associated with each acceleration and deceleration rate for the individual base inertias. (d) Performance evaluation . The dynamometer must meet the following specifica tions to be used for testing under this part: (1) The base inertia error determined under paragra ph (c)(7) of this section may not exceed ±0.50 % relative to any individual value. (2) The base inertia error determined under paragra ph (c)(8) of this section may not exceed ±0.20 % relative to any mean value.

§1066 .1 1066 .255 Parasitic loss verification. (a) Overview. Verify and correct the dynamometer’s parasitic lo ss. This procedure determines the dynamometer’s internal losses that i t must overcome to simulate road load. These losses are characterized in a parasitic loss curve that the dynamometer uses to apply compensating forces to maintain the desired r oad

- load force at the roll surface. (b) Scope and frequency . Perform this verification upon initial installat ion, within 7 days of testing, and after major maintenance. (c) Procedure. Perform this verification by following the dynamo meter manufacturer’s specifications to establish a parasitic loss curve, taking data at fixed speed intervals to cover the range of vehicle speeds that will occur d uring testing. You may zero the load cell at the selected speed if that improves your ab ility to determine the parasitic loss. Parasitic loss forces may never be negative. Note that the torque transducers must be zeroed and spanned prior to performing this procedu re. (d) Performance evaluation. In some cases, the dynamometer automatically upda tes the parasitic loss curve for further testing. If this is not the case, compare the new parasitic loss curve to the original parasitic loss curve fro m the dynamometer manufacturer or themost recent parasitic loss curve you programmed int o the dynamometer. You may

reprogram the dynamometer to accept the new curve i n all cases, and you must reprogram the dynamometer if any point on the new c urve departs from the earlier curve by more than ± 0.5 1 4.5 N (±1 .0 lbf

. ).

§1066 .1 1066 .260 Parasitic friction compensation evaluation. (a) Overview. This section describes how to verify the accuracy of the dynamometer’s friction compensation. (b) Scope and frequency . Perform this verification upon initial installat ion, within 7 days before testing, and after major maintenance. Note that this procedure relies on proper verification or calibration of speed and torque, as described in §§1066. 1 1066. 235 and1066. 1 1066. 240. You must also first verify the dynamometer’s parasitic loss curve as specified in §1066 .1 1066 .255. (c) Procedure. Use the following procedure to verify the accurac y of the dynamometer’s friction compensation: (1) Warm up the dynamometer as specified by the dyn amometer manufacturer. (2) Perform a torque verification as specified by t he dynamometer manufacturer. For torque verifications relying on shunt procedures, i f the results do not conform to specifications, recalibrate the dynamometer using N IST-traceable standards as appropriate until the dynamometer passes the torque verification. Do not change the dynamometer’s base inertia to pass the torque verif ication. (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-contr ol mode with a target speed of 10 mph or a higher speed recommended by the dynamomete r manufacturer. Once the speed stabilizes at the target speed, switch the dynamome ter 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 frictio n compensation is executed perfectly, there will be no change in speed during the measure ment interval. (4) Calculate the friction compensation error, FC error , using the following equation: 

# ( ) 2 2 error final init 

### 2 

### I FC S S

t = ⋅ −

⋅ Eq. 1066 .1 1066 .260-5 Where:
I = dynamometer inertia setting, in lbf·s 2 /ft.

t = duration of the measurement interval, accurate t o at least 0.01 s. S final = the roll speed corresponding to the end of the m easurement interval, accurate to at least 0.1 mph. S init = the roll speed corresponding to the start of the measurement interval, accurate to at least 0.1 mph.

Example:
I = 2000 lbm = 62.16 lbf· s 2 /ft

t = 60.0 s S final = 9.2 mph = 13.5 ft/s S init = 10.0 mph = 14.7 ft/s

# ( ) 2 2

error 

### 62.16 13.5 14.7 2 60.00 FC = ⋅ −

⋅ FC error = –16.5 ft

· lbf/s = –0.031 hp

(5) The friction compensation error may not exceed ±0. 1 0 1 hp.

§1066 .1 1066 .265 Acceleration and deceleration verification. (a) Overview. This section describes how to verify the dynamome ter’s ability to achieve targeted acceleration and deceleration rates. Para graph (c) of this section describes how this verification applies when the dynamometer is p rogrammed directly for a specific acceleration or deceleration rate. Paragraph (d) o f this section describes how this verification applies when the dynamometer is progra mmed with a calculated force to achieve a targeted acceleration or deceleration rat e. (b) Scope and frequency . Perform this verification upon initial installat ion and after major maintenance. Perform this verification upon initial installation and after major maintenance. (c) Verification of acceleration and deceleration r ates. Activate the dynamometer’s function generator for measuring roll revolution fr equency. If the dynamometer has no such function generator, set up a properly calibrat ed external function generator consistent with the verification described in this paragraph (c). Use the function generator to determine actual acceleration and dece leration rates as the dynamometer traverses speeds between 10 and 40 mph at various n ominal acceleration and deceleration rates. Verify the dynamometer’s acceleration and de celeration rates as follows: (1) Set up start and stop frequencies specific to y our dynamometer by identifying the rollrevolution frequency, f

, in revolutions pre per

second (or Hz) corresponding to 10 mph and 40 mph vehicle speeds, accurate to at least fou r significant figures, using the following equation:

THC[THC-FID]cor CH4[NMC-FID] THC[NMC-FID]c or CH4[THC-FID]
NMHC CH4[NMC-FID] C2H6[NMC-FID] CH4[THC-FID] x PF x RF

x PF RFPF RF

⋅ − ⋅

=

− ⋅

roll S n f d π ⋅

=

⋅ Eq. 1066 .1 1066 .265-1 Where: S = the target roll speed, in inches per second (cor responding to drive speeds of 10 mph or 40 mph).

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 mph/s from 10 mph to 40 mph. Measure the elapsed time to reach t he 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:

final init

act 

### S S
a t

−

=
Eq. 1066 .1 1066 .265-2Where:

a act = acceleration rate (decelerations have negative v alues). S final = the target value for the final roll speed. S init = the setpoint value for the initial roll speed.

t = time to accelerate from S init to S final

.
Example: S inal = 40 mph S init = 10 mph

t = 30.003 s

act 

### 40.00 10.00

30.03 a −

=

a act = 0.999 mph/s

(3) Program the dynamometer to decelerate the roll at a nominal rate of 1 mph/s from 40 mph to 10 mph. Measure the elapsed time to reach t he 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 Equation 1066. 1 1066. 265-2 (4) Repeat the steps in paragraphs (c)(2) and (3) o f this section for additional acceleration and deceleration rates in 1 mph/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,
act a , at each setting. (5) Compare each mean acceleration rate,
act a , to the corresponding nominal acceleration

rate, a ref , to determine values for acceleration error, a error , using the following equation:

act ref

error ref 100 % a a a a

−

= ⋅

Eq. 1066 .1 1066 .265-4

Example:

act a = 0.999 mph/s

a ref = 1 mph/s

a error = –0.100 %

(d) Verification of forces for controlling accelera tion and deceleration. Program the dynamometer with a calculated force value and deter mine actual acceleration and deceleration rates as the dynamometer traverses spe eds between 10 and 40 mph 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:

b F I a = ⋅ Eq. 1066 .1 1066 .265-5 Where:
I b = the dynamometer manufacturer’s stated base inert ia, in lbf·s 2 /ft.

a = nominal acceleration rate, in ft/s 2

.Example:

I b = 2967 lbm = 92.217 lbf· s 2 /ft

a = 1 mph/s = 1.4667 ft/s 2

F = 135.25 lbf

(2) Set the dynamometer to road-load mode and progr am it with a calculated force to accelerate the roll at a nominal rate of 1 mph/s fr om 10 mph to 40 mph. Measure the elapsed time to reach the target speed, to the near est 0.01 s. Repeat this measurement for a total of five runs. Determine the actual acceler ation rate, a act , for each run using Equation 1066. 1 1066. 265-2. Repeat this step to determine measured “neg ative acceleration” rates using a calculated force to dec elerate the roll at a nominal rate of 1 mph/s from 40 mph to 10 mph. Average the five repe at runs to calculate a mean acceleration rate,
act

a , at each setting. (3) Repeat the steps in paragraph (d)(2) of this se ction for additional acceleration and deceleration rates as specified in paragraph (c)(4) of this section. (4) Compare each mean acceleration rate,
act a , to the corresponding nominal acceleration

rate, a ref , to determine values for acceleration error, a error , using Equation 1066. 1 1066. 265-4 (e) Performance evaluation . The acceleration error from paragraphs (c)(5) and (d)(4) of this section may not exceed ±1.0 %.

§1066 .1 1066 .270 Unloaded coastdown verification. (a) Overview. Use force measurements to verify the dynamometer’ s settings based on coastdown procedures. (b) Scope and frequency . Perform this verification upon initial installat ion, within 7 days of testing, and after major maintenance. (c) Procedure. This procedure verifies the dynamometer’s settings derived from coastdown s testing. For dynamometers that have an automated process for this procedure, perform this evaluation by setting the i nitial speed

, and final speed

, and the inertial

, and road

- load coefficients as required for each test, using good engineering judgment to ensure that these values properly repre sent in-use operation. Use the following procedure if your dynamometer does not pe rform this verification with have an automated process: (1) Warm up the dynamometer as specified by the dyn amometer manufacturer. (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. Pr ogram the dynamometer to operate at 10 mph. Perform a coastdown two times at this speed s etting. Repeat these coastdown steps in 10 mph increments up to and including one increm ent above the maximum speed expected during testing. You may stop the verifica tion before reaching 0 mph, with any appropriate adjustments in calculating the results. (3) Repeat the steps in paragraph (c)(2) of this se ction with the dynamometer inertia set for the largest vehicle weight that you expect to t est. (4) Determine the average coastdown force, F , for each speed and inertia setting using the following equation:si 

### I S F t ⋅

=
Eq. 1066 .1 1066 .270-1 Where:
F = the average force measured during the coastdown for each speed and inertia setting, expressed in lbf· s 2 /ft and rounded to four significant figures.
I = the dynamometer’s inertia setting, in lbf· s 2 /ft. S si = the speed setting at the start of the coastdown, expressed in ft/s and rounded to four significant figures.

t = coastdown time for each speed and inertia settin g, accurate to at least 0.01 s.

Example:
I = 2000 lbm = 65.17 lbf · s 2 /ft S si = 10 mph = 14.66 ft/s

t = 5.00 s 

### 65.17 14.66
5.00 

### F ⋅

=

F = 191 lbf

(5) Calculate the target value of coastdown force, F ref , based on the applicable dynamometer parameters for each speed and inertia s etting. (6) Compare the mean value of the coastdown force m easured for each speed and inertia setting, act 

### F , to the corresponding F ref to determine values for coastdown force error,

F error , using the following equation:

act ref

error ref 100 % F F F F

−

= ⋅

Eq. 1066 .1 1066 .270-2

Example:
F ref = 192 lbf

act 

### F = 191 lbf

error 

### 191 192 100 % 192 

### F −

= ⋅

F error = –0.5 %

(7) Calculate The maximum allowable error

, F errormax , for all speed and inertia settings as follows: (i) For dynamometers used to test light

- duty vehicles and heavy

- duty vehicles with GVWR at or below 14,000 lbs, F errormax = (2.2 lbf/

F ref )·100 %]. (ii) For heavy

- duty is calculated from the following formula, except th at F errormax for vehicles with GVWR above 14,000 lbs

, F errormax = Max [± may be up to ± 1.0 % or (2.2 lbf/ F ref )·100 %]. %:
F errormax (%) = (2.2 lbf/

F ref )·100§1066 .1 1066 .280 Driver’s aid.

Use good engineering judgment to provide a driver’s aid that facilitates compliance with the requirements of §1066. 3 1066. 430.

Subpart C D D —Coastdown

§1066 .2 1066 .301 Overview of coastdown procedures. (a) The coastdown procedures described in this subp art are used to determine the load coefficients (A, B, and C) for the simulated road

- load equation in §1066. 1 1066. 210(d)(3). (b) The general procedure for performing coastdown tests and calculating load coefficients is described in SAE J1263 and SAE J2263 (incorporated by reference in §1066.710). This subpart specifies certain deviati ons from SAE J2263 those procedures for certain applications. (c) Use good engineering judgment for all aspects o f coastdown testing. For example, minimize the effects of grade by performing coastdo wn testing on reasonably level surfaces and determining coefficients based on aver age values from vehicle operation in opposite directions over the course.

§1066 .2 1066 .310 Coastdown procedures for heavy-duty vehicles. This section describes coastdown procedures that ar e unique to heavy-duty motor vehicles. Note as specified in the standard setting parts, this section does not apply for certain heavy-duty vehicles, such as those regulate d under 40 CFR part 86, Subpart S. (a) Determine load coefficients by performing a min imum of 20 16 valid coastdown runs ( 10 8 in each direction). (b) Follow the provisions of Sections 1 through 9 of SAE J1263, and SAE J2263 (incorporated by reference in §1066.710), except as described in this paragraph (b). The terms and variables identified in this paragraph (b ) have the meaning given in SAE J1263

or J2263 unless specified otherwise. (1) You are The test condition specifications of SAE J1263 appl y except as follows for wind and road conditions: (i) We recommend that you do not required perform coastdown testing on days for which winds are forecast to exceed 6.0 mph. (ii) The grade of the test track or road must not b e excessive (considering factors such asroad safety standards and effects on the coastdow n results). Road conditions should follow Section 7.4 of SAE J1263, except that road g rade may exceed 0.5%. If road grade is greater than 0.02% over the length of the test s urface, then the road grade as a function of distance along the length of the test surface mu st be incorporated in the analysis. To calculate the force due to grade use Section 11.5 o f SAE J2263. (2) You must reach the a

top speed specified in Section 9.3 of SAE J2263, as long as y our top of greater than 70 mph such that data collection of the coastdown can start at or above 70 mph. Data collection must occur through a minim um speed for at or below 15 mph. Data analysis for valid coastdown runs must include a maximum speed of 70 mph and a minimum speed of 15 mph. (3) Gather data regarding wind speed and direction, in coordination with time-of-day data, using at least one stationary electro-mechani cal anemometer and suitable dataloggers meeting the specifications of SAE J1263, as well as the following additional

specifications for the anemometer placed adjacent t o the test surface: (i) Run the zero-wind and zero-angle calibration da ta collection. (ii) The anemometer must have had its outputs recor ded at a wind speed of 0.0 mph within 24 hours before each run is no lower than 100 km/h (62.2 mph). coastdown test in which it is used. ( (iii) Record the location of the anemometer using a GPS measurement device adjacent to the test surface (approximately) at the midway dist ance along the test surface used for coastdowns. (iv) Position the anemometer such that it will be a t least 2 ) .5 but not more than 3.0 vehicle widths from the test vehicle’s centerline a s the test vehicle passes the location of that anemometer. (v) Mount the anemometer at a height that is within 6 inches of half the test vehicle’s maximum height. (vi) Place the anemometer at least 50 feet from the nearest tree and at least 25 feet from the nearest bush (or equivalent roadside features). (vii) The height of the grass surrounding the stati onary anemometer may not exceed 10% of the anemometer’s mounted height, within a radius equal to the anemometer’s mounted height. (4) You may split runs as per Section 9.3.1 of SAE J2263 allows split runs , but we recommend whole runs. If you use split runs a run , analyze them each portion separately

, but count them together the split runs as one run with respect to the minimum number of runs required. ( 3 5 ) You may perform consecutive runs in a single dire ction, followed by consecutive runs in the opposite direction, consistent with goo d engineering judgment. Harmonize starting and stopping points to the extent practica ble to allow runs to be paired. (4) Section 12.1 of SAE J2263 allows determination of calibration c oefficients from calibration runs conducted at a constant 50 mph in each road direction. (i) We recommend (6) All valid coastdown run times in each direction must be within 2.0 standard deviations of the mean of the valid coastd own run times (from 70 mph down to 15 mph) in that direction. Eliminate runs outside this range. After eliminating these runs you must have at least eight valid runs each direct ion. (7) Determine drag area, C D A , as follows instead of using the procedure specifi ed in SAE J1263, Section 10: (i) Measure vehicle speed at fixed intervals over t he coastdown run (generally at 10 Hz), including speeds at or above 15 mph and at or below 70 mph. Establish the height or altitude corresponding to each interval as describe d in SAE J2263 if you need to incorporate the effects of road grade. (ii) Calculate the vehicle’s effective mass, M e , in kg by adding 56.7 kg to the vehicle mass for each tire making road contact. This accou nts for the rotational inertia of the wheels and tires. (iii) Calculate the road-load force for each measur ement interval, F i , using the following equation to correct relative wind speed ( S r ) in calibration runs: :

i i 1 i e 

### v v F M t −



### −

= − ⋅ ∆ Eq. 1066. 2 1066. 310-1 Field Code Changed(ii) We recommend using Where:

v = Vehicle speed at the beginning and end of the me asurement interval. Let v 0 = 0. ∆ t = Elapsed time over the measurement interval.

(iv) Plot the data from all the coastdown runs on a single plot of F i vs. v i 2 to determine the slope correlation, D , based on the following equation to correct yaw angle ( Y ) in coastdowns: :

25

i meas,i meas,dir,i

dir i 1 i,dir 1 1

2 Y Y Y

n

=  

= −  

  

# ∑ ∑ 2 i e m i



### h F M g A D v

s ∆ − ⋅ ⋅ = + ⋅ ∆ Eq. 1066. 2 1066. 310-2

(5) Use Where:

g = Gravitational acceleration = 9.81 m/s 2

. ∆ h = Change in height or altitude over the measuremen t interval, in m. Assume ∆ h = 0 if you are not correcting for grade. ∆ s = Distance the vehicle travels down the road durin g the measurement interval, in m. A m = the calculated value of the y-intercept based on the curve-fit.

(v) Calculate drag area, C D A , in m 2 using the following equation of motion instead of the equation specified in SAE J2263 :

adj
D 2 D C A ρ ⋅

=
Eq. 1066. 2 1066. 310-3

(i) Determine A m , D a , and E using a mixed model technique, with the run being the random effect. (ii Where:

ρ = Air density at reference conditions = 1.17 kg/m 3

.

adj

B

98.21
293 T D D P

   

= ⋅ ⋅        
Eq. 1066.310-4

T = Average ambient temperature during testing, in K

.

B 

### P = Average ambient pressuring during the test, in k Pa.

(8 ) Determine the A, B, and C coefficients identified in §1066. 1 1066. 210 as follows: A= A m B= 0 C= D a D adj (iii) Consistent with good engineering judgment, se t E equal to zero if wind direction effects are not statistically significant. Use the following simplified equation of motion if wind direction effects are not statistically signif icant and grade effects are negligible: Field Code Changed2

e m a r

· S M A D S t ∆ − = + ∆ Eq. 1066.2 1066.310

- 4

Subpart D E E —Vehicle Preparation and Running a Test

§1066 .3 1066 .401 Overview. (a) Use the procedures detailed in this subpart to measure vehicle emissions over a specified drive schedule. This subpart describes h ow to: (1) Determine road

- load power, test weight, and inertia class. (2) Prepare the vehicle, equipment, and measurement instruments for an emission test. (3) Perform pre-test procedures to verify proper op eration of certain equipment and analyzers and to prepare them for testing. (4) Record pre-test data. (5) Sample emissions. (6) Record post-test data. (7) Perform post-test procedures to verify proper o peration of certain equipment and analyzers. (8) Weigh PM samples. (b) An emission test generally consists of measurin g emissions and other parameters while a vehicle follows the drive schedules specifi ed in the standard-setting part. There are two general types of test cycles: (1) Transient cycles . Transient test cycles are typically specified in the standard-setting part as a second-by-second sequence of vehicle spee d commands. Operate a vehicle over a transient cycle such that the speed follows the t arget values. Proportionally sample emissions and other parameters and use the calculat ions in 40 CFR part 86, subpart B, or 40 CFR part 1065, subpart G, to calculate emissions . The standard-setting part may specify three types of transient testing based on t he approach to starting the measurement, as follows: (i) A cold-start transient cycle where you start to measure emissions just before starting an engine that has not been warmed up. (ii) A hot-start transient cycle where you start to measure emissions just before starting a warmed-up engine. (iii) A hot running transient cycle where you start to measure emissions after an engine is started, warmed up, and running. (2) Cruise cycles . Cruise test cycles are typically specified in th e standard-setting part as a discrete operating point that has a single speed command. (i) Start a cruise cycle as a hot running test, whe re you start to measure emissions after the engine is started and warmed up and the vehicle is running at the target test speed. (ii) Sample emissions and other parameters for the cruise cycle in the same manner as a transient cycle, with the exception that the reference speed value is constant. Record instantaneous and mean speed values over the cycle.

§ 1066.3 1066.404 Road load power and test weight determination.To determine road load power and test weight, follow SAE J2263 and SAE J2264

(incorporated by reference in §1066.710), with the following exceptions: (a) Test weight. The rotational inertia of drive

- axle and nondrive

- axle components that rotate with the wheels is expressed as additional “ linear” mass . For Class 7 combination and Class 8 heavy

- duty vehicles, without dual drive tires (or other d riveline components which are likely to increase real rotational inerti a to greater than 1.5% per axle) and if the actual effective mass of rotating components is unknown, the effective mass of all rotating components may be estimated as 4.0% of the vehicle test mass. (b) [Reserved]

§ 1066.3 1066 §1066 .407 Vehicle preparation and preconditioning. This section describes steps to take before measuri ng exhaust emissions for those vehicles that are subject to evaporative or refueli ng emission tests as specified in subpart F of this the standard setting part. Other preliminary procedures may apply as s pecified in the standard-setting part. (a) Prepare the vehicle for testing as described in 40 CFR 86.131

- 00

. (b) If testing will include measurement of refuelin g emissions, perform the vehicle preconditioning steps as described in 40 CFR 86.153

- 98 . Otherwise, perform the vehicle preconditioning steps as described in 40 CFR 86.132

- 00

.

§1066 .3 1066 .410 Dynamometer test procedure. (a) Dynamometer testing may consist of multiple dri ve cycles with both cold-start and hot-start portions, including prescribed soak times before each test phase. See the standard-setting part for test cycles and soak time s for the appropriate vehicle category. A test phase consists of engine startup (with acces sories operated according to the standard-setting part), operation over the drive cy cle, and engine shutdown. (b) During dynamometer operation, position a road

- speed modulated cooling fan that appropriately directs cooling air to the vehicle. This generally requires squarely positioning the fan within 30 centimeters of the fr ont of the vehicle and directing the airflow to the vehicle’s radiator. (1) For light

- duty v ehicles and for heavy

- duty vehicles with a GVWR at or below 14,000 lbs, you may use either of the following cooling fan con figurations: (i) Use a fixed

- speed cooling fan to appropriately direct cooling air to the vehicle in an appropriate manner

with the engine compartment cover open. The fan c apacity may not exceed 2.50 m 3 /s. If you determine that additional cooling is ne eded to provide a representative test

properly represent in-use operation , use good engineering judgment to increase fan the fan’s capacity or supply use additional fans, subject to the our approval of the Administrator

. (2) For heavy

- duty vehicles with GVWR above 14,000 lbs, u U se (ii) Use a road-speed modulated cooling fan system that achieves a linear speed of cooling air at the blower outlet that is within ±3 .0 mph (±1.3 m/s) of the corresponding roll speed when vehicle speeds are between 5 to and 30 mph

, (2.2 to 13.4 m/s), and within ±6.5 mph (±2.9 m/s) of the corresponding roll speed at higher vehicle spee ds. The fan must provide no cooling air for vehicle speeds below 5 mph, unless we appro ve your request to provide cooling during low-speed operation based on a demonstration that this is appropriate to simulatecooling for in-use vehicles. We recommend that the cooling fan have a minimum

opening of 0.2 m 2 and a minimum width of 0.8 m. (2) For vehicles with GVWR above 14,000 lbs, use a road-speed modulated fan system that achieves a linear speed of cooling air at the blower outlet that is within ±3.0 mph (±1.3 m/s) of the corresponding roll speed when veh icle speeds are between 5 and 30 mph (2.2 to 13.4 m/s), and within ±10 mph (±4.5 m/s) of the corresponding roll speed at higher vehicle speeds. The fan must provide no coo ling air for vehicle speeds below 5 mph, unless we approve your request to provide cool ing during low-speed operation based on a demonstration that this is appropriate t o simulate the cooling experienced by in-use vehicles. We recommend that the cooling fan have a minimum opening of 2.75

m 2 , a minimum flow rate of 3,600 m 3 /min at 50 mph, and that it maintain a minimum velocity speed profile across the duct, in the free stream flow, of ±15 % of the target flow

rate. (3) If the cooling specifications in this paragraph (b) are impractical for special vehicle designs, such as vehicles with rear-mounted engines , you may arrange for an alternative fan configuration , subject to approval of the that Admi nistrator that allows for proper simulation of vehicle cooling during in-use operati on , subject to our approval

. (c) Record the vehicle’s speed trace based on the t ime and speed data from the dynamometer. Record speed to at least the nearest 0.01 m/s or

0.1 mph and time to at least the nearest 0.1 s. (d) You may perform practice runs to for operating the vehicle and the dynamometer controls to meet the driving tolerances specified i n §1066. 3 1066. 430 or adjust the emission sampling equipment. Verify that the accelerator pedal allows for enough control to closely follow the prescribed driving sc hedule. You may not measure emissions during a practice run. (e) Inflate the drive wheel tires according to the vehicle manufacturer’s specifications. The drive wheels’ tire pressure must be the same fo r dynamometer operation and for coastdown procedures for determining road

- load coefficients. Report these tire pressure values with the test results. (f) For heavy

- duty vehicles with GVWR above 14,000 lbs, you must use a vehicle pull down mechanism that allows simulation of the actual normal forces that the tire and dynamometer roll interface would see if a loaded ve hicle were actually being tested. Use of this mechanism will ensure that wheel slip does not occur when trying to accelerate the loaded vehicle. Warm up the dynamometer as recommended by the dynam ometer manufacturer. (g) Following the test, determine the actual driving di stance by counting the number of dynamometer roll or shaft revolutions, or by integr ating speed over the course of testing from a high

- resolution encoder system. (h) Use good engineering judgment to when testing vehicles in four-wheel drive and or all-wheel drive vehicles mode mode . This may involve testing on a dynamometer with a separate dynamometer roll for each drive axle. Thi s may also involve operation on a single roll, which would may require disengaging the second set of drive wh eels, either with a switch available to the driver or by some ot her means; however, operating such a vehicle on a single roll may occur only if this doe s not decrease emissions or energy consumption relative to normal in-use operation. A lternatively, for heavy-duty motorvehicles, up to two drive n axles may use a single drive roll, as described in

§1066.210(d)(2). (h) Warm up the dynamometer as recommended by the d ynamometer manufacturer. (i) Following the test, determine the actual drivin g distance by counting the number of dynamometer roll or shaft revolutions, or by integr ating speed over the course of testing from a high-resolution encoder system.

§1066 .3 1066 .420 Pre-test verification procedures and pre-test data collection. (a) Follow the procedures for PM sample preconditio ning and tare weighing as described in 40 CFR 1065.590 if your engine must comply with a PM standard. (b) Unless the standard-setting part specifies diff erent tolerances, verify at some point before the test that ambient conditions are within the tolerances specified in this paragraph (b). For purposes of this paragraph (b), “before the test” means any time from a point just prior to engine starting (excluding en gine restarts) to the point at which emission sampling begins. (1) Ambient temperature must be (20 to 30) °C. See §1066 .3 1066 .430(m) for circumstances under which ambient temperatures must remain within this range during the test. (2) Atmospheric pressure must be (80.000 to 103.325 ) kPa. You are not required to verify atmospheric pressure prior to a hot-start te st interval for testing that also includes a cold start. (3) Dilution air conditions must meet the specifica tions in 40 CFR 1065.140, except in cases where you preheat your CVS before a cold-star t test. We recommend verifying dilution air conditions just before starting each t est phase. (c) You may test vehicles at any intake-air humidit y and we may test vehicles at any intake

- air humidity.

. (d) You may perform a final calibration of the proportional-flow control systems, which may include performing practice runs. (e) You may perform the following recommended procedure to precondition sampling systems: (1) Operate the vehicle over the test cycle. (2) Operate any dilution systems at their expected flow rates. Prevent aqueous condensation in the dilution systems. (3) Operate any PM sampling systems at their expect ed flow rates. (4) Sample PM for at least 10 min using any sample media. You may change sample media during preconditioning. You must discard pre conditioning samples without weighing them. (5) You may purge any gaseous sampling systems duri ng preconditioning. (6) You may conduct calibrations or verifications o n any idle equipment or analyzers during preconditioning. (7) Proceed with the test sequence described in §10 66. 3 1066. 430. (f) Verify the amount of nonmethane hydrocarbon (or equivalent) contamination in the exhaust and background HC sampling systems within 8 hours before the start of the first test drive cycle for each individual vehicle tested as described in 40 CFR 1065.5 15 5 20(g).§1066 .3 1066 .425 Engine starting and restarting.

(a) Start the vehicle’s engine as follows: (1) At the beginning of the test cycle, start the e ngine according to the procedure you describe in your owners manual. In the case of hybrid vehicles, this would genera lly involve activating vehicle systems such that the en gine will start when the vehicle’s control algorithms determine that the engine should provide power instead of or in addition to power from the rechargeable energy stor age system (RESS). Unless we specify otherwise, engine starting throughout this part generally refers to this step of activating the system on hybrid vehicles, whether o r not that causes the engine to start running. (2) Place the transmission in gear as described by the test cycle in the standard-setting part. During idle operation, you may apply the bra kes if necessary to keep the drive wheels from turning. (b) If the vehicle does not start after your recomm ended maximum cranking time, wait and restart cranking according to your recommended practice. If you don’t recommend such a cranking procedure, stop cranking after 10 s econds, wait for 10 seconds, then start cranking gain for up to 10 seconds. You may repeat this for up to three start attempts. If the vehicle does not start after three attempts, yo u must determine and record the reason for failure to start. Shut off sampling systems and either turn the CVS off, or disconnect the exhaust tube from the tailpipe during the diagn ostic period. Reschedule the vehicle for testing from a cold start. (c) Repeat the recommended starting procedure if th e engine has a “false start”. (d) Take the following steps if the engine stalls: (1) If the engine stalls during an idle period, res tart the engine immediately and continue the test. If you cannot restart the engine soon eno ugh to allow the vehicle to follow the next acceleration, stop the driving schedule indica tor and reactivate it when the vehicle

restarts. (2) If the engine stalls during operation other tha n idle, stop the driving schedule indicator, restart the engine, accelerate to the sp eed required at that point in the driving schedule, reactivate the driving schedule indicator , and continue the test. (3) Void the test if the vehicle will not restart w ithin one minute. If this happens, remove the vehicle from the dynamometer, take corrective a ction, and reschedule the vehicle for testing. Record the reason for the malfunction (if determined) and any corrective action. See the standard-setting part for instructions abou t reporting these malfunctions.

§1066. 3 1066. 430 Performing emission tests

. The overall test consists of prescribed sequences o f fueling, parking, and operating driving at specified test conditions. (a) Vehicles are tested for criteria pollutants and greenhouse gas emissions as described in the standard-setting part. (b) Take the following steps before emission sampli ng begins: (1) For batch sampling, connect clean storage media , such as evacuated bags or tareweighed filters. (2) Start all measurement instruments according to the instrument manufacturer’s instructions and using good engineering judgment. (3) Start dilution systems, sample pumps, and the d ata-collection system.(4) Pre-heat or pre-cool heat exchangers in the sam pling system to within their operating

temperature tolerances for a test. (5) Allow heated or cooled components such as sampl e lines, filters, chillers, and pumps to stabilize at their operating temperatures. (6) Verify that there are no significant vacuum-sid e leaks according to 40 CFR 1065.345. (7) Adjust the sample flow rates to desired levels

, using bypass flow, if desired. (8) Zero or re-zero any electronic integrating devi ces , before the start of any test interval. (9) Select gas analyzer ranges. You may automatica lly or manually switch gas analyzer ranges during a test only if switching is performed by changing the span over which the digital resolution of the instrument is applied. D uring a test you may not switch the gains of an analyzer’s analog operational amplifier(s). (10) Zero and span all continuous gas analyzers usi ng NIST-traceable gases that meet the specifications of 40 CFR 1065.750. Span FID analyze rs on a carbon number basis of one ( 1), C 1
. ). For example, if you use a C 3 H 8 span gas of concentration 200 μ mol/mol, span the FID to respond with a value of 600 μ mol/mol. Span FID analyzers consistent with the determination of their respective response fact ors, RF , and penetration fractions, PF

, according to 40 CFR 1065.365. (11) We recommend that you verify gas analyzer resp onses after zeroing and spanning by sampling a calibration gas that has a concentration near one-half of the span gas concentration. Based on the results and good engine ering judgment, you may decide whether or not to re-zero, re-span, or re-calibrate a gas analyzer before starting a test. (12) If you correct for dilution air background con centrations of associated engine exhaust constituents, start measuring (i.e. sampling ) and recording background concentrations. (13) Turn on cooling fans immediately prior to the start of before starting the test. (c) Operate vehicles during testing as follows: (1) Where we do not give specific instructions, ope rate the vehicle according to your recommendations in the owners manual, unless those recommendations are unrepresentative of what may reasonably be expected for in-use operation. (2) If vehicles have features that preclude dynamom eter testing, modify these features as necessary to allow testing, consistent with good en gineering judgment. (3) Operate vehicles during idle as follows: (i) For a vehicle with an automatic transmission, o perate at idle with the transmission in “Drive” with the wheels braked, except that you may shift to “Neutral” for the first idle period and for any idle period longer than one minu te. If you put the vehicle in “Neutral” during an idle, you must shift the vehicle into “Dr ive” with the wheels braked at least 5 seconds before the end of the idle period. (ii) For a vehicle vehicles with a manual transmission, operate at idle with the transmission in gear with the clutch disengaged, ex cept that you may shift to “Neutral” with the clutch disengaged for the first idle perio d and for any idle period longer than one minute. If you put the vehicle in “Neutral” during idle, you must shift to first gear with the clutch disengaged at least 5 seconds before the end of the idle period. (4) Operate the vehicle with the appropriate accele rator pedal movement necessary to achieve the speed versus time relationship prescrib ed by the driving schedule. Both the Avoid smoothing of speed variations and excessive accelerator pedal pe rturbations must be avoided

.( 4 5) 5) Operate the vehicle shall be operated smoothly, following representative shift

speeds and procedures. For manual transmissions, th e operator shall release the accelerator pedal during each shift and accomplish the shift with minimum time. If the vehicle cannot accelerate at the specified rate, op erate it at maximum available power until the vehicle speed reaches the value prescribe d for that time in the driving schedule. ( 5 6 6 ) Decelerate without changing gears, using the brak es or accelerator pedal as necessary to maintain the desired speed. Keep the c lutch engaged on manual transmission vehicles and do not change gears after the end of t he acceleration event. Depress manual transmission clutches when the speed drops below 6.7 m/s ( 15 mph (24.1 km/h ), when engine roughness is evident, or when engine stallin g is imminent. ( 6 7 7 ) For test vehicles equipped with manual transmissi ons, shift gears in a way that represents reasonable shift patterns for in-use ope ration, considering vehicle speed, engine speed, and any other relevant variables. Yo u may recommend a shift schedule in your owners manual that differs from your shift sch edule during testing as long as you include both shift schedules in your application fo r certification. In this case, we may use the shift schedule you describe in your owners manu al. (d) See the standard-setting part for drive schedul es. These are defined by a smooth trace drawn through the specified speed vs. time sequence

. (e) The driver must attempt to follow the target sc hedule as closely as possible, consistent with the specifications in paragraph (b) of this se ction. Instantaneous speeds must stay within the following tolerances: (1) The upper limit is 2 1 .0 m/s (2 mph ) higher than the highest point on the trace within 1.0 s of the given point in time. (2) The lower limit is 1.0 m/s ( 2 .0 mph ) lower than the lowest point on the trace within 1.0 second s of the given time. (3) The same limits apply for for vehicle preconditioning, except that the upper and lower limits for speed values are ± 4 2 .0 m/s (±4 mph

. ). (4) Void the test if you do not maintain speed valu es as specified in this paragraph (e)(4). Speed variations (such as may occur during gear cha nges or braking spikes) may occur as follows, provided that such variations are clearly documented, including the time and speed values and the reason for the deviation: (i) Speed variations greater than the specified lim its are acceptable for up to 2.0 seconds on any occasion. (ii) For vehicle preconditioning, up to three additional occurrences of speed variations outside the specified limits are acceptable for up to 15 seconds on any occasion. (ii i ) For vehicles that are not able to maintain acceleration as specified in paragraph ( b)(4 c)(5 ) of this section, do not count the insufficient ac celeration as being outside the specified limits. (f) Figure 1 and Figure 2 of this section show the range of acceptable speed tolerances for typical points during testing. Figure 1 of this sec tion is typical of portions of the speed curve that are increasing or decreasing throughout the 2-second time interval. Figure 2 of this section is typical of portions of the speed cu rve that include a maximum or minimum value.Figure 1 of §1066 .3 1066 .430—Example of the allowable ranges for the driver ’s trace.

Figure 2 of §1066. 3 1066. 430—Example of the allowable ranges for the driver’ s trace. 1 .0 s



### TimeSpeed Allowable
Range1.0m/s1.0m/s

1 .0 s(g) Start testing as follows:

(1) If a vehicle is already running and warmed up, and starting is not part of the test cycle, perform operate the following for the following types of vehicle as follows: 1.0 s



### TimeSpeed Allowable

Range1.0m/s1.0m/s

1.0 s(i) For transient test cycles : (i) Transient test cycles.

, control vehicle speeds to follow a drive schedule consisting of a series of idles, accelerations, cruises, and decele rations. (ii) For cruise test cycles

. , control the vehicle operation to match the speed o f the first phase of the test cycle. Follow the instructions i n the standard-setting part to determine how long to stabilize the vehicle during each phase , how long to sample emissions at each phase, and how to transition between phases. (2) If engine starting is part of the test cycle, i nitiate data logging, sampling of exhaust gases, and integrating measured values before start ing the engine. Initiate the driver’s trace when the engine starts. (h) At the end of each test interval, continue to o perate all sampling and dilution systems to allow the response times to elapse. Then stop a ll sampling and recording, including the recording of background samples. Finally, stop any integrating devices and indicate the end of the duty cycle in the recorded data. (i) Shut down the vehicle if it is part of the test cycle or if testing is complete. (j) If testing involves engine shutdown followed by another test phase, start a timer for the vehicle soak when the engine shuts down. (k) Take the following steps after emission samplin g is complete: (1) For any proportional batch sample, such as a ba g sample or PM sample, verify that proportional sampling was maintained according to 4 0 CFR 1065.545. Void any samples that did not maintain proportional sampling accordi ng to specifications. (2) Place any used PM samples into covered or seale d containers and return them to the PM-stabilization environment. Follow the PM sample post-conditioning and total weighing procedures in 40 CFR 1065.595. (3) As soon as practical after the test cycle is co mplete, or optionally during the soak period if practical, perform the following: (i) Drift check all continuous gas analyzers and ze ro and span all batch gas analyzers no later than 30 minutes after the test cycle is compl ete, or during the soak period if practical. (ii) Analyze any conventional gaseous batch samples no later than 30 minutes after a test phase is complete, or during the soak period if pra ctical. Analyze nonconventional gaseous batch samples, such as NMHCE sampling with ethanol, as soon as practicable using good engineering judgment. (iii) Analyze background samples no later than 60 m inutes after the test cycle is complete. (iv) Analyze non

- conventional gaseous batch samples, such as ethanol (NMHCE) requiring off

- line analysis, such as ethanol, no later than 30 mi nutes after the test cycle is complete as soon as pra ctical using good engineering judgment. (4) After quantifying exhaust gases, verify drift a s follows: (i) For batch and continuous gas analyzers, record the mean analyzer value after stabilizing a zero gas to the analyzer. Stabilizat ion may include time to purge the analyzer of any sample gas, plus any additional tim e to account for analyzer response. (ii) Record the mean analyzer value after stabilizi ng the span gas to the analyzer. Stabilization may include time to purge the analyze r of any sample gas, plus any additional time to account for analyzer response. (iii) Use these data to validate and correct for dr ift as described in 40 CFR 1065.550.(l) [Reserved]

(m) Measure and record ambient temperature and pres sure. Also measure humidity, as required, such as for correcting NO x emissions. For testing vehicles with the followin g engines, you must record ambient temperature contin uously to verify that it remains within the temperature range specified in §1066 .3 1066 .420(b)(1) throughout the test: (1) Air-cooled engines. (2) Engines equipped with emission control devices that sense and respond to ambient temperature. (3) Any other engine for which good engineering jud gment indicates that this is necessary to remain consistent with 40 CFR 1065.10( c)(1).

Subpart E F F —Hybrids

§1066. 401 501 Overview. To determine State of Charge, correct fuel economy or emission results for Net Energy Change , and State of Charge correction for emission resul ts, follow SAE J1711 and of the RESS, use the procedures specified for charge-susta ining operation in SAE J2711 (incorporated by reference in §1066.710).

Subpart F

— [Reserved]

Subpart G—Calculations

§1066.601 Overview. (a) This subpart describes how to– (1) Use the signals recorded before, during, and af ter an emission test to calculate distance-specific emissions of each regulated pollu tant. (2) Perform calculations for calibrations and perfo rmance checks. (3) Determine statistical values. (b) You may use data from multiple systems to calcu late test results for a single emission test, consistent with good engineering judgment. Y ou may also make multiple measurements from a single batch sample, such as mu ltiple weighing of a PM filter or multiple readings from a bag sample. You may not u se test results from multiple emission tests to report emissions. We allow weigh ted means where appropriate. You may discard statistical outliers, but you must repo rt all results.

§1066.610 Mass-based and molar-based exhaust emission calculations. (a) General

. Calculate your total mass of emissions over a test cycle as specified in 40 CFR 86.144

- 94 or 40 CFR part 1065, subpart G. (b) Composite emissi ons over multiple test cycles. (b) For composite emission calculations over multiple test phases and correspo nding weighting factors, see the standard-setting part.

Subpart H—Definitions and Other Reference Material§1066.701 Definitions.

The definitions in this section apply to this part. The definitions apply to all subparts unless we note otherwise. Other terms have the mea ning given in 40 CFR part 1065. The definitions follow: Base inertia means a value expressed in mass units to represent the rotational inertia of the rotating dynamometer components between the vehicle driving tires and the dynamometer torque-measuring device, as specified i n §1066. 1 1066. 250. Driving schedule means a series of vehicle speeds that a vehicle mu st follow during a test. Driving schedules are specified in the standard-setting part. A driving schedule may consist of multiple test phases. Duty cycle means a set of weighting factors and the correspon ding test cycles, where the weighting factors are used to combine the results of multiple test phases into a composite result. Road

- load coefficients means sets of A, B, and C road

- load force coefficients that are used in the dynamometer road

- load simulation, where road

- load force at speed S equals A + B

· S

+ C

· S 2

. Test phase means a duration over which a vehicle’s emission r ates are determined for comparison to an emission standard. For example, t he standard-setting part may specify a complete duty cycle as a cold-start test phase an d a hot-start test phase. In cases where multiple test phases occur over a duty cycle, the s tandard-setting part may specify additional calculations that weight and combine res ults to arrive at composite values for comparison against the applicable standards. Test weight

has the meaning given in the standard

- setting part. Unloaded coastdown means a dynamometer coastdown run with the vehicle wheels off the roll surface.

§1066.705 Symbols, abbreviations, acronyms, and units of measure. The procedures in this part generally follow either the International System of Units (SI) or the United States customary units, as detailed i n NIST Special Publication 811, 1995 Edition, “Guide for the Use of the International System, of Units (SI),” which we incorporate by reference in §1066.710. See 40 CFR 1065. 25 20 for specific provisions related to these conventions. This section summari zes the way we use symbols, units of measure, and other abbreviations. (a) Symbols for quantities . This part uses the following symbols and units o f measure for various quantities:

Symbol Quantity Unit Unit symbol Base Unit in terms of SI base units

∆ a symbol prefix to denote an

interval acceleration miles per hour feet per second squared or meters per second squared mph ft/s 2 or m/s 2 m · s -2

% percent 0.01 % 10 - 2

d diameter Inches meters in m m F force pound force or newton lbf or N kg

· s - 2 f frequency hertz Hz s - 1

I inertia pound mass or kilogram lbm or kg kg
i indexing variable
M mass pound mass or kilogram lbm or kg kg
N total number in series

n total number of pulses in a series Formatted Table

Formatted Table

Formatted Table

Formatted TableR dynamometer roll revolutions revolutions per minute rpm 2 ·π· 60 - 1

· m·m - 1 ·s - 1

RL road

- load coefficient horsepower or kilowatt hp or kW 10 3

· m 2

· kg

· s - 3

S speed miles per hour or meters per second mph or m/s m · s -1

T Celsius temperature degree Celsius °C K-273.15
T torque (moment of force) newton meter N

· m m 2

· kg

· s - 2

t time second s s
∆ t time interval, period, 1/frequency second s s

y generic variable

(b) Symbols for chemical species . This part uses the following symbols for chemica l species and exhaust constituents: Symbol Species
CH 4 methane
CO carbon monoxide
CO 2 carbon dioxide NMHC nonmethane hydrocarbon NMHCE nonmethane hydrocarbon equivalent
NO nitric oxide
NO 2 nitrogen dioxide
NO
x oxides of nitrogen
N 2 O nitrous oxide
O 2 molecular oxygen PM particulate mass THC total hydrocarbon THCE total hydrocarbon equivalent

(c) Superscripts . This part uses the following superscripts to def ine a quantity: Superscript Quantity overbar (such as y ) arithmetic mean

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

Subscript Quantity int speed interval abs absolute quantity
act actual or measured condition actint actual or measured condition over the speed interval atmos atmospheric
b base c coastdown
e effective

error error exp expected quantity
i an individual of a series final final init initial quantity, typically before an emission test

max the maximum (i.e., peak) value expected at the standard over a

test interval; not the maximum of an instrument range meas measured quantity ref reference quantity
rev revolution roll dynamometer roll

s settling sat saturated condition si speed interval Formatted Tablespan span quantity test test quantity uncor uncorrected quantity zero zero quantity

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

CFR Code of Federal Regulations EPA Environmental Protection Agency FID flame-ionization detector
GVWR gross vehicle weight rating NIST National Institute for Standards and Technology
RESS rechargeable energy storage system SAE Society of Automotive Engineers
U.S.C. United States Code

§1066.710 Reference materials. Documents listed in this section have been (a) Certain material is incorporated by reference into this part

. with the approval of the Director of the Federal Register approved the incorporation by reference as prescrib ed in under 5 U.S.C. 552(a) and 1 CFR part 51. Anyone may inspect copies at the To enforce any edition other than that specified in this section, the Environmental Protec tion Agency must publish a notice of the change 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., Ro om B102, EPA West Building, Washington, DC 20460 or , (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 avai lability of this material at NARA, call 202

- – 741

- – 6030, or go to : http://www.archives.gov/federal_register/code_of_fe deral_regulations/ibr_locations.html. (a) NIST material . Table 1 of this section lists material from the National Institute of Standards and Technology that we have incorpor ated by reference. The first column lists the number and name of the material. The second co lumn lists the section of this part where we reference it. Anyone may purchase copies of these materials from the Government Printing Office, Washington, DC 2040 2 or download them free from the Internet at www.nist.gov . Table 1 follows:

Table 1 of §1066.710

– NIST materials

Document number and name Part 1066 reference NIST Special Publication 811, 1995 Edition, G uide for the Use of the International System of Units (SI), Barry N. Taylor, Physics Laboratory 1066.20, 1066.705

(b) SAE material . Table 2 of this section lists material from the Society of Automotive Engineering that we have incorporated by reference. The first column lists the number and name of the material. The second column lists the sections of this part where we reference it. Anyone may purchase copies of these materials from the (b) Society of Automotive Engineers, 400 Commonwealth Dr ive

. , Warrendale, PA 15096 or www.

– 0001, (877) 606–7323 (U.S. and Canada) or (724) 776 –4970 (outside the U.S. and Canada), http://www. sae.org. Table 2 follows:(1) SAE J1263, Road Load Measurement and Dynamomete r Simulation Using Coastdown Techniques, Revised March 2010, IBR appro ved for §§ 1066.301(b) and 1066.310(b). (2) SAE J2263, Road Load Measurement Using On-Board Anemometry and Coastdown Techniques, Revised December 2008, IBR ap proved for §§ 1066.301(b), and 1066.310(b). (3) SAE J2711, Recommended Practice for Measuring F uel Economy and Emissions of Hybrid-Electric and Conventional Heavy-Duty Vehi cles, Issued September 2002, IBR approved for § 1066.501. (c) National Institute of Standards and Technology , 100 Bureau Drive, Stop 1070, Gaithersburg, MD 20899-1070, (301) 975-6478, www.ni st.gov, or inquiries@nist.gov. (1) NIST Special Publication 811, 2008 Edition, Gui de for the Use of the International System of Units (SI), Barry N. Taylor , Physics Laboratory, and Ambler Thompson, Technology Services, March 2008, IBR appr oved for §§ 1066.20(a) and 1066.705. (2) [Reserved]

PART 1068—GENERAL COMPLIANCE PROVISIONS FOR HIGHWAY, STATIONARY, AND NONROAD PROGRAMS

92. The authority citation for part 1068 continues to r ead as follows: Authority: 42 U.S.C. 7401-7671q.

93. The heading of part 1068 is revised to read as set forth above.

Subpart A – [Amended]

94. 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 w ith respect to the following engines and to equipment using the following engines (inclu ding owners, operators, parts manufacturers, and persons performing maintenance): (1) Locomotives we regulate under 40 CFR part 1033. (2) Heavy-duty motor vehicles and motor vehicle eng ines to the extent and in the manner specified in 40 CFR parts 85, 86, 1036 and 1 037. (3) Land-based nonroad compression-ignition engines we regulate under 40 CFR part 1039. (4) Stationary compression-ignition engines certifi ed using the provisions of 40 CFR part 1039, as indicated in 40 CFR part 60, subpart IIII. (5) Marine compression-ignition engines we regulate under 40 CFR part 1042. (6) Marine spark-ignition engines we regulate under 40 CFR part 1045. (7) Large nonroad spark-ignition engines we regulat e under 40 CFR part 1048. (8) Stationary spark-ignition engines certified usi ng the provisions of 40 CFR parts 1048 or 1054, as indicated in 40 CFR part 60, subpa rt JJJJ. (9) Recreational engines and vehicles we regulate u nder 40 CFR part 1051 (such as snowmobiles and off-highway motorcycles).(10) Small nonroad spark-ignition engines we regula te under 40 CFR part 1054.

(b) This part does not apply to any of the followin g engine or vehicle categories, except as specified in paragraph (d) of this section or as specified in other parts: (1) Light-duty motor vehicles (see 40 CFR part 86). (2) Highway motorcycles (see 40 CFR part 86). (3) Aircraft engines (see 40 CFR part 87). (4) Land-based nonroad compression-ignition engines we regulate under 40 CFR part 89. (5) Small nonroad spark-ignition engines we regulat e under 40 CFR part 90. (c) Paragraph (a) of this section identifies the pa rts of the CFR that define emission standards and other requirements for particular typ es of engines and equipment. This part 1068 refers to each of these other parts genericall y as the “standard-setting part.” For example, 40 CFR part 1051 is always the standard-se tting 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 to new emission standards, as fo llows: (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 engines/equipment listed in paragraph (a) of this s ection beginning January 1, 2004, if they are used solely for competition.

Subpart C – [Amended]

28. 95. Section 1068.210 is revised to read as follows: §1068.210 What are the provisions for exempting test engines/equipment? (a) We may exempt engines/equipment that you will u se for research, investigations, studies, demonstrations, or training. Note that yo u are not required to get an exemption under this section for engines that are exempted un der other provisions of this part, such as the manufacturer-owned exemption in §1068.215. (b) Anyone may ask for a testing exemption. (c) If you are a certificate holder, you may reque st an exemption for engines/equipment you intend to include in test programs over a two-y ear period. (1) In your request, tell us the maximum number of engines/equipment involved and describe how you will make sure exempted engines/eq uipment are used only for this testing. For example, if the exemption will involv e other companies using your engines/equipment, describe your plans to track ind ividual units so you can properly report on their final disposition. (2) Give us the information described in paragraph (d) of this section if we ask for it. (d) If you are not a certificate holder, do all t he following things: (1) Show that the proposed test program has a vali d purpose under paragraph (a) of this section.(2) Show you need an exemption to achieve the purp ose of the test program (time constraints may be a basis for needing an exemption , but the cost of certification alone is not). (3) Estimate the duration of the proposed test pro gram and the number of engines/equipment involved. (4) Allow us to monitor the testing. (5) Describe how you will ensure that you stay wit hin this exemption’s purposes. Address at least the following things: (i) The technical nature of the test. (ii) The test site. (iii) The duration and accumulated engine/equipment operation associated with the test. (iv) Ownership and control of the engines/equipment involved in the test. (v) The intended final disposition of the engines/e quipment. (vi) How you will identify, record, and make availa ble the engine/equipment identification numbers. (vii) The means or procedure for recording test res ults. (e) If we approve your request for a testing exemp tion, we will send you a letter or a memorandum describing the basis and scope of the ex emption. It will also include any necessary terms and conditions, which normally requ ire you to do the following: (1) Stay within the scope of the exemption. (2) Create and maintain adequate records that we m ay inspect. (3) Add a permanent label to all engines/equipment exempted under this section, consistent with §1068.45, with at least the followi ng items: (i) The label heading "EMISSION CONTROL INFORMATION ". (ii) Your corporate name and trademark. (iii) Engine displacement, family identification, a nd model year of the engine/equipment (as applicable), or whom to contac t for further information. (iv) One of these statements (as applicable): (A) “THIS ENGINE IS EXEMPT UNDER 40 CFR 1068.210 OR 1068.215 FROM EMISSION STANDARDS AND RELATED REQUIREMENTS.” (B) “THIS EQUIPMENT 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/e quipment. (6) Send us a written confirmation that you meet t he terms and conditions of this exemption.

96. Section 1068.235 is revised to read as follows: § 1068.235 What are the provisions for exempting engines/equipment used solel y for competition? (a) New engines/equipment you produce that are used solely for competition are generally excluded from emission standards. See the standard-setting parts for specific provisions where applicable.(b) If you modify any nonroad engines/equipment aft er they have been placed into

service in the United States so they will be used s olely for competition, they are exempt without request. This exemption applies only to the prohibition in §1068.101(b)(1) and is valid only as long as the engine/equipment is used solely for competition. You may not use the provisions of this paragraph (b) to circumv ent the requirements that apply to the sale of new competition engines under the standard- setting part. (c) If you modify any nonroad engines/equipment und er paragraph (b) of this section, you must destroy the original emission labels. If you l oan, lease, sell, or give any of these engines/equipment to someone else, you must tell th e new owner (or operator, if applicable) in writing that they may be used only f or competition.

Subpart D – [Amended]

29. 97. Section 1068.325 is revised to read as follows: §1068.325 What are the temporary exemptions for imported engines/equipment? You may import engines/equipment under certain temp orary exemptions, subject to the conditions in this section. We may ask U.S. Custom s and Border Protection to require a specific bond amount to make sure you comply with t he requirements of this subpart. You may not sell or lease one of these engines/equi pment 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 unl ess it conforms to a certificate of conformity or it qualifies for one of the permanent exemptions in §1068.315. (a) Exemption for repairs or alterations. You may temporarily import nonconforming engines/equipment under bond solely for repair or a lteration, subject to our advance approval as described in paragraph (j) of this sect ion. You may operate the engine/equipment in the United States only as neces sary to repair it, alter it, or ship it to or from the service location. Export the engine/eq uipment directly after servicing is complete. (b) Testing exemption. You may temporarily import nonconforming engines/equipment under bond for testing if you follow the requiremen ts of §1068.210, subject to our advance approval as described in paragraph (j) of t his section. You may operate the engines/equipment in the United States only as need ed to perform tests. This exemption expires one year after you import the engine/equipm ent unless we approve an extension. The engine/equipment must be exported before the ex emption expires. You may sell or lease the engines/equipment consistent with the pro visions of §1068.210. (c) Display exemption. You may temporarily import nonconforming engines/equipment under bond for display if you follow the requiremen ts of§1068.220, subject to our advance approval as described in paragraph (j) of t his section. This exemption expires one year after you import the engine/equipment, unl ess we approve your request for an extension. We may approve an extension of up to on e more year for each request, but no more than three years total. The engine/equipment must be exported by the time the exemption expires or directly after the display con cludes, whichever comes first. (d) Export exemption. You may temporarily import n onconforming engines/equipment to export them, as described in §1068.230. You may operate the engine/equipment in the United States only as needed to prepare it for expo rt. Label the engine/equipment asdescribed in §1068.230. You may sell or lease the engines/equipment for operation

outside the United States consistent with the provi sions of §1068.230. (e) Diplomatic or military exemption. You may temp orarily import nonconforming engines/equipment without bond if you represent a f oreign government in a diplomatic or military capacity. In your request to the Designat ed Compliance Officer (see §1068.305), include either written confirmation from the U.S. S tate Department that you qualify for this exemption or a copy of your orders for militar y duty in the United States. We will rely on the State Department or your military order s to determine when your diplomatic or military status expires, at which time you must export your exempt engines/equipment. (f) Delegated-assembly exemption. You may import a nonconforming engine for final assembly under the provisions of §1068.261. You ma y sell or lease the engines/equipment consistent with the provisions of §1068.261. (g) Exemption for partially complete engines. You m ay import an engine if another company already has a certificate of conformity and will be modifying the engine to be in its final certified configuration or a final exempt configuration under the provisions of §1068.262. You may also import a partially complet e engine by shipping it from one of your facilities to another under the provisions of §1068.260(c). If you are importing a used engine that becomes new as a result of importa tion, you must meet all the requirements that apply to original engine manufact urers under §1068.262. You may sell or lease the engines consistent with the provisions of §1068.262. (h) [Reserved] (i) [Reserved] (j) Approvals. For the exemptions in this section requiring our approval, you must send a request to the Designated Compliance Officer before importing the engines/equipment. We will approve your request if you meet all the ap plicable requirements and conditions. If another section separately requires that you req uest approval for the exemption, you may combine the information requirements in a singl e request. Include the following information in your request: (1) Identify the importer of the engine/equipment a nd the applicable postal address, email address, and telephone number. (2) Identify the engine/equipment owner and the app licable postal address, e-mail address, and telephone number. (3) Identify the engine/equipment by model number ( or name), serial number, and original production year. (4) Identify the specific regulatory provision unde r which you are seeking an exemption. (5) Authorize EPA enforcement officers to conduct i nspections or testing as allowed under the Clean Air Act. (6) Include any additional information we specify f or demonstrating that you qualify for the exemption.Table 2 of §1066.710

– SAE materials

Document number and name Part 1066 reference SAE J1711:2010, Recommended Practice for Measuring the E xhaust Emissions and Fuel Economy of Hybrid

- Electric Vehicles 1066.4 1066.501

SAE J2263:2008, Road Load Measurement Using On

- Board Anemometry And Coastdown Techniques 1066.2 1066.301, 1066.2 1066.310, 1 066.3 1066.404 SAE J2264:1995, Chassis Dynamometer Simulation Of Road L oad Using Coastdown Techniques 1066.3 1066.404 SAE J2711: 2002, Recommended Practice for Measuring Fuel Economy and Emission s of Hybrid

Electric and Conventional Heavy

- Duty Vehicles 1066.4 1066.501

___________________________________________________ _____________________ Department of Transportation National Highway Traffic Safety Administration 49 CFR Chapter V

In consideration of the foregoing, under the author ity of 49 U.S.C. 32901 and 32902 and delegation of authority at 49 CFR 1.50, NHTSA propo ses to amend 49 CFR chapter V as follows:

PART 523 — VEHICLE CLASSIFICATION

■ 18 98 . The authority for part 523 continues to read as follows: Authority: 49 U.S.C. 32901; delegation of authority at 49 CFR 1.50.

■ 19 99 . Revise § 523.2 to read as follows:

§ 523.2 Definitions.

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 li ne tangent to the front tire static loaded radius arc and touching the underside of the auto mobile 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 means the tire specified as standard equipment by a manufacturer on each vehicle configuration subconfiguration of a model type. Basic vehicle frontal area is used as defined in 40 CFR 86.1803-01. 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 r ear static loaded radii arcs and intersecting at a point on the underside of the automobi le. Cab-complete vehicle means a vehicle that is first sold as an incomplete vehicl e that substantially includes the vehicle cab section as defined in 40 CFR 1037.801. F or example, vehicles known commercially as chassis-cabs, cab-chassis, box -deletes, beddeletes, cut-away vans are considered cab-complete vehicles. A cab i ncludes a steeringcolumn and passenger compartment. Note a vehicle lacking some components of the cab is a cab-complete vehicle if it substantially includes the ca b. Cargo-carrying volume means the luggage capacity or cargo volume index, as appropriate, and as those terms are defined in 40 CFR 600.315, in the case of auto mobiles to which either of those terms apply. With respect to automobiles t o which neither of those terms apply “cargo-carrying volume” means the total vo lume in cubic feet rounded to the nearest 0.1 cubic feet of either an automobile's enclosed nonseating s pace 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 centerli ne of the automobile and passes through the rearmost point on the rearmost seat and elsewhere by t he 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. 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 i n 49 U.S.C. 32901(a)(7). Complete d vehicle means a vehicle that requires no further manufacturing operations to perform its intended function and is a functioning vehicle that has the primary load carrying device or container (or equivalent equipment) attached or that is designed to pull a trailer. Examples of equivalent equipment would include fifth wheel trailer hitches, firefighting equipment, and utility booms

. Curb weight

is defined the same as vehicle curb weight in 40 CFR 86.1803-01. 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 li ne tangent to the rear tire static loaded radius arc and touching the underside of the automobile rearward of the rear tire. Final stage manufacturer has the meaning given in 49 CFR 567.3. Footprint is defined as the product of track width (measured in inches, calculate d as the average of front and rear track widths, and rounded to the nearest te nth of an inch) times wheelbase (measured in inches and rounded to the nearest tent h 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 cente rlines 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. Gross combination weight rating or GCWR means the value specified by the manufacturer as the maximum allowable loaded weight of a combina tion vehicle (e.g. tractor plus trailer). Gross vehicle weight rating or GVWR means the value specified by the vehicle manufacturer as the maximum design loaded weight of a single vehicle (e .g. vocational truck). vehicle). 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 vehi cle. For purposes of this definition in this part, the term “engine” includes i nternal combustionengines 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 t

ruck vehicle means a non

- passenger automobile meeting the criteria vehicle that as defined in § 523.6. Heavy-duty off-road truck vehicle means a heavy-duty vocational truck or tractor that vehicle or vocational tractor that is intended for off-road use meet ing either the criteria of paragraph (1) or (2). (1) Vehicles with tires installed having a maximum speed rating at or below 55 mph. (2) Vehicles primarily or partially performs designed to perform work off-road or to performs off

- road ( such as in oil fields, forests, or construction sites and having permanently or temporarily ), and meeting at least one of the criteria of paragraph (2)(i) of this section and at least one of the criteria of paragraph (2)(ii) of t his section. (i) Vehicle must have affixed components designed to work in an off-road environment ( i.e., for example, hazardous material equipment or off

- road drill drilling equipment) or characteristics was designed to operate at low speeds making them unsuitable for normal highway operation on roads; and me eting one or more of the following criteria:

. Any vehicle performing primarily off

- road and equipped with (ii) Vehicles must: (A) Have an axle that has a gross axle weight rating (GAWR) of 29,000 pounds ; or
more; Any vehicle performing primarily off

- road and that has (B) Have a speed attainable in 2 miles of not more than 33 mph; or Any vehicle performing primarily off

- road and that has (C) Have a speed attainable in 2 miles of not more than 45 mph, an unloaded vehicle weight that is not less t han 95 percent of its gross vehicle weight rating (GVWR), and no capacity to carr y occupants other than the driver and operating crew , or

. Any vehicle that can operate in both on and off

- road environments and having speed restricted tires rated at 55 mph or below. Incomplete vehicle means an assemblage consisting, at a minimum, of chassis (including the frame) structure, power train, steering system, suspension system, and bra king system, in the state that those systems are to be part of the co mpleted vehicle, but requires further manufacturing operations to become a c ompleted vehicle. Incomplete vehicle means a vehicle which does not have the primary load carrying device or container attached when it is first sold as a vehicle or any v ehicle that does not meet the definition of a complete vehicle. This may include veh icles sold to secondary vehicle manufacturers. Incomplete vehicles include cab-comp lete vehicles. Innovative technology means technology certified under 40 CFR part 1037.610. Light truck

means a non-passenger automobile meeting the criteria in § 523.5. 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 m ore than 6,000 pounds or has a basic vehicle frontal area in excess of 45 square feet, and w hich is designed primarily to transport passengers, but does not include a vehicle t hat: (1) Is an “incomplete truck 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 fr om the passenger compartment will be considered an open cargo area for purposes of thi s definition. Motor home has the meaning given in 49 CFR 571.3. Motor vehicle has the meaning given in 40 CFR 85.1703. Passenger-carrying volume means the sum of the front seat volume and, if any, rear seat volume, as defined in 40 CFR 600.315, in the case of automobiles to w hich that term applies. With respect to automobiles to which that term does not appl y, ``passengercarrying volume'' means the sum in cubic feet, rounded to the nearest 0.1 c ubic feet, of the volume of a vehicle's front seat and seats to the rear of the f ront seat, as applicable, calculated as follows with the head room, shoulder room, and leg room dime nsions determined in accordance with the procedures outlined in Society of Aut omotive Engineers Recommended Practice J1100a, Motor Vehicle Dimensions (Report of H uman Factors Engineering Committee, Society of Automotive Engineers, approved Se ptember 1973 and last revised September 1975). (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 i nto the product of the following SAE dimensions, measured in inches to the nearest 0.1 in ches, 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 compartme nt and an open cargo area (bed). Recreational vehicle or RV means a motor vehicle equipped with living space and amenities found in a motor home. Running clearance means the distance from the surface on which an automobile is standing to the lowest point on the automobile, excluding unsprung weight. 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 d istance from that center to the level surface on which the automobile is standi ng, measured with the automobile at curb weight, the wheel parallel to the vehicle's long itudinal centerline, and the tire inflated to the manufacturer's recommended pressure. Temporary living quarters means a space in the interior of an automobile in which people may temporarily live and which includes sleeping surfaces, su ch as beds, and household conveniences, such as a sink, stove, refrigerator, or toilet. Van means a vehicle with a body that has an integral enclosure fully enclos ing es the driver compartment and load 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 vehicle s.Vocational vehicle means a vehicle that is constructed equipped for a particular

industry, trade or occupation such as construction, heavy hauling, mining, loggi ng, oil fields and refuse , refuse and includes vehicles such as school buses, motorcoaches and RVs

. Vocational tractor means a tractor that is classified as a vocational vehicle because it meets one of the foll owing design characteristics. (i) Low

- roof tractors intended for intra

- city pickup and delivery, such as those that deliver bottled beverages according to retail stores. 40 CFR part 1037.630 (ii) Tractors intended for off

- road operation (including mixed service operation), such as th ose with reinforced frames and increased ground clearance. (iii) Tractors with a GCWR over 120,000 pounds.

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 40 CFR 86.1803-01 effective as of December 20, 2007.

■ 20 100

. Add a new § 523.6 to read as follows:

§ 523.6 Heavy-duty truck vehicle

. (a) A heavy-duty truck vehicle is any Class 2b through 8 non

- passenger vehicle that is

a commercial medium

- and 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 regulation heavy-duty trucks vehicles are divided into three regulatory categories as follows: (1) Heavy-duty pickup trucks and vans; (2) Heavy-duty vocational trucks vehicles ; and (3) Truck tractors with a GVWR above 26,000 pounds. (b) The heavy-duty truck vehicle classification does not include: (1) Vehicles defined as medium duty passenger vehicles in 40 CFR 86.1803

- 01 on December 20, 2007

. (2) Recreational vehicles including motor homes. (3) Vehicles excluded from the definition of “heavy-duty truck vehicle ” because of vehicle weight or weight rating (such as light duty vehicles and light duty trucks as defined in § 523.5). ( 4) Heavy

- duty off

- road vehicles 3) Vehicles excluded from the definition of motor vehicle in 40 CFR part 85.1703

.

■ 21 101

. Add a new § 523.7 to read as follows:

§ 523.7 Heavy-duty pickup trucks and vans.

Heavy-duty pickup trucks and vans are pickup trucks and vans with a gross veh icle 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 manufa cturer and include cab

- complete vehicles that are first sold as incomplete vehic l es that substantially include the vehicle cab section. or manufactured as incomplete vehicles as designated by a manufacturer. A manufacturer may also optionally designate incomplete or completeClass 4 or 5 vehicles as heavy-duty pickup trucks or vans or spark ignition (or gasoli ne)

engines certified and sold as loose engines manufactured for use in heavy-duty pi ckup trucks or vans. See references in 40 CFR part 1037.104 and 40 CFR part 1037.150.

■ 22 102

. Add a new § 523.8 to read as follows:

§ 523.8 Heavy-duty vocational trucks vehicle

.
Heavy-duty vocational trucks vehicles are vocational vehicles with a gross vehicle weight rating (GVWR) above 8,500 pounds excluding: (a) Heavy-duty pickup trucks and vans defined in § 523.7; (b) Medium duty passenger vehicles; and (c) Truck tractors, except vocational tractors, with a GVWR abov e 26,000 pounds;

■ 23 103

. Add a new § 523.9 to read as follows:

§ 523.9 Truck tractors.

Truck tractors for the purpose of this part are considered as any truck t ractor as defined in 49 CFR part 571 having a GVWR above 26,000 pounds and include any heavy

- duty vocational truck with a sleeper cab

.

PART 534—RIGHTS AND RESPONSIBILITIES OF MANUFACTURER S IN THE CONTEXT OF CHANGES IN CORPORATE RELATIONSHIPS

■ 24 104 . The authority for part 534 continues to read as follows: Authority: 49 U.S.C. 32901; delegation of authority at 49 CFR 1.50.

■ 25 105 . Revise § 534.1 to read as follows:

§ 534.1 Scope. This part defines the rights and responsibilities of manufacturers in the context of changes in corporate relationships for purposes of the fuel economy and fuel consumption programs established by 49 U.S.C. chapter 329.

■ 26 106 . Revise § 534.2 to read as follows:

§ 534.2 Applicability.

This part applies to manufacturers of passenger automobiles, light trucks, heavy-duty trucks vehicles and the engines manufactured for use in heavy-duty trucks vehicles as defined in 49 CFR part 523.

■ 27 107 . Revise § 534.4 to read as follows.§ 534.4 Successors and predecessors. For purposes of the fuel economy and fuel consumption programs, ‘‘manufact urer’’ includes ‘‘predecessors’’ and ‘‘successors’’ to the extent specified in paragraphs (a) through (d) of this section. (a) Successors are responsible for any civil penalties that arise ou t of fuel economy and fuel consumption shortfalls incurred and not satisfied by predecess ors. (b) If one manufacturer has become the successor of another manufact urer during a model year, all of the vehicles or engines produced by those manufa cturers during the model year are treated as though they were manufactured by the same manufacturer. A manufacturer is considered to have become the successor of another manuf acturer during a model year if it is the successor on September 30 of the correspondi ng calendar year and was not the successor for the preceding model year. (c)(1) For passenger automobiles and light trucks, fuel economy credi ts earned by a predecessor before or during model year 2007 may be used by a successor, subject to the availability of credits and the general three-year restrict ion on carrying credits forward and the general three-year restriction on carrying credits backward. F uel economy credits earned by a predecessor after model year 2007 may be used by a success or, subject to the availability of credits and the general five-year restricti on on carrying credits forward and the general three-year restriction on carrying credits backward. (2) For heavy-duty trucks vehicles and heavy-duty truck vehicle engines, available fuel consumption credits earned by a predecessor after model year 2015, and i n model years 2013, 2014 and 2015 if a manufacturer voluntarily complies in those model years, may be used by a successor, subject to the availability of credits and the ge neral five-year restriction on carrying credits forward and the general three year res triction on carrying credits backward

. (d)(1) For passenger automobiles and light trucks, fuel economy credi ts earned by a successor before or during model year 2007 may be used to offset a predeces sor’s shortfall, subject to the availability of credits and the general three-year restriction on carrying credits forward and the general three-year restriction on carr ying credits backward. Credits earned by a successor after model year 2007 may be us ed to offset a predecessor’s shortfall, subject to the availability of credits and t he general five-year restriction on carrying credits forward and the general three-year rest riction on carrying credits backward. (2) For heavy-duty trucks vehicles and heavy-duty truck vehicle engines, available credits earned by a successor after model year 2015, and in model years 2013, 2014 and 2015, if a manufacturer voluntarily complies in those model years, may be us ed by a predecessor subject to the availability of credits and the general fi ve-year restriction on carrying credits forward and the general three year restriction on car rying credits backward.

■ 28 108 . Amend § 534.5 by revising paragraphs (a), (c), and (d) to read as follows:

§ 534.5 Manufacturers within control relationships.(a) If a civil penalty arises out of a fuel economy or fuel consumption shor tfall

incurred by a group of manufacturers within a control relationship, ea ch manufacturer within that group is jointly and severally liable for the civil penalty. * * * * * (c)(1) For passenger automobiles and light trucks, fuel economy credi ts of a manufacturer within a control relationship may be used by the group of ma nufacturers within the control relationship to offset shortfalls, subject to the a greement of the other manufacturers, the availability of the credits, and the general thr ee year restriction on carrying credits forward or backward prior to or during model year 2007, or the general five year restriction on carrying credits forward and the general thr ee-year restriction on carrying credits backward after model year 2007. (2) For heavy-duty trucks vehicles and heavy-duty engines, credits of a manufacturer within a control relationship may be used by the group of manufacturers wi thin the control relationship to offset shortfalls, subject to the agreement of the other manufacturers, the availability of the credits to carry forward without restriction, except for the heavy

- duty pickup truck and van category that have a 5

- year carry forward expiry date , the general 5-year restriction on carrying credits forward , and the general three year restriction on offsetting past credit shortfalls as specified in t he requirements of 49 CFR 535.7

. (d)(1) For passenger automobiles and light trucks, if a manufacturer within a group of manufacturers is sold or otherwise spun off so that it is no longer within t hat control relationship, the manufacturer may use credits that were earn ed by the group of manufacturers within the control relationship while the manufacture r was within that relationship, subject to the agreement of the other manufacturers , the availability of the credits, and the general three-year restriction on carrying credits forward or backward prior to or during model year 2007, or the general five-year restriction on ca rrying credits forward and the general three-year restriction on carrying credits back ward after model year 2007. (2) For heavy-duty trucks vehicles and heavy-duty truck vehicle engines, if a manufacturer within a group of manufacturers is sold or otherwise spun off s o that it is no longer within that control relationship, the manufacturer may use cred its that were earned by the group of manufacturers within the control relationship while the manufacturer was within that relationship, subject to the agreement of the other manuf acturers, the availability of the credits, the general 5-year restriction on carrying credits forward, and the general three year restriction on offsetting past credit shortfall s as specified in the requirements of 49 CFR 535.7

. * * * * *

■ 2 10 9. Revise § 534.6 to read as follows.

§ 534.6 Reporting corporate transactions.

Manufacturers who have entered into written contracts transfe rring rights and responsibilities such that a different manufacturer owns the contr olling stock or exerts control over the design, production or sale of automobiles or heavy-duty trucks vehicles to which Corporate Average Fuel Economy or Fuel Consumption standards appl y shall report the contract to the agency as follows:(a) The manufacturers must file a certified report with the agen cy affirmatively

stating that the contract transfers rights and responsibilities between them such that one manufacturer has assumed a controlling stock ownership or control over the design, production or sale of vehicles. The report must also specify the first ful l model year to which the transaction will apply. (b) Each report shall— (1) Identify each manufacturer; (2) State the full name, title, and address of the official responsible for preparing the report; (3) Identify the production year being reported on; (4) Be written in the English language; and (5) Be submitted to: Administrator, National Highway Traffic Safety Adm inistration, 1200 New Jersey Avenue, SE, Washington, DC 20590. (c) The manufacturers may seek confidential treatment for infor mation provided in the certified report in accordance with 49 CFR part 512.

30 ■ 110 . A new part 535 is added to chapter V 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) program. 535.8 Reporting requirements. 535.9 Enforcement approach.

Authority: 49 U.S.C. 32902; delegation of authority at 49 CFR 1.50.

§ 535.1 Scope.

This part establishes fuel consumption standards pursuant to 49 U.S.C. 32902(k) for work trucks and commercial medium-duty and heavy-duty on-highway vehicl es (hereafter referenced as heavy-duty trucks vehicles ) and engines manufactured for sale in the United States and establishes a credit program manufacturers may us e to comply with standards and requirements for manufacturers to provide reports to the Na tional Highway Traffic Safety Administration regarding their efforts to reduce the fuel consumption of these vehicles.§ 535.2 Purpose.

The purpose of this part is to reduce the fuel consumption of new heavy-dut y trucks vehicles by establishing maximum levels for fuel consumption standards while providing a flexible credit program to assist manufacturers in compl ying with standards.

§ 535.3 Applicability.

(a) This part applies to complete vehicle and chassis manufacturers of all new heavyduty trucks vehicles , as defined in 49 CFR part 523, and to the manufacturers of all heavy-duty engines manufactured for use in the applicable vehicles (hereafter
referenced as heavy

- duty engines). for each given model year. (b) Vehicle manufacturer Complete vehicle manufacturers , for the purpose of this part, means a manufacturer include manufacturers that manufactures produce heavyduty pickup trucks and vans or truck tractors as complete vehicles

. and that hold the EPA certificate of conformity. (c) Chassis manufacturers, for the purpose of this part, include manufacturers tha t produce incomplete vehicles constructed for use as heavy-duty pickup trucks or vans or heavy-duty vocational vehicles and that hold the EPA certificate of con formity. Some vocational vehicle manufacturers are both chassis and complete v ehicle manufacturers. These manufacturers will be regulated as chassis manufacturers un der this program. (d) Engine manufacturer, for the purpose of this part, means a manufacturer that

manufactures the chassis of a vocational vehicle manufacturers engines for heavy-duty vehicles and holds the EPA certificate of conformity

. ( d e ) The heavy-duty vehicles, chassis and engines excluded from the requirements of this part include: (1) Engin es used in medium

- duty passenger Recreational vehicles

. , including motor homes. (2) Engines fueled by other than petroleum fuels, natural gas, liquefied petroleum gas, and methanol.

(e) (2) Vehicles and engines exempted by EPA in accordance with 40 CFR part 1036 and 40 CFR 1037. (f) Vehicles and engines produced by small business manufacturers as defined by the Small Business Administration at 13 CFR 121.201 , and are exempted as rep orted to
and approved by specified in § 535.8(h). (g) Heavy-duty off-road vehicles meeting the Administrators criteria in 49 CFR part 523 are exempt without request from vehicle standards of § 535.5(b). Manufacturers of vehicles not meeting the criteria for the heavy-duty off-road vehi cle exclusion may submit a petition as specified in § 535.8(h) to EPA and NHTSA , are exempted for an exclusion from the requirements vehicle standards of this regulation. § 535.5(b). (h) A vehicle manufacturer that completes assembly of a vehicle a t two or more facilities may ask to use as the date of manufacture for that vehi cle the date on which manufacturing is completed at the place of main assembly, consisten t 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 effecti ve when EPA approves the manufacturer’s certificates of conformity for t hese vehicles.§ 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. A to B testing means testing performed in pairs to allow comparison of vehicle A t o vehicle B. Ac t means the Motor Vehicle Information and Cost Savings Act, as amended b y 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 certified under 40 CFR part 1036.615 and 40 CFR part 1037.615. 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 averag ing set. Note that an averaging set may comprise more than one regulatory subcategory. The averag ing sets for this HD program are defined as follows: (1) Heavy-duty pickup trucks and vans

. (2) Vocational light-heavy vehicles at or below 19,500 pounds GVWR. (3) Vocational and tractor medium-heavy vehicles above 19,500 pounds GVWR but at or below 33,000 pounds GVWR. (4) Vocational and tractor heavy-heavy vehicles above 33,000 pounds GVWR. (5) Compression-ignition light heavy-duty diesel engines for Class 2b to 5 trucks vehicles with a GVWR above 8,500 pounds but at or below 19,500 pounds. (6) Compression-ignition medium heavy-duty diesel engines for Class 6 and 7 trucks vehicles with a GVWR above 19,500 but at or below 33,000 pounds. (7) Compression-ignition heavy heavy-duty diesel engines for Class 8 trucks vehicles with a GVWR above 33,000 pounds. (8) Spark ignition engines in Class 2b to 8 trucks vehicles with a GVWR above 8,500 pounds. Cab-complete vehicle has the meaning given in 49 CFR part 523. Carryover

means relating to certification based on emission data generated from an earlier model year. Certification means process of obtaining a certificate of conformity for a vehicle family that complies with the emission standards and requirements in this part. Certificate of Conformity means an approval document granted by the EPA to a manufacturer that submits an application for a vehicle or engine emissi ons family in 40 CFR part 1036.205 and 40 CFR part 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 manufactur er continues to produce. 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 youmay have two certified emission levels for CO 2 if you certify a family for both vocational

and tractor use. Certificate holder means the manufacturer who holds the certificate of conformity f or the vehicle or engine and that assigns the model year based on the date when i ts manufacturing operations are completed relative to its annual model yea r period. Chassis -cab means the incomplete part of a vehicle that includes a frame, a completed occupant compartment and that requires only the addition of ca rgo-carrying, work-performing, or load-bearing components to perform its intended fun ctions. Chief Counsel

means the NHTSA Chief Counsel, or his or her designee. Complete sister vehicle is a complete vehicle of the same configuration as a cabcomplete vehicle. Complete vehicle has the meaning given in 49 CFR part 523. Compression-ignition means relating to a type of reciprocating, internal-combustion engine, such as a diesel engine, that is not a spark-ignition engine

. Configuration means a subclassification within a test group which is based on engine code, transmission type and gear ratios, final drive ratio, and other param eters which the EPA designates. Credits (or fuel consumption credits) in this part means an earned allowance recognizing the fuel consumption of a particular manufacturer’s vehic les or engines within a particular averaging set exceeds (credit surplus or positive cr edits) or falls below (credit shortfall , deficit or negative credits) that manufacturer’s fuel consumption standard(s) for the regulatory subcategory(s) that make-up the averagi ng set for a given model year, or purchased allowance. The value of a an earned credit is calculated according to § 535.7. Curb weight

has the meaning given in 40 CFR 86.1803-01. 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 d ate assembly of the vehicle is completed. (2) EPA and NHTSA may approve an alternate date of manufacture based on t he date on which the certifying (or primary) vehicle manufacturer comple tes 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 truck tractor cab that is not a “sleeper cab”, as defined in this section. Dedicated truck vehicle has the same meaning as dedicated automobile as defined in 49 U.S.C. 32901(a)(8). A dedicated automobile means an automobile that operates only on alternative fuels like E85 or natural gas, etc. Dual fueled (multi-fuel or flexible-fuel truck vehicle) has the same meaning as dual fueled automobile as defined in 49 U.S.C. 32901(a)(9). For example, a vehicle that operates on gasoline and E85 or a plug-in hybrid electric vehicle is conside red a dual fueled vehicle. 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. Engine family has the meaning given in 40 CFR 1036.230. Family certification level (FCL) means the family certification limit for an engine family as defined in 40 CFR 1036.801. Family emission limit (FEL) means the family emission limit for a vehicle family as defined in 40 CFR 1037.801. 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. Fuel cell means an electrochemical cell that produces electricity via the noncombustion reaction of a consumable fuel, typically hydrogen. Final-stage manufacturer has the meaning given in 49 CFR part 523 567.3

. Fleet in this part means all the heavy-duty trucks vehicles or engines within each of the regulatory sub-categories that are manufactured by a manufact urer 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 produc tion weighted fuel consumption values of the unique vehicle configurations within each vehicl e 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 manufact urer’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 weight ed fuel consumption standards of each unique vehicle configuration, based on pay load, 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 par t, the fleet average fuel consumption standard is determined for each manufacturer’s fleet of heavy-duty pickup trucks and vans. Fuel efficiency means the amount of work performed for each gallon of fuel consumed. 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. Gross combination weight rating (GCWR) has the meaning given in 49 CFR part 523. Gross vehicle weight rating (GVWR) has the meaning given in 49 CFR part 523. Hearing Officer means a NHTSA employee who has been delegated the authority to assess civil penalties by the Administrator. Heavy-duty truck vehicle has the meaning given in 49 CFR part 523. Hybrid engine or hybrid powertrain means an engine or powertrain that includes energy storage features other than a conventional battery system o r conventional flywheel. Supplemental electrical batteries and hydraulic accumul ators are examples of hybrid energy storage systems Note that certain provisions in this par t treat hybrid engines and powertrains intended for vehicles that include regenerat ive 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 t o an internal combustion engine or other engine using consumable chemical fuel. Supplementalelectrical batteries and hydraulic accumulators are examples of h ybrid energy storage

systems Note that certain provisions in this part treat hybrid vehicle s that include regenerative braking different than those that do not include regenerative braking. Innovative technology means technology certified under 40 CFR part 1037.610. Incomplete vehicle has the meaning given in 49 CFR 567.3 523. 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 engin e and sells the unassembled chassis components, provided it does not produce and sell the body components necessary to complete the vehicle

. 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. Model type has the meaning given in 40 CFR 600.002. Model year

as it applies to engines means the manufacturer’s annual new model production period, except as restricted under this definition. It must inc lude January 1 of the calendar year for which the model year is named, may not begi n before January 2 of the previous calendar year, and it must end by December 31 of the named calenda r year. Manufacturers may not adjust model years to circumvent or delay co mpliance with standards. Model year

as it applies to vehicles means the manufacturer’s annual new mode l production period, except as restricted under this definition and 40 CFR part 85, subpar t 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. (1) The manufacturer who holds the certificate of conformity for the vehicle must assign the model year based on the date when its manufacturing operation s are completed relative to its annual model year period. (2) 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 i ntroduction of the vehicle into U.S. commerce. The certifying manufacturer must redesi gnate the model year if it does not complete its manufacturing operations within the or iginally identified model year. A vehicle introduced into U.S. commerce without a model yea r is deemed to have a model year equal to the calendar year of its introduction into U.S. c ommerce unless the certifying manufacturer assigns a later date. Natural gas has the meaning given in 40 CFR 1036.801. Vehicles that use a pilotignited natural gas engine (which uses a small diesel fuel ignition syst em), are still considered natural gas vehicles. NHTSA Enforcement

means the NHTSA Associate Administrator for Enforcement, or his or her designee. Notice of violation means a notification of violation and preliminary ass essment of penalty issued by the Chief Counsel to a party. 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 1036.801. 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 propulsi on from an offvehicle electric source, such that the off-vehicle source cannot be connect ed 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 vehi cle propulsion or normal vehicle accessories such as air conditioning, power steering, and basic e lectrical accessories. A typical PTO uses a secondary shaft on the engine to t ransmit power to a hydraulic pump that powers auxiliary equipment such as a boom on a bucket tru ck. Reg ulatory category means each of the three types of heavy

- duty trucks defined in 49 CFR 523.6 and the heavy

- duty engines defined in § 535.3. Primary intended service class has the meaning for engines as specified in 40 CFR part 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 a electric hybrid vehicle. Regulatory category means each of the three 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 fuel consumption requirements apply, and are defined as follows: (1) Heavy-duty pick-up trucks and vans (2) Vocational light-heavy vehicles at or below 19,500 pounds GVWR. (3) Vocational medium-heavy vehicles above 19,500 pounds GVWR but at or below 33,000 pounds GVWR. (4) Vocational heavy-heavy vehicles above 33,000 pounds GVWR. (5) Low roof day cab tractors with a GVWR above 26,000 pounds GVWR but at or below 33,000 pounds GVWR

. (6) Mid roof day cab tractors with a GVWR above 26,000 pounds GVWR but at or below 33,000 pounds GVWR

. (7) High roof day cab tractors with a GVWR above 26,000 pounds GVWR but at or below 33,000 pounds GVWR

. (8) Low roof day cab tractors above 33,000 pounds GVWR. (9) Mid roof day cab tractors above 33,000 pounds GVWR. (10) High roof day cab tractors above 33,000 pounds GVWR. (11) Low roof sleeper cab tractors above 33,000 pounds GVWR. (12) Mid roof sleeper cab tractors above 33,000 pounds GVWR. (13) High roof sleeper cab tractors above 33,000 pounds GVWR. (14) Compression-ignition light heavy-duty diesel engines in Class 2b to 5 trucks vehicles with a GVWR above 8,500 pounds but at or below 19,500 pounds. (15) Compression-ignition medium heavy-duty diesel engines in Class 6 and 7 vocational trucks vehicles with a GVWR above 19,500 but at or below 33,000 pounds.(16) Compression-ignition heavy heavy-duty diesel engines in Class 8 vocational

trucks vehicles with a GVWR above 33,000 pounds. (17) Compression-ignition medium heavy-duty diesel engines in Class 7 tractors with a GVWR above 26,000 pounds but at or below 33,000 pounds. (18) Compression-ignition heavy heavy-duty diesel engines in Class 8 tractors with a GVWR above 33,000 pounds. (19) Spark ignition engines in Class 2b to 8 trucks vehicles with a GVWR above 8,500 pounds. Roof height

means the maximum height of a vehicle (rounded to the nearest inch), excluding narrow accessories such as exhaust pipes and antennas, but includi ng any wide accessories such as roof fairings. Measure roof height of the vehicle co nfigured to have its maximum height that will occur during actual use, with properly inf lated 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 t he largest and smallest static loaded radius of tires a manufacturer offers or a standard tir e 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 A ) Low

- roof means relating to a vehicle with a roof height of 120 inches or less (2 (B ) Mid

- roof means relating to a vehicle with a roof height of between 121 to and 147 inches. ( 3 C ) High

- roof means relating to a vehicle with a roof height of 148 inches or more. Service class group means a group of engine and vehicle averaging sets defined as follows: (A) Spark-ignition engines, light heavy-duty compression-ignition engines , light heavy-duty vocational vehicles and heavy-duty pickup trucks and vans. (B) Medium heavy-duty compression-ignition engines and medium heavy-duty vocational vehicles and tractors. (C) Heavy heavy-duty compression-ignition engines and heavy heavy-duty v ocational 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 access ible from the driver’s compartment and those accessible from outside the vehi cle. Spark-ignition engines means relating to a gasoline-fueled engine or any other type of engine with a spark plug (or other sparking device) and with operating characte ristics significantly similar to the theoretical Otto combustion cycle . Spark-ignition engines usually use a throttle to regulate intake air flow to control powe r during normal operation. Subconfiguration means a unique combination within a vehicle configuration of equivalent test weight, road-load horsepower, and any other operational c haracteristics or parameters that EPA determines may significantly affect CO2 em issions within a vehicle configuration. Test group means the multiple vehicle lines and model types that share cr itical emissions and fuel consumption related features and that are certifi ed as a group by a common certificate of conformity issued by EPA and is used collectivel y with other test groups within an averaging set (a or regulatory subcategory ) and is used by NHTSA for determining the fleet average fuel consumption.Tire rolling resistance level (TRRL) means a value with units of kg/metric ton that

represents that rolling resistance of a tire configuration. TRRLs ar e used as inputs to the GEM model under 40 CFR part 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 vehi cle weight rating from the gross combined weight rating. Trade means to exchange fuel consumption credits, either as a buyer or a seller. Truck tractor has the meaning given in 49 CFR 571.3. This includes most heavyduty vehicles specifically designed for the primary purpose of pulling trail ers, but does not include vehicles designed to carry other loads. For purposes of this defini tion “other loads” would not include loads carried in the cab, sleeper compartment , or toolboxes. Examples of vehicles that are similar to tractors but that ar e not tractors under this part include dromedary tractors, automobile haulers, straight trucks with t railers hitches, and tow trucks. 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 m anufacturer has a reasonable assurance that sale was or will be made to ultimate purc hasers in the United States. Useful life has the meaning given in 40 CFR 1037.801. Vehicle configuration has the meaning given in 40 CFR 600.002 means a unique combination of vehicle hardware and calibration (related to measure d 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 mode led emissions or fuel consumption can be included in the same vehicle configuration. Note t hat vehicles with hardware or software differences related to meas ured 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 diffe r only with respect to normal production variability or factors unrelated to measur ed or modeled emissions and fuel consumption for EPA and NHTSA

. Vehicle family has the meaning given in 40 CFR part 1037.230. Violation means a failure to comply with an applicab le fuel consumption standard for a regulatory subcategory of vehicles or engines, after all flexibilities available under § 535.7 are taken into account. Vehicle service class has the meaning for vehicles as specified in the 40 CFR part 1037.801. Vocational tractor has the meaning given in 40 CFR part 1037.630. Zero emissions vehicle means an electric vehicle or a fuel cell vehicle.

§ 535.5 Standards.

(a) Heavy-duty pickup trucks and vans

. Each manufacturer of a fleet of heavy-duty pickup trucks and vans shall comply with the fuel consumption standards in t his paragraph (a) expressed in gallons per 100 miles. If the manufacturer’s fleet includes conventional vehicles (gasoline, diesel and alternative fueled ve hicles) and advanced technology vehicles (hybrids with regenerative braking, vehicles equippe d with Rankinecycle engines, electric and fuel cell vehicles), it should divide it s fleet into two separate fleets each with its own separate fleet average fuel consumption sta ndard which a manufacturer must comply with the requirements of this paragraph (a ).(1) For model years 2016 and later. Each manufacturer must comply with the fleet

average standard derived from the unique vehicle confi guration (payload, towing capacity and drive configuration) subconfiguration target standards (or groups of subconfigurations approved by EPA in accordance with 40 CFR part 1037.104) of the model types that make up the manufacturer’s fleet in a given model year. Each vehicle configuration 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. (2) Vehicle configuration Subconfiguration target standards. (i) Two alternatives exist for determining the vehicle configuration subconfiguration target standards for model years 2016 and later. For each alternative, separate s tandards exist for compression-ignition and spark-ignition vehicles: (A) The first alternative allows manufacturers to determin e a fixed fuel consumption standard that is constant over the model years; and (B) The second alternative allows manufacturers to determine sta ndards that are phased-in gradually each year. (ii) Calculate the vehicle configuration subconfiguration target standards as specified in this paragraph (a)(2)(ii), using the appropriate coeff icients from Table 1 of

this section to choose choosing between the alternatives in paragraphs (a)(2)(i)(A) and (B) of this section. For electric or fuel cell heavy-duty trucks vehicles , use compression-ignition vehicle coefficients “c and d” and for hybrid (includ ing plug-in hybrid), dedicated and dual-fueled trucks vehicles , use coefficients “c and d” appropriate for the engine type used. Round each standard to the nearest 0. 1 01 gallons per 100 miles and specify all weights in pounds rounded to the nearest pound. Calculate the vehicle configuration subconfiguration target standards using the following equation:

Vehicle Configuration 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 1– Equation Coefficients for Vehicle Configuration Subconfiguration Target Standards

Alternative 1

– Fixed Target Standards

Compression-ignition Vehicle Coefficients for Model Years 2016 and later

Model Year c d
2016

- – 2018 0.000432 3.33

2019 and later 0.000409 3.14

Spark-ignition Vehicle Coefficients for Model Years 2016 and later
2016 -- 2018 0.000513 3.96
2019 and later 0.000495 3.81Alternative 2 – Phased-in Target Standards

Compression

- ignition Vehicle Coefficients for Model Years 2016 and later Model Year c d 2016 0.000452 3.48
2017 0.000437 3.37 2018 and later 0.000409 3.14

Spark-ignition Vehicle Coefficients for Model Years 2016 and later
2016 0.000528 4.07 2017 0.000518 3.98 2018 and later 0.000495 3.18

(3) Fleet average fuel consumption standard . (i) Calculate each manufacturer’s fleet average fuel consumption standard from for conventional and advanced technology fleets separately based on the vehicle configuration 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 m anufacturer’s U.S. directed fleet (compression-ignition and

, spark-ignition and advanced technology vehicles) for a given model year, rounded to the nearest 0. 1 01 gallons per 100 miles:



## [ ]

[ ] 

# ∑ ∑ ×

=

i i i Volume Volume Standard Target ration Subconfigu Standard Average Fleet

Where: Vehicle Configuration Subconfiguration Target Standard i = fuel consumption standard for each group of vehicles with same payload, towing capacity and drive confi guration

. (gallons per 100 miles). Volume i = production volume of each unique vehicle configuration 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 valu e 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. (C) The fleet average shall also be derived in accordance with 40 CFR 86.1865-12 and 40 CFR part 1037.104(d). ( ii) A manufacturer complies with the requirements of this part , if at the end of the model year, if

it provides reports, as specified in § 535.8, to the Administrator by the required deadlines and meets one of the following conditions: (A) The manufacturer’s fleet average performance, as determined i n § 535.6, is less than the fleet average standard; or (B) The manufacturer uses one or more of the credit flexibilities provide d under NHTSA’s Averaging, Banking and Trading Program, as specified in § 535.7, to comply with standards ; and

. (iii) Manufacturers must select an alternative for vehicle configuration subconfiguration target standards at the same time they submit the model year 2016 Pre-Model year Report, specified in § 535.8. Once selected, the deci sioncannot be reversed and the manufacturer must continue to comply with the same

alternative for subsequent model years. (iv) A manufacturer failing to comply with the provisions specified in p aragraph (a)(3)(ii) of this section is liable to pay civil penalties in acc ordance with § 535.9. (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) in 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 co mply with fuel consumption standards at the same time it submits a Pre-Model Repo rt, 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 s ubsequent model year

. for all the vehicles and engines it manufactures in each regulatory c ategory for a given model year. (iii) Calculate separate vehicle configuration subconfiguration target standards for compression-ignition and spark-ignition vehicles for model years 2013 thro ugh 2015 using the equation in paragraph (a)(2)(ii) in this section, substituting the a ppropriate values for the coefficients in Table 2 of this section as appropriate

.
Table 2 – Voluntary Compliance Equation Coefficient s for Vehicle Fuel Consumption Standards

Compression-ignition Vehicle Coefficients for Voluntary Compliance in Model Years 2013 throug h 2015
Model Year c d 2013 and 14 0.000470 3.61 2015 0.000466 3.60

Spark-ignition Vehicle Coefficients for Voluntary Compliance in Model Years 2013 throug h 2015
Model Year c d 2013 and 14 0.000542 4.17 2015 0.000539 4.15

(iv) Calculate the fleet average fuel consumption standards for m odel years 2013 through 2015 using the equation in paragraph (a)(3) of this section. (5) Cab

- Exclusion of vehicles not certified as complete vehicles . The provisions of this section apply to applicable cab

- complete vehicles in the sa me manner as they apply to complete vehicles. Calculate the unique vehicle configuration target standards based on the same values that would § 535.5(a) do not apply for the most similar complete vehicle to the cab

- complete vehicle. (6) Low volume exclusion. A manufactu rer may exclude a limited number of vehicles from the standards of this section. The number of excluded veh icles may not exceed 2000 in any model year, unless the total production of vehicles in this category for that model year is greater than 100,000 an d the excluded vehicles vehicles that are not more than 2.00 percent of the manufacturer’s total production of vehicles in this subcategory for any model year. For example, a vehicle manufacturer produc ing 200,000 vehicles in a given model year could exclude up to 4,00 0 vehicles under this paragraph(a)(6). The chassis-certified with respect to EPA’s criteria pollutant te st procedure in 40

CFR part 86, subpart S. Any chassis-certified vehicles must comply with the vehicle standards and requirements of paragraph § 535.5 (b) of this section apply for and the excluded vehicles. The engine standards in paragraph of § 535.5 (d) of this section also apply for engines used in these excluded vehicles. Manuf acturers must submit information in their Pre

- Certification Compliance Report, as specified in § 535.8, describing how they intend to use the provisions of this paragraph (a)(6). If th e chassis manufacturer vehicles. A vehicle manufacturer choosing to comply with this paragraph and that is not the engine manufacturer , the chassis manu facturer must is required to notify the engine manufacturer, as required by EPA in 40 CFR 1037.104, manufacturers that their engines are subject to the requirements of paragraph 535.5 (d) of this section and are intended for that it intends to use their engines in excluded vehicles. (6) Optional certification under this section . Manufacturers may certify any complete or cab-complete Class 2b through 5 vehicles weighing at or below 19,500 pounds GVWR and any incomplete vehicles approved by EPA for inclusion under this paragr aph to the same testing and standard that applies to a comparable complete sis ter vehicles as determined in accordance in 40 CFR part 1037.150(l). Calculate the target s tandard value under paragraph (a)(2) of this section based on the same work factor value that applies for the complete sister vehicle. (7) Loose engines . This paragraph applies for spark-ignition engines identical to engines used in vehicles certified to the standards of this secti on § 535.5(a), where manufacturers sell such engines as loose engines or installed in incomple te vehicles that are not cab-complete vehicles in accordance with 40 CFR part 1037.150(m) . A manufacturer’s engines are deemed to have fuel consumption target valu es and test results based upon the complete vehicle in the applicable test group with t he highest equivalent test weight in accordance with 40 CFR part 1037.150(m). The fuel consumption subconfiguration standard for a loose engines equals the test group r esult of the complete vehicle as specified in 40 CFR 1037.150(m)(6) multiplied by 1.10 and rounded to the nearest 0.01 gallon per 100 miles. The U.S.-directed production volume of engines manufactured for sale as loose engines or installed in incompl ete heavy-duty vehicles that are not cab-complete vehicles in any given model year may not exceed ten percent of the total U.S-directed production volume of engines of that d esign that the manufacturer produces for heavy-duty applications for that model year, i ncluding engines the manufacturer produces for complete vehicles, cab-complete vehicles, and other incomplete vehicles. The total number of engines a manufacturer m ay certify under this paragraph (7), of all engine designs, may not exceed 15,000 in any model year as specified in 40 CFR part 1037.150(m). Engines produced in excess of the number cannot be certified to the standard in this paragraph (7). (b) Heavy-duty vocational trucks vehicles

. Each chassis manufacturer of heavy-duty vocational trucks vehicles shall comply with the fuel consumption standards in this paragraph (b) expressed in gallons per 1000 ton-miles. Manufacturers of engines used in heavy-duty vocational vehicles shall comply with the standards in p aragraph (d) of this section. (1) For model years 2016 and later . Each chassis manufacturer of heavy-duty vocational truck s vehicles must comply with the fuel consumption standards in paragraph (b)(3) of this section.(i) The heavy-duty vocational truck vehicle chassis category is subdivided by GVWR

into three regulatory subcategories as defined in § 535.4 , each with its own assigned standard. (ii) For purposes of certifying vehicles to fuel consumption standar ds, manufacturers must divide their product lines into vehicle families that have simi lar emissions and fuel consumption features, as specified by EPA in 40 CFR part 1037, subpart C, and these families will be subject to the applicable standards. Each vehicl e family is limited to a single model year. (iii) Standards for heavy

- duty vocational truck engines are given in paragraph (d) of this section.

(iv) A manufacturer complies with the requirements of this part, if at the end
of the model year, it provides reports, information as specified in § 535.8, to the

Administrator by the required deadlines and meets one of the following conditions: (A) The manufacturer’s fuel consumption performance for each vehic le family, as determined in § 535.6, is lower than the applicable standard; or (B) The manufacturer uses one or more of the credit flexibilities provid ed under NHTSA’s Averaging, Banking and Trading Program, specified in § 535.7, to comply with standards ; and

. (v (iv ) A manufacturer failing to comply with the provisions specified in par agraph (b)(1)( iv iii ) of this section is liable to pay civil penalties in accordance wi th § 535.9. (2) Voluntary compliance

. (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 each regulatory subcategory.

. For example, a manufacturer may choose to comply early in order to be gin accumulating credits through over-compliance with the applicable standard. 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 c omply with fuel consumption standards and identify its plans to comply before it submits the 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 heavyduty vocational trucks vehicles are given in the following table:

Table 3 – Heavy-Duty Vocational Truck Vehicle Fuel Consumption StandardsFuel Consumption Mandatory Standards (gallons per 1000 ton-miles) Effective for Model Years 2017 and later
Effective for Model Years 2017 and later
Regulatory Subcategories Light Heavy Vehicles Class 2b – 5 Medium Heavy

Vehicles Class 6 - 7 Heavy Heavy Vehicles Class 8

Fuel Consumption Standard 36. 4 7 22.1 21.8

Effective for Model Years 2016
Fuel Consumption Standard 38.1 23.0 22.2

Fuel Consumption Voluntary Standards (gallons per 1000 ton-miles)

Effective for Model Years 2013 to 201 6 5 Regulatory Subcategories Light Heavy Vehicles Class 2b – 5 Medium Heavy

Vehicles Class 6 - 7 Heavy Heavy Vehicles Class 8 Fuel Consumption Standard 37.8 38.1 22.9 23.0 22.2

(4) A manufacturer may optionally certify a vocational vehicle t o the standards and useful life applicable to a higher vehicle service class (or regulator y subcategory changes such as complying with the heavy heavy-duty standard instead of medium h eavy-duty standard), provided the manufacturer does not generate credits with the vehicle. If a manufacturer includes smaller vehicles in a credit-generating subfamily (with an FEL below the standard), exclude their production volume from the credit cal culation. (5) Heavy-duty vocational vehicles including vocational tractors meeting the off-road criteria in 49 CFR part 523.2 are exempted from the requirements in paragr aph (b) of this section but the engines in these vehicles must meet the requireme nts of paragraph (d) of this section. (c) Truck tractors

. Each manufacturer of truck tractors, except vocational tractors, 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. (1) For model years 2016 and later . Each manufacturer of truck tractors must comply with the fuel consumption standards in paragraph (c)(3) of thi s section. (i) The truck tractor category is subdivided by roof height and cab design into nine regulatory subcategories as shown in Table 4 of this section, each with it s own assigned standard. (ii) For purposes of certifying vehicles to fuel consumption standar ds, manufacturers must divide their product lines into vehicles families that have sim ilar emissions and fuel consumption features, as specified by EPA in 40 CFR part 1037, subpart C, and these families will be subject to the applicable standards. Each vehicl e family is limited to a single model year. (iii) Standards for truck tractor engines are given in paragraph (d) o f this section. (iv) A manufacturer complies with the requirements of this part, if at the end of the model year, it provides reports, as specified in § 535.8, to the Administrator by the required deadlines and meets one of the following conditions: (A) The manufacturer’s fuel consumption performance for each vehi cle family, as determined in § 535.6, is lower than the applicable standard; or Formatted Table

Formatted Table

Formatted Table(B) The manufacturer uses one or more of the credit flexibilities provid ed under

NHTSA’s Averaging, Banking and Trading Program, specified in § 535.7, to comply with standards ; and

. (v) A manufacturer failing to comply with the provisions specified in par agraph (c)(1)(iv) of this section is liable to pay civil penalties in acc ordance with § 535.9. (2) Voluntary compliance . (i) For model years 2013 through 2015, a manufacturer may choose voluntarily to comply early with the fuel consumption standar ds provided in paragraph (c)(3) of this section , for each regulatory subcategory.

. For example, a manufacturer may choose to comply early in order to begin accumulat ing credits through over-compliance with the applicable standard. standards. A manufacturer choosing early compliance must comply with all the vehicles and engines it manufa cturers in each regulatory category for a given model year. (ii) A manufacturer must declare its intent to voluntarily c omply with fuel consumption standards and identify its plans to comply before it submits the 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 mus t 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 follow ing table:

Table 4

– Truck Tractor Fuel Consumption Standards Fuel Consumption Mandatory Standards (gallons per 1000 ton-miles)

Effective for Model Years 2017 and later Regulatory Subcategories Day Cab Sleeper Cab

Class 7 Class 8 Class 8
Low Roof 10. 3 2 7.8 6.5

Mid Roof 11.3 8.4 7.2 High Roof 11. 6 8 8. 6 7 7. 0 1
Effective for Model Years 2016 Low Roof 10.5 8.0 6.7 Mid Roof 11.7 8.7 7.4 High Roof 12.2 9.0 7.3

Fuel Consumption Voluntary Standards (gallons per 1000 ton-miles)

Effective for Model Years 2013 to 201 6 5 Regulatory Subcategories Day Cab Sleeper Cab

Class 7 Class 8 Class 8
Low Roof 10.5 8.0 6. 6 7
Mid Roof 11. 6 7 8.7 7.4 High Roof 12. 0 2 8. 9 .0 7. 2 3

(4) A manufacturer may optionally certify a tractor to the standards a nd useful life applicable to a higher vehicle service class (or regulatory subcategor y changes such as complying with the Class 8 day-cab tractor standard instead of Class 7 day -cab tractor), provided the manufacturer does not generate credits with the vehicl e. If a manufacturer includes smaller vehicles in a credit-generating subfamily (with an FEL below the standard), exclude their production volume from the credit calculati on. Formatted Table(5) Tractors meeting the definition of vocational tractors in 49 CFR part 523.2 must

comply with requirements for heavy-duty vocational vehicles specifi ed in paragraphs (b) and (d) of this section. Class 7 and Class 8 tractors certified or exempte d as vocational tractors are limited in production to no more than 21,000 vehicles in any t hree consecutive model years. If a manufacturer is determined as not a pplying this allowance in good faith by the EPA in its applications for certification in accorda nce with 40 CFR part 1037.205 and 40 CFR part 1037.610, a manufacturer must comply with the tractor fuel consumption standards in paragraph (3) of this section. (d) Heavy-duty engines . Each manufacturer of heavy-duty engines shall comply with the fuel consumption standards in this paragraph (d) expressed in gallons per 100 bra kehorsepower-hours . Each engine must be certified to the primary intended service class that it is designed for in accordance with 40 CFR part 1036.108 ; (1) For model years 2017 and later compression-ignition engines and for model years 2016 and later spark-ignition engines . Each manufacturer must comply with the fuel consumption standard in paragraph (d)(3) of this section. (i) The heavy-duty engine regulatory category is divided into six regu latory subcategories, five compression-ignition subcategories and one spark-igni tion subcategory, as shown in Table 5 of this section. (ii) Separate standards exist for engines manufactured for use in heavy -duty vocational trucks vehicles and in truck tractors. (iii) For purposes of certifying engines to fuel consumption standards, manuf acturers must divide their product lines into engine families that have simila r fuel consumption features, as specified by EPA in 40 CFR part 1036, subpart C, and these familie s will be subject to the same standards. Each engine family is limited to a single model year. (iv) A manufacturer complies with the requirements of this part, if at the end of the model year, it provides reports, as specified in § 535.8, to the Administrator by the required deadlines and meets one of the following conditions: (A) The manufacturer’s fuel consumption performance of each engine fa mily as determined in § 535.6 is less than the applicable standard; or (B) The manufacturer uses one or more of the flexibilities provided under N HTSA’s Averaging, Banking and Trading Program, specified in § 535.7, to comply with standards ; and

. (v) A manufacturer failing to comply with the provisions specified in pa ragraph (d)(1)(iv) of this section is liable to pay civil penalties in accor dance with § 535.9. (2) Voluntary compliance . (i) For model years 2013 through 2016 for compressionignition engines, and for model y ears 2013 through year 2015 for spark-ignition engines, a manufacturer may choose voluntarily to comply with the fuel consumptio n standards provided in paragraph (d)(3 ) ), (d)(4) and (5) of this section. For example, a manufacturer may choose to comply early in order to begin accumulat ing credits through over-compliance with an the applicable standard. standards. A manufacturer choosing early compliance must comply with all the vehicles and e ngines 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 part 1036.150(a)(2). (ii) A manufacturer must declare its intent to voluntarily co mply with fuel consumption standards and identify its plans to comply before it submits the its firstapplication 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 heavyduty engines are given in the following:

Table 5 – Primary Heavy-Duty Engine Standards

(4) Alternate Fuel Consumption subcategory standards based on model year 2011

. The alternative fuel consumption standards for heavy-duty compression-ignition engines

. are as follows: (i) Manufacturers entering the voluntary program in model years 2014 through 2016,
may choose to certify compression-ignition engines engine families unable to meet standards provided in paragraph (3) of this part to the alternative fuel consumption standards of this section instead of the fuel consumption 2 standards in 3d. However,

. (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. Manufacturers may submit applications for certif ications before using up banked credits in the averaging set, but such certificates will not become effective until they have used up (or retired) banked credits in the averaging set. For purposes of this section, manufacturers are deemed to carry credits in an averaging set if the y carry credits from advance technology that are allowed to be used in that averaging set

. in accordance with

Fuel Consumption Mandatory Standards (gallons per100 bhp-hr)

Regulatory Subcategory Light Heavy-Duty

CompressionIgnition Engine Medium Heavy-Duty

Compression-Ignition Engine Heavy Heavy-Duty Compression-Ignition Engine Spark-ignition Engines

Truck Application Vocational Vocational Tractor Vocational Tractor All

Effective Model Years 2017 and later 2016 and later

Fuel Consumption Standard 5.66 5.66 4.78 5.45 4.52 7.06

Fuel Consumption Standards for Voluntary Compliance (gallons per100 bhp-hr)

Regulatory Subcategory Light Heavy-Duty

Diesel Compressi on-Ignition Engine Medium Heavy-Duty

Diesel CompressionIgnition Engine Heavy Heavy-Duty

Diesel CompressionIgnition Engine Spark-ignition Engine

Truck Application Vocational Vocational Tractor Vocational Tractor All

Effective Model Years 2013 through 2016 2013 through
2015 Voluntary Fuel Consumption Standard 5.89 5.89 4.93 5.57 4.67 7.06 Formatted Table

Formatted Table§ 535.7(d)(12). (iii) The emission standards of this section are determined as specified in EPA 40 CFR subpart G part

1036.620 , sections (a) through ( e). c) and should be converted to equivalent fuel consumption values. (5) Alternate Phase

- In Standards

. Manufacturers may choose to select have the Alternate Phase In Standards described in this section. Where a m anufacturer certifies all its model year 2013 option to comply with EPA emissions standards for compression-ignition engines within a given service class to the applicable alternate standards of this paragraph (insert number), its engines within using an alternative phase-in schedule that service class are subject to correlates with the EPA 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. The fuel consumption standard for each model year of the alte rnative phase-in schedule is provided in Table 6 of this paragraph for model years 2013 through 2016. section. Note that engines certified to these standards are not eligible fo r early credits under paragraph ( insert number) of this section § 535.7

.

Table 6 – Alternative Phase-in Compression Ignition Engine Standards
Tractors LHD Engines MHD Engines HHD Engines

Model Years2013-2015 NA 5.03gals/100 hp- r hr 4.76 gals./100 hp-hr

Model Years 2016 and
later † NA 4.78 gals./100 hp-hr 4.52 gals/100 hp-hr

Vocational LHD Engines MHD Engines HHD Engines

Model Years 2013-2015 6.07gals/100hp-hr 6.07 gals/100 hp-hr 5.67 gals/100 hp-hr Model Years 2016 and
later † 5.66 gals/100 hp-hr 5.66 gals/100 hp-hr 5.45 gals/100 hp-hr

† Note: these alternate standards for 2016 and later are the same as the other wise applicable standards for 2017 and later.

§ 535.6 Measurement and calculation procedures.

(a) Manufacturers must calculate Heavy-duty pickup trucks and vans. This section describes the testing a manufacturer must perform for each model year and the method for determining the fleet average fuel consumption of heavy

- duty pickup trucks and vans that are manufactured in a model year and compare the value to performance to show compliance with the fleet average fuel consumption standard , determined in § for heavyduty pickup trucks and vans in § 535.5 , as follows: (a). (1) Ma nufacturers must calculate the fleet average CO2 performance f or production weighted test results for the test groups that make up the manufactur er’s fleet of heavy

duty pickup trucks and vans as specified in § 1037.104 For each model year, the heavyduty pickup trucks and vans selected by a manufacturer to comply with fue l consumption standards in § 535.5(a) must be used to determine the manufacturer’s fleet average fuel consumption performance. If the manufacturer’s fleet includes conventional and Formatted Table

Formatted Tableadvanced technology heavy-duty pickup trucks and vans, the fleet should be sub-di vided

into two separate vehicle fleets, with all of the conventional vehicles in one fleet and all of the advanced technology vehicles in the other fleet

. (i) (2) Vehicles in each fleet should be divided into test groups are selected or subconfigurations according to EPA in 40 CFR part 1037.104 and 40 CFR part 86, subpart S. (ii) Determine (3) Test and measure the CO 2 performance emissions test results for each the selected vehicles and determine the CO 2 emissions test group result , in grams per mile , according to EPA in accordance with 40 CFR Part 86 and § 1037.104. , subpart S. (2) Manufacturers must calculate an (i) Perform exhaust testing on vehicles fueled by conventional and alternative fuels, including dedicated and dual fueled (mul ti-fueled and flexible fueled) vehicles and measure the CO 2 emissions test result. (ii) Adjust the CO 2 emissions test result of dual fueled vehicles using a weighted average of your emission results as specified in 40 CFR 600.510–12(k) for lig ht-duty trucks. (iii) All electric vehicles are deemed to have zero emissions of CO 2 , CH4, and N 2 O. No emission testing is required for such electric vehicles. Assig n the fuel consumption test group result to a value of zero gallons per 100 miles in paragraph (4) of this section. (iv) Test cab-complete and incomplete vehicles using the applic able complete sister vehicles as determined in 40 CFR part 1037.104(g). (v) Test loose engines using applicable complete vehicles as determin ed in 40 CFR part 1037.104(h). (vi) Manufacturers can choose to analytically derive CO 2 emission rates (ADCs) for test groups or subconfigurations. Calculate the ADCs for test groups or subconfigurations in accordance with 40 CFR part 1037.104(g). (4) Calculate equivalent fleet average fuel consumption value test group results , in gallons per 100 miles, from the average CO2 performance of the fleet CO 2 emissions test group results , in grams per miles, using the following equations below. and round to the nearest 0.01 gallon per 100 miles. (i) Diesel Fuel. Fleet Average CO2 Performance Value (grams per miles (i) Calculate the equivalent fuel consumption test group results as follows for compression-igni tion vehicles and alternative fuel compression-ignition vehicles. CO 2 emissions test group result (grams per mile ) / 10,180 grams per gallon of diesel fuel) x (10 2 ) = Fleet Average = Fuel consumption Value of

test group result (gallons per 100 mile). (ii) Calculate the Fleet equivalent fuel consumption test group results as follows for spark

ignition vehicles and alternative fuel spark-ignition vehicles. CO 2 emissions test group result (grams per 100 miles per gallon) (ii) Gasoline Fuel. Fleet Average CO2 Performance Value (grams per miles mile ) / 8,877 grams per gallon of gasoline fuel) x (10 2 ) = Fleet Average = Fuel consumption Value of th e Fleet (grams test group result (gallons per 100 miles per gallon) mile). ( iii) Alternative Fuels. Fleet Average CO2 Performance Value (grams per miles) / equivale ncy factor in grams per gallon of gasoline fuel) x (102) = Fleet Average Fuel Consumption Value of 5)Calculate the fleet (grams average fuel consumption result, in gallons per 100 miles per

gallon) Where , from

the equivalency factors for each alternative fuel is as follows: Fuel Type Grams of CO2 per gallon of alternative fuel NA natural gas 340 Liquefied natural gas 290 Electricity 0 Biodiesel (soybean) 300 Ethanol (corn or corn stover) 380 (2) The manufacturer must submit equivalent fuel consumption values for each test group results and its fleet to NHTSA and EPA in accordance with § 535.8. After each model year ends, EPA will verify round the manufacturer’s fuel economy levels for each tes t group and the fleet using testing and verify the equivalency of fuel consumpti on values. EPA will prepare a final report with all the verified values and subm it the report to the NHTSA within three months of receiving the manufacturer’s end

- of

- the

- year and final year reports as specified in § 535.8. (3) NHTSA will use the verified values provided by EPA in determining comp liance with fuel consumption standards in § 535.5 and for verifying end of year result to the nearest 0.01 gallon per 100 miles. Calculate the fleet average fuel consumption credits under its ABT program specifi ed in § 535.7. result using the following equation. (b) The manufacturer must calculate the 

## [ ]

[ ] 

# ∑ ∑ ×

=

i i i Volume Volume

Result Group Test n Consumptio Fuel

n Consumptio Fuel Average Fleet

Where: Fuel Consumption Test Group Result i = fuel consumption value performance for each vehicle family that makes up its test group as defined in § 523.4. Volume i = production volume of each test group. (6) Compare the fleet of heavy

- duty vocational trucks in each regulatory subcategory and compare the results to the applicable average fuel consumption standard , determined in § 535.5, as follows: (1) Manufacturers must determine the family emission limit (FE L) for each vocational truck vehicle family in accordance with 40 CFR part 1037, subpart F. (i) Determine the vehicle families in accordance with 40 CFR 1037.230. (ii) Use the attribute values in the GEM Model to determine the to the fleet average fuel consumption values, in gallons per 1000 ton

- miles, for each vehicle type within the test groups and the FEL for each vehicle family as specified in 40 CFR 1037.241 and 40 CFR
pa rt 1037, subpart F. (iii) Round each performance. The fleet average fuel consumption value performance must be less than or equal to the nearest 0.1 gallons per 1000 ton

- miles. (2) The manufacturer must submit the vehicle type fuel consumption valu es and the FELs for vehicle families to NHTSA and EPA in accordance with § 535 .8. After each model year ends, EPA will verify the manufacturer’s CO2 family emissi on limits through modeling and verify the equivalent fuel consumption values. EPA will prepare a final report with all the verified values and submit the report to the NH TSA after receiving the manufacturer’s end

- of

- the

- year and final year reports as specified in § 535.8.(c) Manufacturers must calculate the fuel consumption value for e ach vehicle family

that makes up the manufacturer’s fleet of truck tractors in each reg ulatory subcategory and compare the results to the applicable fuel consumption standard , determined to comply with standards in § 535.5 , as follows: (a). (1) Manufacturers must determine the family emission limit (FEL ) for the truck tractor vehicle family (b) Heavy-duty vocational vehicles and tractors. This section describes the testing a manufacturer must perform and the method for det ermining fuel consumption performance to show compliance with the fuel consumption s tandards for vocational vehicles and tractors in § 535.5(b) and (c). (1) Select vehicles and vehicle family configurations to test as spec ified in 40 CFR part 1037.230 for vehicles that make up each of the manufacture’s regulator y subcategories of vocational vehicles and tractors. (2) Determine the CO 2 emissions and fuel consumption results for all vehicle chassis (conventional, alternative fueled and advanced technology vehicles) using t he Greenhouse Emissions Model (GEM) in accordance with 40 CFR part 1037 subpart F

. Vocational vehicles and tractor chassis are modeled using the follow ing inputs in the GEM model. All seven of the following inputs apply for sleeper cab tract ors, while some do not apply for vocational vehicles and other tractor regulatory subca tegories: (i) Identification of vehicles using regulatory subcategories (such as “ Class 8 Combination – Sleeper Cab – High Roof”). (ii) Coefficient of aerodynamic drag in accordance with 40 CFR part 1037.520 and 40 CFR part 1037.521. Do not use for vocational vehicles. (iii) Steer tire rolling resistance for low rolling resistanc e tires in accordance with 40 CFR part 1037.520 and 40 CFR part 1037.650. (iv) Drive tire rolling resistance for low rolling resistance tir es in accordance with 40 CFR part 1037.520 and 40 CFR part 1037.650. (v) Vehicle speed limit as governed by vehicles speed limiters in accordance with 40 CFR part 1037 , subpart F .520 and 40 CFR part 1037.640. Do not use for vocational vehicles

. (i) Determine the vehicle families (vi) Vehicle weight reduction as provided in accordance with 40 CFR part 1037.520. Do not use for vocational vehicles. (vii) Extended idle reduction credit using automatic engine shutdown system s in accordance with 40 CFR part 1037. 230. (ii) Use the attribute values in the GEM Model to determine the fuel consumption values, in gallons per 1000 ton

- mile, for each vehicle type within the test groups 520 and the FEL 40 CFR part 1037.660. Do not use for each vehicle family as specified in 40 CFR 1037.241 and 40 CFR part 1037, subpart F. vehicles other than Class 8 sleeper cabs. (iii) Round each fuel consumption value to the nearest 0.1 gallons per 1000 ton

- miles. (2) The manufacturer must submit the vehicle type fuel consumptio n values and the FELs for vehicle families to NHTSA and EPA in accordance with § 535.8. After each model year ends, EPA will verify the manufacturer’s CO2 family emissi on limit through modeling and verify the equivalent fuel consumption values. EPA will p repare a final report with all the verified values and submit the report to the NHTS A after receiving the manufacturer’s end

- of

- the

- year and final year reports as specified in § 535.8. (d) The manufacturer must calculate the (3) From the GEM results, select the CO 2family emissions level (FEL) and equivalent fuel consumption values f or vocational vehicle and tractor families in each regulatory subcategories for ea ch model year. Equivalent fuel consumption FELs are derived in GEM and expressed to t he nearest 0.1 gallons per 1000 ton-mile. For families containing multiple subfamil ies, identify the FELs for each subfamily. (4) The above sections address vocational vehicle and tractor chassis te sting only. Engine performance and the advanced technologies equipped on vocational veh icles and tractors are tested separately as follows: (i) Vocational vehicle and tractor engine test results for convent ional and alternative fueled vehicles are determined in accordance with § 535.6(c). (ii) Improvements for advanced technologies are determined as f ollows: (A) Test hybrid vehicles with power take-off in accordance with 40 C FR part 1037.525 and vehicles with post-transmission hybrid systems in accordance with 4 0 CFR part 1037.550. (B) All electric vehicles are deemed to have zero CO 2 emissions and fuel consumption. No emission testing is required for such electric vehicle s. Assign the vehicle family with a fuel consumption FEL result to a value of zero g allons per 1000-ton miles in paragraph (3) of this section. (c) Heavy-duty engines . This section describes the testing a manufacturer must perform and the method for determining fuel consumption value for eac h engine family performance to show compliance with the fuel consumption standar ds for engines in § 535.5(d). Each engine must be tested to the primary intended service c lass that it is designed for in accordance with 40 CFR part 1036.108 (1) Select emission-data engines and engine family configurations t o test as specified in 40 CFR part 86 and 40 CFR part 1036 subpart C for engines installed in vehicles that make up each of the manufacture’s fleet of heavy

- duty trucks in each regulatory subcategory and compare

. (2) Test the results CO 2 emissions for each emissions-data engine subject to the applicable fuel consumption standard, determined in § 535.5, as follows: standards in § 535.5(d) using the procedures and equipment specified in 40 CFR part 1036 subpart F. Measure the CO 2 emissions in grams per bhp-hr as specified in 40 CFR part 86, subpart N and 40 CFR Part 1036 subpart C. ( 1) i) Perform exhaust testing on each fuel type for conventional, dedicated, dua l fuel (multi-fuel, and flexible fuel) vehicles and measure the CO 2 emissions level. (ii) Adjust the CO 2 emissions result of dual fueled vehicles using a weighted average of the demonstrated emission results as specified in 40 CFR part 1036.225. If EP A disapproves a manufacturer’s dual fuel vehicle demonstrated use sub mission, NHTSA will require the manufacturer must to only use the test results with 100 percent conventional fuel to determine the CO2 emission values fuel consumption of the engine. (iii) All electric vehicles are deemed to have zero emissions of CO 2 and zero fuel consumption. No emission or fuel consumption testing is required for such elec tric vehicles. (3) Determine the CO 2 emissions for the family certification level (FCL) from the emissions test results in paragraph (2) of each this section for engine famil y ies within the heavy-duty engine regulatory subcategories for each model year , in accordance with 40CFR part 1036, subpart C, and then calculate equi valent fuel consumption values for each

family certification level

. (i) Determine the CO2 family certification level in grams per bhp

- hr. (ii) Calculate equivalent fuel consumption values, in gallons per 100 bhp

- hr. (iii) Round each fuel consumption va lue to the nearest 0.1 gallon per 100 bhp

- hr. (2 (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 i nto two separate subfamilies

. in accordance with 40 CFR part 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 det ermine this for a fraction of its engines. ( 3 ii ) The following engines are excluded from the engine families used t o determined FCL values and the benefit for these engines is determined as an advanced technology credits under the ABT provisions provided in § 535.7(e): ( i A ) Engines certified as hybrid engines or power packs. ( ii B ) Engines certified as hybrid engines designed with PTO capability and that are sold with the engine coupled to a transmission. ( iii C ) Engines with Rankine cycle waste heat recovery. (4) Manufacturers must submit the engine type fuel consumption values and the FCLs for engine families to NHTSA and EPA in accordance with § 535.8. After each model year ends, EPA will verify the manufacturer’s CO2 family certification levels through modeling and verify the equivalent fuel consumption values. EPA will prepare a final report with all the verified values and submit the report to the NHTS A after receiving the

man ufacturer’s end

- of

- the

- year and final year reports as specified in § 535.8 Calculate equivalent fuel consumption values for emissions FCLs and the CO 2 levels for certified engines, in gallons per 100 bhp-hr and round each fuel consumption value to the near est 0.01 gallon per 100 bhp-hr

. (i) Calculate equivalent fuel consumption FCL values for compression-i gnition engines and alternative fuel compression-ignition engines. CO 2 FCL value (grams per bhp-hr) / 10,180 grams per gallon of diesel fuel) x (10 2 ) = Fuel consumption FCL value (gallons per 100 bhp-hr). (ii) Calculate equivalent fuel consumption FCL values for spark-i gnition engines and alternative fuel spark-ignition engines. CO 2 FCL value (grams per bhp-hr) / 8,877 grams per gallon of gasoline fuel) x (10 2 ) = Fuel consumption FCL value (gallons per 100 bhphr). (iii) Manufacturers may carryover fuel consumption data from a pr evious model year if allowed to carry over emissions data for EPA in accordance with 40 CFR P art 1036.235. (iv) If a manufacturer uses an alternate test procedure under 40 CFR 1065.10 and subsequently the data is rejected by the EPA, NHTSA will also reje ct the data.

§ 535.7 Averaging, banking, and trading (ABT) Program.(a) Fuel consumption credits (FCC) . At the end of each model year, manufacturers

may earn credits for heavy-duty vehicles and engines exceeding the fuel consumption standards specified in § 535.5 or by using one or more of the flexibilities in this regulation. paragraph (a) to gain credits. Manufacturers may average, bank, and trade fuel consumption credits for purposes of complying with the fuel consumption standards . The following criteria and restrictions apply to averaging, banking and trading FCC (hereafter reference as described in this section. the NHTSA ABT program). (1) Averaging. Averaging is the exchange of FCC among a manufacturer’s engines or vehicle families or test groups within an averaging set. With the exce ption of FCC earned for advance technologies as further clarified below, a manufact urer may average FCC only within the same averaging set. The principle averaging set s are defined in 535.4. (2) Banking. Banking is the retention of surplus FCC by the manufacturer generating the credits for use in future model years for averaging or t rading. Banked FCC retain the designation from the averaging set and model year in whi ch they were generated and expire after five model years. (3) Trading. Trading is a transaction that transfers FCC between ma nufacturers or other entities. A manufacturer may use traded FCC for averaging, ba nking, or further trading transactions. Traded FCC, other than advanced technology credits, may be used only within the averaging set in which they were generated. (b) ABT provisions for heavy-duty pickup trucks and vans

. (1) This regulatory category consists of one regulatory subcategory, heavy-duty pickup trucks and vans. This one regulatory subcategory makes up one averaging set. (2) Manufacturers that manufacture vehicles within this regu latory subcategory shall calculate credits at the end of each model year based upon the final ave rage fleet fuel consumption standard and final average fleet fuel consumption performa nce value within this one regulatory subcategory as identified in paragraph (b)(8) of t his section. If the manufacturer’s fleet includes conventional vehicles (gasoline, diese l and alternative fuel) and advanced technology vehicles (hybrids with regenerative braking, veh icles equipped with Rankine-cycle engines, electric and fuel cell vehicles) it should be divided into two separate fleets each with its own final average fleet fuel consump tion standard and final average fleet fuel consumption performance value. Credits shall b e calculated for each of the two fleets. (3) Fuel consumption levels below the standard create a “credit surp lus,” while fuel consumption levels above the standard create a “credit shortfall.” (4) Surplus credits , other than advanced technology credits, generated and calculated within this averaging set may only be used to offset a credit shortfall in th is same averaging set

. . (5) Surplus Advanced technology credits can be used to offset a credit shortfall in this same averaging set or other averaging sets. However, a manufacturer must first apply advanced technology credits to any deficits in the same averaging set bef ore applying them to other averaging sets. (6) Surplus credits, other than advanced technology credits, may be traded among credit holders but must stay within the same averaging set. Advanced technology credits can be traded across averaging sets.(6 ) Surplus credits, if not used to offset a credit shortfall may be banked by the

manufacturer for use in future model years, or traded, gi ven the restriction that the credits have an expiration date of five model years after the year in which th e credits are earned. For example, credits earned in model year 2014 may be utilized through model year 2019. (7 ) 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. (7) Surplus credits, if not used to offset a credit shortfall may be banke d by the manufacturer for use in future model years, or traded, given the restrict ion that the credits have an expiration date of five model years after the year in which th e credits are earned. For example, credits earned in model year 2014 may be utilized through model year 2019. (8) 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. (8 (9 ) Calculate the value of credits generated in a model year for t his regulatory subcategory or averaging set using the following equation:

Total MY Fleet FCC (gallons) = (Std –Act)x(Volume)x(UL)x(10 2 ) Where: Std = Fleet average fuel consumption standard (gal/100 mile). Act = Fleet average actual fuel consumption value (gal/100 mile)

. Volume = the total U.S. directed production of vehicles in the regulator y subcategory. UL = the useful life for the regulatory subcategory (120,000 miles). ( 9) In model year 2013, 10) If a manufacturer voluntarily complies, it may calculate generates credits for from its entire fleet , as specified in paragraph (b)(8) of this section, or it may choose to calculate only advanced technology vehicles in accordance with 535.7(e)(1) a multiplier of 1.5 can be used. Advanced technology credits f or its electric can be used in other averaging sets different from the one they are g enerated within with the following restrictions. (i)The maximum amount of credits a manufacturer may bring into t he service class group that contains the heavy-duty pickup and zero emissions vehicles van averaging set is 5.89 Mgallons (for advanced technology credits based upon compression igni tion engines) or 6.76 Mgallons (for advanced technology credits based upon spark igniti on engines) per model year as specified in 40 CFR part 1037.104: (ii) The limit specified in paragraph (b)(10)(i) of this section does not limit the amount of advanced technology credits that can be used across avera ging sets within the same service class group. (11) Early credit provisions. If a manufacturer chooses to generate CO 2 emission credits under EPA provisions of 1037.150(a), it may also voluntarily generate early credits under the NHTSA fuel consumption program. Fuel consumption credits may be generated for vehicles certified in model year 2013 to the model year 2014 s tandards in § 535.5 (a). To do so a manufacturer must certify its entire U. S. directed production volume of vehicles in its fleet. The same production volume restrictions s pecified in§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 ( e)(1 b)(9 ) of this section relative to the fleet standard that would apply for model year 2014 usi ng the model year 2013 production volumes. Surplus credits generated under this par agraph are available credits for banking or trading. Credit deficits for an aver aging 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 mod el 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 implementa tion approach being followed to meet the EPA CO 2 emission program. (c) ABT provisions for vocational trucks vehicles and tractors

. (1) The two regulatory categories for vocational trucks vehicles and tractors consist of 12 regulatory subcategory as follows: (i) Vocational trucks vehicles with a GVWR up to and including 19,500 pounds (Light Heavy-Duty (LHD)); (ii) Vocational trucks vehicles with a GVWR above 19,500 pounds and no greater than 33,000 pounds (Medium Heavy-Duty (MHD)); (iii) Vocational trucks vehicles with a GVWR over 33,000 pounds (Heavy HeavyDuty (HHD)); (iv) Low roof day cab tractors with a GVWR above 26,000 pounds and no greater than 33,000 pounds; (v) Mid roof day cab tractors with a GVWR above 26,000 pounds and no greater than 33,000 pounds; (vi) High roof day cab tractors with a GVWR above 26,000 pounds and no greater than 33,000 pounds; (vii) Low roof day cab tractors with a GVWR above 33,000 pounds; (viii) Mid roof day cab tractors with a GVWR above 33,000 pounds; (ix) High roof day cab tractors with a GVWR above 33,000 pounds; (x) Low roof sleeper cab tractors with a GVWR above 33,000 pounds; (xi) Mid roof sleeper cab tractors with a GVWR above 33,000 pounds; and (xii) High roof sleeper cab tractors with a GVWR above 33,000 pounds. (2) The 12 regulatory subcategories consist of three averaging sets as foll ows: (xii) High roof sleeper cab tractors with a GVWR above 33,000 pounds. (2) The 12 regulatory subcategories consist of three averaging sets as foll ows: (i) Vocational light-heavy vehicles at or below 19,500 pounds GVWR. (ii) Vocational and tractor medium-heavy vehicles above 19,500 pounds GVWR but at or below 33,000 pounds GVWR. (iii) Vocational and tractor heavy-heavy vehicles above 33,000 pounds GVWR. (3) Manufacturers that manufacture vehicles within either of these two vehicle categories, in one or more of the regulatory subcategories, shall calculate a total credit balance within each applicable averaging set at the end of each model yea r based upon final production volumes and the sum of the credit balances derived for e ach of the vehicle family groups within each averaging set

.. . (4) Each designated vehicle family group has a “family emissions limi t” (FEL) which is compared to the associated regulatory subcategory standard. A F EL that falls below the regulatory subcategory standard creates “positive credits,” w hile fuelconsumption level of a family group above the standard creates “negative credits a “credit

shortfall .” (5) Manufacturers shall sum all shortfalls and surplus credits for eac h vehicle family within each applicable averaging set to obtain the total credit balan ce for the model year before rounding. The sum of fuel consumptions credits must be rounded to the ne arest gallon. (6) A surplus total credit balance Surplus credits, other than advanced technology credits, generated and calculated within an this averaging set may only be used to offset a credit shortfalls shortfall in this same averaging set. (7) Advanced technology credits can be used to offset a credit shortfa ll in this same averaging set or other averaging sets. However, a manufacturer mus t first apply advanced technology credits to any deficits in the same averaging set

. before applying them to other averaging sets. (7 (8 ) Surplus credits , other than advanced technology credits, may be traded among credit holders but must stay within the same averaging set. (8) Surplus credits, if not used to offset a credit shortfall may be banke d by the manufacturer for use in future model years, or Advanced technology credits can be traded

, given the restriction that the credits have an expiration date of five model years after the year in which the credits are earned. across averaging sets. For example, credits earned in model year 2014 may be utilized through model year 2019. (9 ) Surplus credits, if not used to offset a credit shortfall may be ba nked by the manufacturer for use in future model years, or traded, given the restricti on that the credits have an expiration date of five model years after the year in which th e credits are earned. For example, credits earned in model year 2014 may be utilized through model year 2019. (9) Credit shortfalls must be offset by available surplus credits within three model years after a shortfall has incurred. If the shortfall cannot be offset, the manufacturer is liable for civil penalties as discussed in § 535.9. (10 ) 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. (11 ) The value of credits generated in a model year is calculated as fo llows: (i) Calculate the value of credits generated in a model year for e ach vehicle family within an averaging set using the following equation:

Vehicle Family FCC (gallons) = (Std –FEL)x(Payload)x(Volume)x(U L)x(10 3 )

Where:

Std = the standard for the respective vehicle family regulatory subcategor y (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)LHD Vocational Trucks Vehicles 2.85

MHD Vocational Trucks Vehicles 5.60

HHD Vocational Trucks Vehicles 7.5

Class 7 Tractor 12.50 Class 8 Tractor 19.00

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 i n the following table:

Regulatory subcategory UL (miles)

LHD Vocational Trucks Vehicles 110,000

MHD Vocational Trucks Vehicles 185,000

HHD Vocational Trucks Vehicles 435,000

Class 7 Tractor 185,000 Class 8 Tractor 435,000

(ii) Calculate the value of credits generated in a model year for each vehicle famil y for advanced technology vehicles within an averaging set using the e quation above, the guidelines provided paragraph (e)(1)(i), and the 1.5 credit multiplier.

(iii) Calculate the total credits generated in a model year for each averaging set using the following equation: 

# ∑
= set averaging each within credits family Vehicle credits MY set averaging Total

(11) (12) Early credit provisions. (i) If a manufacturer chooses to generate CO 2 emission credits under EPA provisions of 1037.150(a), it may also voluntarily generate early credits in MY 2013 by certifying under the NHTSA fuel consumption program. Fuel consumption credits may be generated for vehicles certif ied 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 fleet of vehicles in a specific subcategory to the respective MY 2014 standards. U. S. directed production volume of vehicles. The same production volume restrictions specified in §1037.150 (a)(1) relating to when test grou ps are certified apply to the NHTSA early credit provisions. Credits are calculated as specified in paragraph (c)( 1 0 11 ) of this section . If some vehicle families within a regulatory sub

category are certified after the start of the model year, cred its can only be generated for production that occurs after all families are certified. relative to the standards that would apply for model year 2014. Surplus credits generated under this paragraph may be Formatted Table

Formatted Tableincreased by a factor of 1.5 for determining total available credits for banking or trading. For example, if you have 1.0 10 gallons of surplus credits for model year 2013, you may bank 1.5 15 gallons of credits. Credit deficits for an averaging set prior to m odel 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 yea rs. . Once a manufacturer opts into the NHTSA program they must stay in the program for all of the optional model years and remain s tandardized with the same implementation approach being followed to meet the EPA CO 2 emission program. (12) A tractor manufacturer may generate emission credits for the nu mber of additional Smartwa y tractors (relative to its MY 2012 production). Calculate credits for each regulatory sub

- category relative to the standard that would apply in model year 2014 using the equations in paragraph (c)(10) above. Use a production volume equal to the number o f 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 cred its generated under this paragraph multiplied by 1.50.

. 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 bei ng followed to meet the EPA CO 2 emission program. (ii) A tractor manufacturer may generate fuel consumption credit s for the number of additional SmartWay designated tractors (relative to its MY 2012 producti on), provided that credits are not generated for those vehicles under paragraph (12)(i). Ca lculate credits for each regulatory sub-category relative to the standard that would apply in model year 2014 using the equations in paragraph (c)(11) above. Use a production volume equal to the number of verified model year 2013 SmartWay tractors minus the numbe r 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 f ollowed to meet the EPA CO 2 emission program. (13) Advanced technology credits . (i) If a manufacturer generates credits from vehicles certified for advanced technology in accordance with 535.7(e) (1) a multiplier of 1.5 can be used, but this multiplier cannot be used on the same credits the ea rly credit multiplier is used. Advanced technology credits can be used in other averaging sets different from the one they are generated within with the follow ing restrictions. (ii) The maximum amount of credits a manufacturer may bring in to a service class group that contains the vocational vehicle and tractor averaging set s is 5.89 Mgallons (for advanced technology credits based upon compression ignition engines) or 6.76 Mgallons (for advanced technology credits based upon spark ignition engines) per model year as specified in 40 CFR part 1037.740: (iii) The limit specified in paragraph (c)(13)(i) of this secti on does not limit the amount of advanced technology credits that can be used across avera ging sets within the same service class group. (d) ABT provisions for heavy-duty engines

. (1) Heavy-duty engines consist of six regulatory subcategories as follows: (i) Spark-ignition engines.(ii) Light heavy-duty compression-ignition engines. (iii) Medium heavy-duty vocational compression-ignition engines. (iv) Medium heavy-duty tractor compression-ignition engines ( iv v ) Heavy heavy-duty vocational compression-ignition engines. ( iv vi ) Heavy heavy-duty tractor compression-ignition engines. (2) The six regulatory subcategories consist of four averaging sets as fo llows: (i) Compression-ignition light heavy-duty diesel engines for Class 2b to 5 trucks with a GVWR above 8,500 pounds but at or below 19,500 pounds

. (ii) Compression-ignition medium heavy-duty diesel engines for Class 6 and 7 trucks with a GVWR above 19,500 but at or below 33,000 pounds

. (iii) Compression-ignition heavy heavy-duty die sel engines for Class 8 trucks with a GVWR above 33,000 pounds

. (iv) Spark ignition engines in Class 2b to 8 trucks with a GVWR above 8,500 pounds. (3) Manufacturers that manufacture engines within one or more of the regulatory subcategories, shall calculate a total credit balance within ea ch applicable averaging set at the end of each model year based upon final production volumes and the sum of the credit balances derived for each of the engine families within eac h averaging set. (4) Each designated engine family has a “family certification level” (FCL) which is compared to the associated regulatory subcategory standard. A FCL th at falls below the regulatory subcategory standard creates “positive credits,” while f uel consumption level of a family group above the standard creates “negative credits a “credit shortfall .” (5) Manufacturers shall sum all surplus and shortfall credits for each engine family within the applicable averaging set to obtain the total credit balance f or the model year before rounding. Round the sum of fuel consumptions credits to the nearest gallon. (6) A surplus total credit balance Surplus credits, other than advanced technology credits, generated and calculated within an this averaging set may only be used to offset a credit shortfall s in this same averaging set. (7) Advanced technology credits can be used to offset a credit shortfall in this same averaging set or other averaging sets. However, a manufacturer must f irst apply advanced technology credits to any deficits in the same averaging set bef ore applying them to other averaging sets. (8) Surplus credits , other than advanced technology credits, may be traded among credit holders but must stay within the same averaging set. Advanced technology credits can be traded across averaging sets. (8 (9 ) Surplus credits, if not used to offset a credit shortfall may be banked by the manufacturer for use in future model years, or traded, given the restricti on that the credits have an expiration date of five model years after the year in which th e credits are earned. For example, credits earned in model year 2014 may be utilized through model year 2019. ( 9 10 ) Credit shortfalls must be offset by available surplus credits wi thin three model years after shortfall was incurred. If the shortfall cannot be offse t, the manufacturer is liable for civil penalties as discussed in § 535.9. ( 10 11 ) The value of credits generated in a model year is calculated as follows: (i) The value of credits generated in a model year for each engine fa mily within a regulatory subcategory equalsEngine Family FCC (gallons) = (Std – FCL)x(CF)x(Volume)x(UL)x(10 2 )

Where:

Std = the standard for the respective engine regulatory subcategory (gal/10 0 bhp-hr). FCL = family certification level for the engine family (gal/100 bhp- hr). CF= a transient cycle conversion factor in bhp-hr/mile which is t he integrated total cycle brake horsepower-hour divided by the equivalent mileage of the applic able test cycle. For spark-ignition heavy-duty engines, the equivalent mileage i s 6.3 miles. For compression-ignition heavy-duty engines, the equivalent mileage is 6.5 mil es. Volume = the number of engines in the corresponding engine family. UL = the useful life of the given engine family (miles) as shown in th e following table:

Regulatory Subcategory UL (miles)

Class 2b-5 Vocational Trucks Vehicles

, Spark Ignited (SI), and Light Heavy-Duty Diesel Engines 110,000

Class 6-7 Vocational Trucks Vehicles and Medium Heavy-Duty Diesel Engines 185,000

Class 8 Vocational Trucks Vehicles and Heavy Heavy-Duty Diesel Engines 435,000

Regulatory Subcategory UL (miles)

Class 7 Tractors and Medium HeavyDuty Diesel Engines 185,000

Class 8 Tractors and Heavy Heavy-Duty Diesel Engines 435,000

(ii) Calculate the total credits generated in a model year for each averaging set using the following equation: 

# ∑
= set averaging each within credits family Engine credits MY set averaging Total

(11) (12) Alternate standard provisions for compression ignition engines . (i) The provisions of this section apply to manufacturers utilizing the voluntary alternate standard provisions specified in § 535.5(d)(4). (ii) Manufacturers may not certify engines to the alternate st andards if they are part of an averaging set in which they carry a balance of banked credits. For pur poses of this section, manufacturers are deemed to carry credits in an averaging s et if they carry credits from advance technology that are allowed to be used in that averaging set. (iii) Manufacturers may not bank fuel consumption credits for any engine 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.(iv) Note that the provisions of §535.7(d)(10) apply with respect to credit de ficits

generated while utilizing alternate standards. (13) Alternative phase-in standard provisions for compression ignition engines. Where a manufacturer has chosen to comply with the EPA alternative ph ase-in standard provisions in 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 applica ble alternative standards in 535.5(d)(5). Engines certified to these standards are not elig ible for early credits under paragraph (14) of this section. Credits are calculated using the same equation provided in paragraph (11) of this section. (14) Early credit provisions. If a manufacturer chooses to generate CO 2 emission credits under EPA provisions of 1036.150, it may also voluntarily generate early credits in MY 2013 by certifying under the NHTSA fuel consumption program. Fuel consumption credits may be generated for engines certified in model ye ar 2013 (2015 for spark-ignition engines) to the standards in § 535.5 (d). To do so a manufacturer must certify its entire fleet of engine s in a specific subcategory to the respective MY 2014 standards. Credits are calculated U. S. directed production volume of engines except as specified in 40 CFR part 1036.150(a)(2). Credits are calculated as specified in paragraph (d)( 10 11 ) of this section . If some engine families within a regulatory sub

category are certified after relative to the start of the standards that would apply for model year , credits can only be generated for production that occurs after all families are certified. 2014 (2016 for spark-ignition engines). Surplus credits generated under this paragraph may be increased by a factor of 1.5 for determining total available credits for banking or trading. For example, if you have 1. 0 10 gallons of surplus credits for model year 2013, you may bank 1.5 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

. These credits may be used to show compliance with the standards of this part for 2014 and later model years. (2016 for sparkignition engines). These credits may be used to show compliance wit h 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 re main standardized with the same implementation approach being followed to meet the EPA CO 2 emission program. (15) Advanced technology credits . (i) If a manufacturer generates credits from engines certified for advanced technology in accordance with 535.7(e)(1) a multiplier of 1.5 can be used, but this multiplier cannot be used on the same credits the ea rly credit multiplier is used. Advanced technology credits can be used in other averaging sets different from the one they are generated within with the follow ing restrictions. (ii) The maximum amount of credits a manufacturer may bring in to a service class group that contains the heavy-duty engine averaging sets is 5.89 Mgallons (for a dvanced technology credits based upon compression ignition engines) or 6.76 Mgallons (for advanced technology credits based upon spark ignition engines) per model year as specified in 40 CFR part 1036.740: (iii) The limit specified in paragraph (d)(15)(ii) of this section does n ot limit the amount of advanced technology credits that can be used across avera ging sets within the same service class group.(e) Additional credit provisions. (1) Advanced technology credits . Manufacturers of

heavy-duty pickup trucks and vans, vocational trucks and vehicles, tractors and associated engines showing improvements in CO 2 emissions and fuel consumption using hybrid vehicles with regenerative braking , vehicles equipped with Rankine-cycle engines, electric vehicles and fuel cell vehicles are eligible for adva nced technology credits that

. Advanced technology credits may be increased by a 1.5 multiplier and applied to any heavy-duty vehicle or engine subcategory consistent with sound engineering judg ment as follows:

. (i) Heavy-duty vocational trucks and truck tractors vehicles

. (A) For advanced technology system ( hybrid vehicles with regenerative braking (or the equivalent) and energy storage systems and for hybrids that incorporate power take

- off (PTO) systems,

, vehicles equipped with Rankine-cycle engines and fuel cell vehicle s), calculate the advanced technology credits as follows: (1) Measure the effectiveness of the hybrid advanced system by simulating the chassis test procedure applicable for each type of hybrid vehicle under 40 CFR part 103 7. (2) The effectiveness of the hybrid system is measured using chassis testing against a vehicle equipped with the advanced system and an equivalent conventional vehicle. system in accordance with 40 CFR part 1037.615. (2) For purposes of this paragraph (e), 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 hybrid 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, a nd the hybrid advanced technology vehicle is considered Vehicle B. EPA may specify an alternate test if the hybrid vehicle includes a power take

- off system. (3) The benefit associated with the hybrid 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 x GEM Fuel Consum ption 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 hybrid advanced vehicles, respectively as measured under the test procedures specified by EPA

. GEM Fuel Consumption Result B is the estimated gallons per 1000 ton-mil e rate resulting from emission modeling the emissions of the hybrid advanced vehicle as specified in 40 CFR 1037.520 and § 535.6(b ) and (c ).

(4) Calculate the benefit in credits using the equation in paragraph 535.7( d)(10 c)(11 ) of this section and replacing the term (Std-FEL) with the benefit. (B) For Rankine Cycle engines, determine the emission performance benefit according to 40 CFR 1036 .615 and convert to an equivalent fuel consumption benefit value. Calculate fuel consumption credits in gallons utilizing the credit equation in paragraph 535.7(d)(10) of this section and replacing the term (Std

- FCL) with the fuelconsumption benefit valu e. electric vehicles calculate the fuel consumption credits usi ng

an FEL of 0 g/1000ton-mile. (C) For electric and fuel cell vehicles, determine the emission pe rformance benefit according to 40 CFR 1037.610 and convert to an equivalent fuel consumption benefit value. Calculate fuel consumption credits in gallons utilizing the credit equatio n in paragraph 535.7(d)(10) of this section and replacing the term (Std

- FEL) with the fuel consumption benefit value. (ii) Heavy

- duty pickup trucks and vans. (A) For model year 2013, manufacturers may generate advanced technology credits for electric and zero emissions vehicles. Advanced technology credits for electric and zero emissions vehicles may be earned voluntarily as an alternative to generating credits for the manufacturer’s entir e fleet. Advanced technology credits for electric and zero emi ssions vehicles are not limited for use within the heavy

- duty pickup truck and van regulatory category. Advanced technology credits generated for electric and zero emission vehicles in model year 2013 ar e treated as though they were generated in model yea r 2014 for purposes of credit life. (B) In model years 2014 and later, a manufacturer may choose to calcu late credits for its entire fleet as specified in paragraph 535.7 (b)(8) of this section or may choose t o exclude its electric vehicles and zero e missions vehicles from the fleet and calculate the credits for these vehicles separately as advanced technology cr edits. In this case, the manufacturer may gain credits for its fleet without its elect ric and zero emissions vehicles and gain the advanced t echnology credits for these vehicles. Advanced technology credits for electric and zero emissions vehicles are not limited f or use within the heavy

duty pickup truck and van regulatory category. (ii) Heavy-duty engines. (A) This section specifies how to generate advanced technology-specific fuel consumption credits for hybrid powertrains that include energy storage systems and regenerati ve 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 th at include features that recover and store energy during engine motoring operation but not from the veh icle 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 in clude features that recover and store energy from braking at the vehicle wheels. Thes e powertrains are tested by simulating the chassis test procedure applicable for hybrid ve hicles 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 of th is part unless EPA approves the manufacturer’s alternate procedures. (B) Calculate credits as specified in § 535.7(c) of this part. Cre dits generated from engines and powertrains certified under this section may be used in oth er averaging sets as described in 40 CFR part 1036.740(d). (2) Innovative technology credits. EPA This provision allows engine and vehicle manufacturers to generate CO 2 emission credits consistent with the provisions of 40 CFR 86.1866

- 12(d part 1036.610 (for engines), 40 CFR part 1037.104(d)(13) (for heavy-duty pickup trucks and vans) and 40 CFR part 1037.610 (for vocational vehicles and trac tors ) for introducing innovative technology in heavy-duty engines and vehicles for reducinggreenhouse gas emissions

. and fuel consumption. Upon identification and approval from

EPA of a manufacturer seeking to obtain innovative technology credits in a give n model year, NHTSA may adopt the same an equivalent amount of fuel consumption credits into its program. Such credits must remain within the same regulatory subcategory in which the credits were generated. NHTSA will adopt these fuel consumpt ion credits depending upon whether: (i) The technology has a direct impact upon reducing fuel consumption performa nce; (ii) The manufacturer has provided sufficient information to make sound engineering judgments on the impact of the technology in reducing fuel consumption per formance; and (iii) Credits will be accepted on a one-for-one basis expressed in term s of gallons.

§ 535.8 Reporting requirements. (a) General Requirements. (1) Required reports. For each model year, m anufacturers producing heavy

- duty trucks and engines as identified in § 535.3 must submit through the EPA VERIFY compliance database system, applications for certifi cates of conformity, end

- of

- the

- year and final reports, amendments to applications for certificati on, and any
app licable compliance letters and requests . Manufacturers producing hea vy

- duty pickup trucks and vans must submit a pre

- model report for each model year through the EPA VERIFY database. NHTSA will access the manufacturer’s informati on through the EPA VERI FY database to ensure compliance with its standards. (2) Report deadlines. Reports (a) General Requirements. Manufacturers producing heavy-duty vehicles and engines applicable to fuel consumption standards in § 535.5, for each given model year, m ust submit the required information as specified in paragraphs (b) through (h) of this section. (1) The information required by this part for each model year must be submitted by the deadlines specified in this section and must be based upon all the informa tion and data available to the manufacturer 30 days before submitting informat ion into the EPA VERIFY database.

. (i) Pre

- model year report for heavy

- duty pickup truck and van. For model years 2013 and later, manufacturers complying with NHTSA standards must submit a pre

- model year
repor t in accordance with § 1036.xxx and § 1037.xxx [EPA please provide] through the EPA VERIFY database including both GHG emissions and fuel consumption inf ormation for each given model year. The report can be sent as early as the date of the manufacturer’s a nnual certification preview meeting, or as late as the date the manufacturer submits its first application for a certificate of conformity for the given model year. For example, a manufacturer could arrange a precertificat ion compliance meeting with EPA a nd NHTSA on December 31, 2012, and at that time submit through the EPA VERIFY database its model year 2014 pre

- model year report containing both GHG emission and fuel consumption information. (ii) Applications for certificate of conformity for heavy

- duty trucks and engines. For model years 2013 and later, manufacturers complying with NHTSA standards must submit its applications for certificates of conformity in accorda nce with § 1036.201 and § 1037.201 through the EPA VERIFY database including both GHG em issions and fuel consumption information for each given model year.(iii) End

- of

- the

- year

- report for all heavy

- duty trucks and engines. For model year 2013 and later, manufacturers complying with NHTSA’s standards must subm it an end

- of

- the

year report in accordance with § 1036.730 and § 1037.730 through the EPA VERIFY database including both GHG emissions and fuel consumption information f or each given model year. This report must be submitted within 90 days after the e nd of the given model year and n o later than April 1 of the next calendar year. For example, the end

- of

the

- year report for model year 2014 must be submitted no later than April 1, 2015. (A) Upon notification from EPA, NHTSA may waive the requirement to se nd the end

of

- the year report, conditioned upon the manufacturer contacting EPA by letter to certify that the final report will be sent on time. NHTSA will not waive this requirement for a manufacturer that has a deficit for a given model year or an outstandi ng deficit from a prior mo del year. (B) If a manufacturer expects differences in the information repor ted between the end

of

- the

- year report and the final year report, it must provide the most up

- to

- date projections in the end

- of

- the

- year report and indentify the information as pr eliminary. (C) If the manufacturer cannot provide any of the required fuel consumpt ion information, it must state the specific reason for the insufficiency and identify the additional testing needed or explain what analytical methods are believe d by the manufacturer will be necessary to eliminate the insufficiency and c ertify that the results will be available for the final report. (iv) Final report for all heavy

- duty trucks and engines. For model year 2013 and later, manufacturers complying with NHTSA ’s standards must submit a final report in accordance with § 1036.730 and § 1037.730 through the EPA VERIFY database including both GHG emissions and fuel consumption information for each given model year. This report must be submitted within 270 days a fter the given model year and no later than October 1 of the next calendar year. For example, the final ye ar report for model year 2014 must be submitted no later than October 1, 2015. (v) Amendments to applications for certification. At any time, a man ufacturer modifying an application for certification in accordance with § 1036.225 and § 1037.225 must submit any GHG emissions changes with equivalent fuel consump tion information, if applicable. (b) General submission provisions. (1) For model ye ars 2013 and later, a manufacturer must follow the instructions on the EPA VERIFY database for submitt ing information electronically. (2) (2) Manufacturers must submit information electronically through t he EPA database system as the single point of entry for all information require d for this national program and both agencies will have access to the information. The format for the required information is specified by EPA. (3) If by model year 2012, the agencies are not prepared to receive informa tion through the EPA VERIFY database system, manufacturers are expected required to submit written reports information to the agencies in a EPA using an approved information format that . A manufacturer can be downloaded from EPA. use a different format, if it sends EPA a written request with justification for a wa iver. (3) Electronic submissions through the EPA VERIFY database must include all the required information specified in paragraphs (b) through (e) of this section to be accepted.(vi) Additional Reporting Provisions. Throughout the model year, manufacturers of

heavy

- duty trucks and engines, except for those (b) Pre-model year reports. Manufacturers producing heavy-duty pickup trucks and vans , will be required to submit various submissions to must submit reports in advance of the model year providing early estimates demonstrating how their fleet(s) would comply with GH G emissions and fuel consumption standards. Note, the agencies to comply with various aspects of the rule. The criteria for submission, approval and due dates are specified in sec tion(c) and section xxxx of this part. For understand that early model year reports contain estimates that may change over the course of a model year and that compliance information manufactures 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 repo rts as a manufacturer’s good faith projection for demonstrating compliance with emi ssion and fuel consumption standards. (1) Report Deadlines . For model years 2013 and later, manufacturer of heavy-duty pickup trucks and vans , the same submissions are in clude in the complying with voluntary and mandatory standards must submit a pre-model year report f or the given model year as early as the date of the manufacturer’s annual cert ification preview meeting with EPA and NHTSA, or prior to submitting its first application f or a certificate of conformity to EPA in accordance with 40 CFR part 1037.104(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 in section (c). any time prior to submitting its first application for certification for the given model year. (c) Pre

- model year report. (2) Contents

. Each pre-model year report for heavy

- duty pickup trucks and vans must comply with the provisions in § 1036.xxx and § 1037.xxx [EPA please provide] and paragraph (c). NHTSA reserve s the right to ask a manufacturer to provide additional information if necessary to verif y the fuel consumption requirements of this regulation. (1) Vehicle and Fleet Information. Each report be submitted electronically through the EPA VERIFY database syst em must include including the following information : for each model year. (i) A list of each unique vehicle configuration included subconfiguration in the manufacturer’s fleet describing the make and model designations, a ttribute based-values ( i.e., GVWR, GCWR, Curb Weight and drive configurations) and standards

. ; (ii) The emission and fuel consumption fleet average standard derive d 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 f leet average performance; ( 2) Required Statements and Plans. Each report submitted electronical ly through the EPA VERIFY database system must include the following information : (i) A v) If complying with MY 2013 fuel consumption standards, a statement must be provided declaring whether the manufacturer will use fixed or increasing standards; acknowledging that once selected, the decision cannot be reversed and the manufac turer must continue that the manufacturer is voluntarily choosing to comply early with the same alternative for subsequent model years;(ii) A statement declaring whether the manufacture r chooses to comply early in MY

2013 for 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 ye ars for all the vehicles it manufacturers in each regulatory category for a given mod el year ; ( ii i) vi) If complying with MYs 2014, 2015 or 2016 fuel consumption standards, a statement must be provided declaring whether the manufacturer chooses will use fixed or increasing standards in accordance with Part 535.5(a). The manufacturer mus t also acknowledge that once selected, the decision cannot be reversed and the ma nufacturer 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 mod el year; (vii) If complying with MYs 2014 or 2015 fuel consumption standards, a statemen t must be provided declaring that the manufacturer is voluntarily choosing to comply with NHTSA’s voluntary fuel consumption standards for model years 2014 through 2015. in accordance with Part 535.5(a)(4). The manufacturers must also acknowledge that once selected, the decision cannot be reversed and the manufacturer will cont inue 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 ; ( iv viii ) The list of Class 2b-3 incomplete ( cab-complete or chassis complete vehicles) and the method used to certify these vehicles as complete pickups a nd vans identifying the most similar complete sister- or other complete vehicles used t o 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 , as vocational these vehicles and engines, or as complete pickups and vans identifying the most similar complete or sister vehicles used to derive the target standards and performance test results; ( vi) x) List of loose engines included in the heavy-duty pickup and van category a nd the list of vehicles used to derive target standards and performance test results; (xi) Copy of any notices a vehicle manufacturer is designating to include in the low volume exclusion; and sends to the engine manufacturer to notify the engine manufacturers that their engines are subject to emissions and fuel c onsumption standards and that it intends to use their engines in excluded vehicles; ( vii xii ) A credit plan identifying the manufacturers estimated credit bal ances, planned credit flexibilities (i.e., credit balances, planned credit trad ing, 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 fo r a model year within a period of up to three model years after that deficit has occurred. (A) The final fuel cons umption standards; (d) Applications for Certificates of Conformity. When submitting applications f or certificates of conformity in accordan ce with § 1036.205 and § 1037.205, manufacturers must submit equivalent fuel consumption information where applicable . NHTSA reserves the right to ask a manufacturer to provide additional information i f necessary to verify the fuel consumption requirement s of this regulation. (e) End

- of

- the

- year and final reports. When submitting end

- of

- the

- year and final reports in accordance with § 1036.730 and § 1037.730 and paragraph (e), manufacturers must submit equivalent fuel consumption information where appli cable. NHTSA reserves theright to ask a manufacturer to provide additional information if necessar y to verify the

fuel consumption requirements of this regulation. (1) Heavy

- duty Pickup Trucks and Vans. (i) Vehicle Information. Each report submitte d electronically for heavy

- duty pickups trucks and vans through the EPA VERIFY database system must include the following information: (A) A finalized list of each unique vehicle configuration included in th e manufacturers fleet describing the designat ions, attribute based

- values (GVWR, GCWR, Curb Weight and drive configurations) and standards. (B) The final emission and fuel consumption fleet average standard derived from the unique vehicle configurations; (C) The final vehicle configuration, test gr oup and fleet production volumes; (D) The final emissions and fuel consumption test group results and fleet a verage performance; (ii) Required Lists and Plans. Each report submitted electronically thr ough the EPA VERIFY database system must include th e following information: (A) The final list of cab

- complete vehicles and the method use to certify, as vocational vehicles and engine, or as complete pickups and vans identifying the most s imilar complete vehicles used to derive the target standards and performance test results; (B) The final list of vehicles a manufacturer is designating to incl ude in the low volume exclusion; (C) A final credit plan identifying the manufacturers estimated credit balances, planned credit flexibilities (i.e., credit b alances, 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 mod el year within a period of up to three model years after that deficit has occurred; and ( D xiii) The supplemental information specified in paragraph (h) of this pa rt. Note, NHTSA may also ask a manufacturer to provide additional information if ne cessary to verify compliance with the fuel consumption requirements of this regu lation. (c) Applications for certificate of conformity . Manufacturers producing vocational vehicles, tractors and heavy-duty engines are required to submit applicat ions for certificates of conformity to EPA in accordance with 40 CFR part 1036.205 and 40 CFR part 1037.205 in advance of introducing vehicles for commercial sale. Applications contain early model year information demonstrating how manufacturer s plan to comply with GHG emissions. For model years 2013 and later, manufacturers of vocationa l vehicles, tractors and engine complying with NHTSA’s voluntary and ma ndatory standards must submit applications for certificates of conformity in a ccordance through the EPA database including both GHG emissions and fuel consumption informati on 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 st of the given model year. (2) Contents . Each application for certificates of conformity submitted to EPA m ust include the following equivalent fuel consumption. (i) Equivalent fuel consumption values for emissions CO 2 FCLs values used to certify each engine family in accordance with 1036.205(e). This provision applies only to manufacturers producing heavy-duty engines.(ii) Equivalent fuel consumption values for emission CO 2 data engines used to

comply with emission standards in § 1036.108. This provision applies only to manufacturers producing heavy-duty engines. (iii) Equivalent fuel consumption values for emissions CO 2 FELs values used to certify each vehicle families or subfamilies in accordance with 1037.205 (k). This provision applies only to manufacturers producing vocational vehicles an d tractors. (iv) Report modeling results for ten configurations in terms of CO 2 emissions and equivalent fuel consumption results in accordance with 1037.205(o). Include mode ling inputs and detailed descriptions of how they were derived. This provision appl ies only to manufacturers producing vocational vehicles and tractors. (3) Additional supplemental information. Manufacturers are required to submit additional information as specified in paragraph (h) of this part for the N HTSA program before or at the same time it submits its first application for a c ertificate 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-Report . Both manufacturers participating and not participating in the ABT program are required to submit year end reports; end-of-the-y ear (EOY) reports in accordance with 40 CFR part 1036.730 and 40 CFR part 1037.730. The EOY reports are used to review a manufacturer’s preliminary final estimate s and to identify manufacturers that might have a credit deficit for the given model yea r. For model years 2013 and later, heavy-duty vehicle and engine manufacturers complying w ith NHTSA’s voluntary and mandatory standards must submit EOY reports through the EP A database including both GHG emissions and fuel consumption information for each given model
year. (1) Report Deadlines . For model year 2013 and later, heavy-duty vehicle and engine manufacturers complying with NHTSA voluntary and mandatory standards mus t 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 April 1 of the next calendar year. For example, the EOY report for model year 2014 must be submitted no later than April 1, 2015. (i) If a manufacturer expects differences in the information repor ted between the EOY and the final year report specified in 40 CFR part 1036.730 and 40 CFR part 1037.730, it must provide the most up-to-date fuel consumption projections in it s EOY report and indentify the information as preliminary. (ii) If the manufacturer cannot provide any of the required fuel consump tion information, it must state the specific reason for the insufficiency and identify the additional testing needed or explain what analytical methods are believe d by the manufacturer will be necessary to eliminate the insufficiency and c ertify that the results will be available for the final report. (2) Contents. Each EOY report must be submitted including the following fuel consumption information for each model year. (i) Engine and vehicle family designations and averaging sets. (ii) Engine and vehicle regulatory subcategory and fuel consumption st andards 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 credit plan (for manufacturers participating in the ABT program) ident ifying the manufacturers actual fuel consumption credit balances, credi t flexibilities, credit trades and a credit deficit plan if needed demonstrating how it plans to r esolve any credit deficits that might occur for a model year within a period of up to t hree model years after that deficit has occurred (vi) A plan describing the vocational vehicles and vocational tractors that were exempted such as for heavy-duty off-road or small business purposes; and vehicles. ( E vii ) A final plan describing any advanced 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. (2) Heavy

- Duty Tractors, Vocational Vehicles and Engines. (i) Vehicle Informa tion. Each report submitted electronically for heavy

- duty tractors, vocational vehicles and engines through the EPA VERIFY database system must include the following information (A) Vehicle or engine (viii) A final list of each unique subconfiguration included in a manufacturers fleet of heavy-duty pickup trucks and vans describing the designations, attribute based-values (GVWR, GCWR, Curb Weight and drive configurations) and standards. This provision applies only to manufacturers producing heavy-duty p ickup trucks and vans. (ix) The final fuel consumption fleet average standard derived from the un ique vehicle configurations. This provision applies only to manufacturers produci ng heavyduty pickup trucks and vans. (x) The p reliminary final subconfiguration and test group production volumes. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans

. (xi) The p reliminary final fuel consumption test group results and fleet avera ge performance. This provision applies only to manufacturers producing heavy-dut y pickup trucks and vans. (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) Final Reports . Both manufacturers participating and not participating in the ABT program are required to submit year end final reports in accordance with 40 CF R part 1036.730 and 40 CFR part 1037.730. The final reports are used to review a manufacturer’s final data and to identify manufacturers that mi ght have a credit deficit for the given model year. For model years 2013 and later, heavy-duty vehicl e and engine manufacturers complying with NHTSA’s voluntary and mandatory standards must submit final reports through the EPA database including both GHG emissio ns and fuel consumption information for each given model year. (1) Report Deadlines . For model year 2013 and later, heavy-duty vehicle and engine manufacturers complying with NHTSA voluntary and mandatory standards mus t 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 October 1 of the next calendar year. For example, the final re ports for model year 2014 must be submitted no later than October 1, 2015.(2) Contents . Each final report must be submitted including the following fuel

consumption information for each model year. (i) Final engine and vehicle family designations and averaging sets. ( B) Vehicle or ii) Final engine emissions and vehicle fuel consumption standards including any alternative standards used

. ( C) Vehicle or iii) Final engine and vehicle family FCLs and FELs in terms of fuel consumption

. ( D iv ) Final production volumes (E) Certified test cycles (F) Useful life values for vehicle or engine families engines and vehicles. (ii) Required Plans. Each report submitted electronically through the EPA V ERIFY database system must include the following information: ( (v) A ) A final credit plan identifying the manufacturers actual fuel consumption credit balances, credit flexibilities, credit trades and a credi t deficit plan if needed 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 ha s occurred ( B) vi) A final plan describing the actual vocational vehicles and vocational tractors that were exempted such as for heavy-duty off-road or small business purposes vehicles. ( C vii ) A final plan describing the actual any advanced 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

. (viii) A final list of each unique subconfiguration included in a manufac turers fleet of heavy-duty pickup trucks and vans describing the designations, attribute base d-values (GVWR, GCWR, Curb Weight and drive configurations) and standards. This provisi on applies only to manufacturers producing heavy-duty pickup trucks and vans. (ix) The final fuel consumption fleet average standard derived from the unique vehicle configurations. This provision applies only to manufacturers produci ng heavyduty pickup trucks and vans. (x) The final subconfiguration and test group production volumes. This provision applies only to manufacturers producing heavy-duty pickup trucks and vans. (xi) The final fuel consumption test group results and fleet average perfor mance. This provision applies only to manufacturers producing heavy-duty pickup trucks and

vans. (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. (f) Amendments to applications for certification . At any time, a manufacturer modifies an application for certification in accordance with § 1036.225 and § 1037 .225, it must submit GHG emissions changes with equivalent fuel consumpti on values for the information required in paragraphs (b) through (e) and (h) of this part. (g) Confidential Information. Manufacturers must submit a request for confidentiality with each electronic specifying any part of the for i nformation 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 follo w EPA guidelines for treatment of confidentiality. Confidential information sub mitted to NHTSA shall be treated according to paragraph (g)(1) of this section.(1) For any information or data requested by the manufacturer to be with held under 5

U.S.C. 552(b)(4) and 15 U.S.C. 2005(d)(1), the manufacturer shall provide evidence in its request for confidentiality to justify that: (i) The item is within the scope of 5 U.S.C. 552(b)(4) and 15 U.S.C. 2005(d)(1); (ii) The disclosure of such as item would result in significant com petitive damage; (iii) The period during which the item must be withheld to avoid that damage ; and (iv) How earlier disclosure would result in that damage. (h) Additional r eporting provisions for Tractors and Vocational Vehicles and Engines Required Information

. The following additional information is required to be submitted through the EPA VERIFY database. NHTSA reserves the right to ask a manufacturer to provide additional information if necessary to veri fy the fuel consumption requirements of this regulation. (i) (1) Small business exemption s . Vehicles and engines produced by small business manufacturers meeting the criteria in 13 CFR part 121.201 are exempted from the requirements of this regulation but are required to provide to EPA a stateme nt explaining how they qualify as a . Qualifying small business as defined by the Small Business Administration at 13 CFR 121.201. The statement must be submitted to the manufacturers must notify the EPA and NHTSA Administrators of EPA before importing

or introducing any excluded vehicle into U.S. commerce as specified in § 1036.150 and §1037.150. (ii) Off

- road exclusion (tractors and vocational vehicles only). Vehicles inte nded to be used extensively in off

- road environments such as forests, oil fields, and construction sites may be exempted from the requirements of this p art if EPA and NHTSA approve the exemption. This provision applies to all heavy

- duty vehicles except for vocational trucks and truck tractors meeting the qualifications specified in 49 vehicles or engines. This notification must include a description of the manufacturer’ s qualification as a small business under 13 CFR 523.2 that are already exempted. Manufacturers seeking an exempti on must send the request to the Administrators of 121.201 and must be submitted

to EPA explaining the basis for defining their vehicle for exclusive use as an off

- road vehicle as specified in §1036.630 and §1037.630. The manufacturer must send a request to EPA before submitting its first application for a certificate of conformity. . The agencies may review a manufacturer’s qualification as a small busines s manufacturer under 13 CFR 121.201.

(iii) Incentive for (2) Early Introduction. The provision applies to manufacturers seeking to comply early compliance with the NHTSA’s fuel consumption program prior to model year 2014. The manufacturer must send the request to EPA before submit ting its first application for a certificate of conformity. ( iv 3 ) NHTSA Voluntary Compliance Model Years

. Manufacturers must submit a statement declaring whether the manufacturer chooses to comply vo luntarily 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 s tandards for subsequent model years. The manufacturer must send the statement to EP A before submitting its first application for a certificate of conformity.( v) Exemption from EOY reports. Manufactures 4) Alternative engine standards.

Manufacturers choosing to comply with a surplus of the alternative engine standards must notify EPA and NHTSA of their choice and include in that notification a dem onstration that it has exhausted all available credits and credit can opportunities. The manufacturer

must send a request to be exempted from provide an the statement to EPA before submitting its EOY report. The request must be submitted to EPA (5) Alternate phase-in. Manufacturers choosing to comply with the alternative engine phase-in must notify EPA and NHTSA of their choice. The manufacture r must send the statement to EPA before submitting its first application for a certificate of conformity. (6) Off-road exclusion (tractors and vocational vehicles only) . (i) Vehicles intended to be used extensively in off-road environments such as forests, oil fie lds, and construction sites may be exempted without request from the requirem ents of this regulation as specified in 49 CFR 523.2 and § 535.5(b). Within 90 days after the end of each model year had ended. , manufacturers must send EPA and NHTSA through the EPA database a report with the following information: (vi (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 c riteria under the agencies’ off-road exclusions will be allowed to submit a petition descr ibing how and why their vehicles should qualify for exclusion. The process of petitioning f or an exclusion is explained below. For each request, the manufacturer will be required to describe why it believes an exclusion is warranted and address followin g factors which the agencies will consider in granting its petition: (A) The agencies will provide an exclusion based on off road capability of the vehicle or if the vehicle is fitted with speed restricted tire s. A manufacturer should explain which exclusion does its vehicle qualify under; and (B) A manufactures should verify if there any comparable tires t hat exist in the market to carry out the desired application both on and off road for the subje ct vehicle(s) of the petition which have LLR values that would enable compliance w ith the standard. (7) Vocational Tractor. Tractors intended to be used as vocational tractors may comply with vocational vehicle standards in Part 535.5(b) of this regulat ion. Manufacturers classifying tractor as vocational tractors must pr ovide a description of how they meet the qualifications in their applications for certifica tes of conformity as specified in 40 CFR part 1037.205. (8 ) Approval of alternate methods to determine drag coefficients (tractors only ). Manufacturers seeking to use alternative methods to determine aerody namic drag coefficients must provide a request and gain approval by EPA. The manufacture r must send the request to EPA before submitting its first application for a cer tificate of conformity. (vii) Alternative Engine Standards (engines only). Manufacturers see king to use the alternative engine standards must submit a request and be given approval by EPA with 90 days after the model year had ended.(viii) Alternative Engine Phase

- in (engines only). Manufacturers choosing to use the

alternative engine phase

- in must alert EPA to the decision. The manufacturer must se nd a statement to EPA before submitting its first application for a c ertificate of conformity. (9) Innovative Technology Credits . Manufacturers pursuing innovative 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 not usi ng a test procedure in accordance with 40 CFR part 1037.610(c). Whether the approach involves on-road testing, modeling, or some other analytical approach, the manufa cturer would be required to present a final methodology to EPA and NHTSA. EPA and NHTSA wou ld approve the methodology and credits only if certain criteria were met. Baseline emissions and fuel consumption and control emissions and fuel consumption woul d need to be clearly demonstrated over a wide range of real world driving condi tions and over a sufficient number of vehicles to address issues of uncertainty wi th the data. Data would need to be on a vehicle model-specific basis unless a manufacturer demons trated modelspecific data was not necessary. The agencies may publish a notice of availability in the Federal Register notifying the public of a manufacturer’s proposed alt ernative off-cycle credit calculation methodology and provide opportunity for comment. Any noti ce will include details regarding the methodology, but not include any Confidenti al Business Information. (10) If a manufacturer trades fuel consumption credits, it must send EPA a report within 90 days after the transaction, as follows: (i) As the seller, the manufacturer must include the following information in its report: (A) The corporate names of the buyer and any brokers. (B) A copy of any contracts related to the trade. (C) The fleet, vehicle or engine families that generated fuel consum ption credits for the trade, including the number of fuel consumption credits from each fa mily. (ii) As the buyer, the manufacturer or entity must include the foll owing 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 cre dits, including the number of fuel consumption credits it intends to apply to each vehicle family (if known). (i) Public Information . Based upon information submitted by manufacturers and EPA, NHTSA will publish fuel consumption standards and performance results. (j) Information received from EPA . NHTSA will receive information from EPA as specified in 40 CFR part1036.755 and 40 CFR part 1037.755.

§535.9 Enforcement Approach.

(a) Compliance

. (1) NHTSA assesses will assess compliance with fuel consumption standards each year, utilizing the certified and reported fue l consumption data provided by the Environmental Protection Agency based upon EPA final verified data submitted to NHTSA for enforcement of the its heavy-duty truck vehicle fuel efficiency program established pursuant to 49 U.S.C. 32902(k). NHTSA may conduct verification testingthroughout a given model year in order to validate data received from ma nufacturers and

will discuss any potential issues with EPA and the manufacturer. (2) Credit values in gallons are calculated based on the final CO 2 emissions and fuel consumption data submitted by manufacturers and verified/validat ed by EPA. (3) If NHTSA will verify a manufacturer’s regulatory subcategory fuel consumption credit balance in any each averaging set for each given model year . The average set balance is found to exceed based upon the engines or vehicles performance above or below the applicable standard(s), NHTSA identifies surplus regulatory subcategory standards in each respective averaging set and any credits in a manufa cturer's account for that are traded into or out of an averaging set during the model year and regulatory subcategory in the appropriate amount by which

. (i) If the balance is positive, the manufacturer has exceeded the applicable standard(s). is designated as having a credit surplus. ( 4) ii) If a manufacturer's engines or vehicles in the balance is negative, the manufacturer is designated as having a particular regulatory subcategory are found not t o meet the applicable fuel consumption standard(s), calculated as a credit shortfall, credit deficit. (4) NHTSA will provide written notification to the manufacturer that it has failed to meet a particular regulatory subcategory standard. has a negative balance for any averaging set for each model year. The manufacturer will be required to confirm the performance shortfall and must either: negative balance and submit a plan indicating how it will allocate existing credits or earn, and/or acquire by tra de credits ; , or will else be liable for a civil penalty as determined in paragraph (b) of this sect ion. The manufacturer must submit a plan within 60 days of receiving agency notification. (5) Credit shortfall within a regulatory subcategory 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. (6) Credit allocation plans received from a manufacturer will be re viewed and approved by NHTSA. NHTSA will approve a credit allocation plan unless i t determines that the proposed credits are unavailable or that it is unlikely that t he plan will result in the manufacturer earning sufficient credits to offset the subj ect credit shortfall. 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 addre ss the credit shortfall, or by identifying the manufacturer’s plan to earn future cred its for addressing the respective credit shortfall. If a plan is rejected, NHTSA will not ify 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 initiate s civil penalty proceedings. (7) For purposes of this regulation, NHTSA will treat the use of future c redits for compliance, as through a credit allocation plan, as a deferral of civi l penalties for noncompliance with an applicable fuel consumption standard. (8) If NHTSA receives and approves a manufacturer's credit alloc ation plan to earn future credits within the following three model years in order to co mply with regulatory obligations, NHTSA will defer levying civil penalties for non-compl iance until the date(s) when the manufacturer's approved plan indicates that cre dits will be earned oracquired to achieve compliance, and upon receiving confirmed CO 2 emissions and fuel

consumption data from EPA. If the manufacturer fails to acquire or e arn sufficient credits by the plan dates, NHTSA will initiate civil penalty proce edings. (9) In the event that NHTSA fails to receive or is unable to approve a pla n for a noncompliant manufacturer due to insufficiency or untimeliness, NHTS A may initiate civil penalty proceedings. (10) 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 c ivil penalty proceedings. (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 49 CFR 535. 5. 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 Enforcement of noncompliance with applicable fuel consump tion 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 regulatory subcategory manufacturer’s averaging set of vehicles or engines fails to comply with the applicable fuel consump tion standard (s) by generating a credit shortfall , the chassis, vehicle or engine manufacturer, as relevant, shall be subject to a civil penalty. (3) Numbers of Violations and Maximum Civil Penalties. Any violation as defined in § 535.4 shall constitute a separate violation with respect to each vehicl e or engine within the applicable regulatory subcategory. 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 multipl ying $37,500.00 times the vehicle or engine production volume for the model year in ques tion within the regulatory subcategory. 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 standard s , the estimated cost to comply with the regulation and applicable standard s , the quantity of vehicles or engines not complying, and the effect of the penalty on the violator’s ability to con tinue in business. The “estimated cost to comply with the regulation and ap plicable standard s ,” 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 Enforce ment 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 t o establish a likely violation. (iii) If the Chief Counsel determines that a violation has likely occur red, 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 prepar e a case file with recommended actions. A record of any prior violations by the sam e 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 st andard(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 Violati on 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 penalt y by a Hearing Officer; and (F) A statement that failure to either pay the proposed penalty or t o 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 N HTSA will proceed with the civil penalty in the amount proposed on the Notice of Violation wit hout processing the violation under the hearing procedures set forth in this subpar t. (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 t he party may agree to reach a compromise on the payment amount. (iv) Once a penalty amount is paid in full, a finding of “resolved w ith 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 c ivil 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 f ails to pay the proposed penalty on the Notice of Violation, and fails to request a heari ng, 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 proc essing the violation under the hearing procedures set forth in this subpart. (vii) NHTSA’s order assessing the civil penalty following a party’s defa ult 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 Adminis trator, and is solely responsible for the case referred to him or her. The Hearing Offi cer 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 r elated to the light-duty fuel economy or medium- and heavy-duty fuel efficiency progr ams. (iii) The Hearing Officer decides each case on the basis of the informat ion 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 n otifies the party in writing of: (A) The date, time, and location of the hearing and whether the hearing wil l be conducted telephonically or at the DOT Headquarters building in Washingt on, DC; (B) The right to be represented at all stages of the proceeding by counsel as set forth in the paragraph (b)(9) of this section; (C) The right to a free copy of all written evidence in the case fi le. (ii) On the request of a party, or at the Hearing Officer’s direc tion, multiple proceedings may be consolidated if at any time it appears that su ch 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 Hea ring Officer of this election in writing, after which point the Hearing Officer wi ll 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 Hearing Officer in Washington, DC, the hearing ma y 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 Of ficer at a party’s request or at the Hearing Officer’s direction. (iii) A party is responsible for all fees and costs (including attorney s’ fees and costs, and costs that may be associated with travel or accommodations) ass ociated 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 design ee. (iii) The Chief Counsel may supplement the case file with informati on prior to the hearing. A copy of such information will be provided to the party no later than 3 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 ot her information presented by the Chief Counsel. In the case of witness testimony, both par ties 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 m ust 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 Hear ing 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 rebutt al evidence submitted. (vii i ) 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 a lso request an opportunity to submit a written statement for consideration by the Hea ring Officer and for further review. If granted, the Hearing Officer shall allow a rea sonable 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 withi n the limits of any extension of time granted by the Hearing Officer, it need not be considered by the Hearing Officer. ( viii ix ) A verbatim transcript of the hearing will not normally be prepared. A pa rty 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 Of ficer not later than 15 days after the hearing. The Hearing Officer shall include such transc ript 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 ext ended 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 s o 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 basi s for the Hearing Officer’s assessment of a civil penalty, or decision not to assess a ci vil penalty. In determining the amount of the civil penalty, the gravity of the violati on, the size of the violator’s business, the violator’s history of compliance with applic able fuel consumption standards, the actual fuel consumption performance related to the app licable standard, the estimated cost to comply with the regulation and applicable standard, th e quantity of vehicles or engines not complying, and the effect of the penalty on the vio lator’s ability to continue in business. The assessment of a civil penalty by the Heari ng Officer shall be set forth in an accompanying final order. The Hearing Officer’s writte n 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 par ty of the right to an administrative appeal to the Administrator within a specified p eriod of time. The party is advised that failure to submit an appeal within the prescribed tim e 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 Administra tor of a Hearing Officer’s order assessing a civil penalty shall suspend the operatio n 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 asses sed 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 Admi nistrator within 21 days of the date of the issuance of the Hearing Officer’s order. (ii) The Administrator will review the decision of the Heari ng Officer de novo, and may affirm the decision of the hearing officer and assess a civil pen alty, 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 procee dings. (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 pa yment of civil penalties shall not be considered a request for a hearing. (ii) The party must remit payment of any assessed civil penalty to NH TSA 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 A dministrator’s decision on the appeal. (iii) The party must remit payment of any compromised civil penalty to N HTSA on the date and under such terms and conditions as agreed to by the party and NH TSA. 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 wi thout 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 account s are identified correctly and credits are assigned and allocated properly. (1) In general, if two manufacturers merge in any way, they must inf orm NHTSA how they plan to merge their credit accounts. NHTSA will subsequently a ssess 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 aut omobile manufacturing business, it must inform NHTSA how it plans to divide the ma nufacturer's credit holdings into two or more accounts. NHTSA will subsequently di stribute holdings as directed by the manufacturer, subject to provision for reasonably a nticipated compliance obligations. (3) If a manufacturer is a successor to another manufacturer's busi ness, it must inform NHTSA how it plans to allocate credits and resolve liabilitie s per 49 CFR part 534.

Greenhouse Gas Emissions Standards and Fuel Efficiency Standard s for Mediumand Heavy-Duty Engines and Vehicles: Final RulesDated: _______________________

_____________________________________________________ Ray LaHood, Secretary, Department of TransportationGreenhouse Gas Emissions Standards and Fuel Efficiency Standard s for Mediumand Heavy-Duty Engines and Vehicles: Final Rules

Dated: _______________________

_____________________________________________________ Lisa P. Jackson, Administrator, Environmental Protection Agency