Vol. 78 Monday, 

No. 116 June 17, 2013 

Part IV 

Environmental Protection Agency 

40 CFR Parts 85, 86, 1036, et al. 

Department of Transportation 

National Highway Traffic Safety Administration 

49 CFR Parts 523 and 535 

Heavy-Duty Engine and Vehicle, and Nonroad Technical Amendments; 

Final Rule 

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36370 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Parts 85, 86, 1036, 1037, 1039, 

1042, 1048, 1054, 1065, 1066, 1068 

DEPARTMENT OF TRANSPORTATION 

National Highway Traffic Safety 

Administration 

49 CFR Parts 523 and 535 

[EPA–HQ–OAR–2012–0102; NHTSA–2012– 

0152; FRL 9772–3] 

RIN 2060–AR48; 2127–AL31 

Heavy-Duty Engine and Vehicle, and 

Nonroad Technical Amendments 

AGENCIES: Environmental Protection 

Agency (EPA) and National Highway 

Traffic Safety Administration (NHTSA), 

Department of Transportation. 

ACTION: Direct final rule. 

SUMMARY: EPA and NHTSA, on behalf of 

the Department of Transportation, are 

each adopting corrections to provisions 

in our respective Medium- and HeavyDuty Greenhouse Gas Emissions and 

Fuel Efficiency final rule issued on 

September 15, 2011. These amendments 

eliminate duplicative reporting 

requirements, reduce inadvertent minor 

differences between the EPA and 

NHTSA programs regarding such 

matters as voluntary early model year 

compliance, better align testing 

procedures to market realities, and 

reduce unnecessary testing burdens. 

This action also separately amends 

several regulations exclusive to EPA by: 

adjusting the provisions of the 

replacement engine exemption, 

expanding EPA’s discretion to allow 

greater flexibility under the Transition 

Program for Equipment Manufacturers 

related to the Tier 4 standards for 

nonroad diesel engines, specifying 

multiple versions of the applicable SAE 

standard for demonstrating that fuel 

lines for nonroad spark-ignition engines 

above 19 kilowatts meet permeation 

requirements, and allowing for the use 

of the ethanol-based test fuel specified 

by the California Air Resources Board 

for nonroad spark-ignition engines at or 

below 19 kilowatts. Some of the 

individual EPA-only provisions of this 

action may have minor impacts on the 

costs and emission reductions of the 

underlying regulatory programs 

amended in this action, though in most 

cases these are simple technical 

amendments. For those provisions that 

may have a minor impact on the costs 

or benefits of the amended regulatory 

program, any potential impacts would 

be small and we have not attempted to 

quantify the potential changes. 

DATES: These rules are effective on 

August 16, 2013 without further notice, 

unless EPA or NHTSA receives adverse 

comment. If we receive relevant adverse 

comment on distinct elements of this 

rule by July 17, 2013, we will publish 

a timely withdrawal in the Federal 

Register indicating which provisions we 

are withdrawing. The provisions that 

are not withdrawn will become effective 

on August 16, 2013 notwithstanding 

adverse comment on any other 

provision. 

The incorporation by reference of 

certain publications listed in this 

regulation is approved by the Director of 

the Federal Register as of August 16, 

2013. 

ADDRESSES: Submit your comments, 

identified by Docket ID No. NHTSA– 

2012–0152 and/or EPA–HQ–OAR– 

2012–0102, by one of the following 

methods: 

• www.regulations.gov: Follow the 

on-line instructions for submitting 

comments. 

• Email: a-and-r-docket@epa.gov 

• Fax: NHTSA: (202) 493–2251; EPA: 

(202) 566–9744. 

• Mail: 

NHTSA: Docket Management Facility, 

M–30, U.S. Department of 

Transportation, West Building, Ground 

Floor, Rm. W12–140, 1200 New Jersey 

Avenue SE., Washington, DC 20590. 

EPA: Air and Radiation Docket and 

Information Center, Environmental 

Protection Agency, Air Docket, Mailcode 28221T, 1200 Pennsylvania Ave. 

NW., Washington, DC 20460. 

1. Hand Delivery: 

NHTSA: West Building, Ground 

Floor, Rm. W12–140, 1200 New Jersey 

Avenue SE., Washington, DC 20590, 

between 9 a.m. and 5 p.m. Eastern Time, 

Monday through Friday, except Federal 

Holidays. 

EPA: EPA Docket Center (EPA/DC), 

EPA West, Room 3334, 1301 

Constitution Ave. NW., Washington, 

DC, Attention Docket ID No. EPA–HQ– 

OAR–2012–0102. Such deliveries are 

only accepted during the Docket’s 

normal hours of operation, and special 

arrangements should be made for 

deliveries of boxed information. 

Instructions: Direct your comments to 

Docket ID No. NHTSA–2012–0152 and/ 

or EPA–HQ–OAR–2012–0102. See the 

SUPPLEMENTARY INFORMATION section on 

‘‘Public Participation’’ for additional 

instructions on submitting written 

comments. 

Docket: All documents in the docket 

are listed in the www.regulations.gov 

index. Although listed in the index, 

some information is not publicly 

available, e.g., information claimed as 

Confidential Business Information (CBI) 

or other information whose disclosure is 

restricted by statute. Certain other 

material, such as copyrighted material, 

will be publicly available only in hard 

copy. Publicly available docket 

materials are available either 

electronically in www.regulations.gov or 

in hard copy at the following locations: 

NHTSA: Docket Management Facility, 

M–30, U.S. Department of 

Transportation, West Building, Ground 

Floor, Rm. W12–140, 1200 New Jersey 

Avenue SE., Washington, DC 20590. 

The Docket Management Facility is 

open between 9 a.m. and 5 p.m. Eastern 

Time, Monday through Friday, except 

Federal holidays. 

EPA: EPA Docket Center, EPA/DC, 

EPA West, Room 3334, 1301 

Constitution Ave. NW., Washington, 

DC. The Public Reading Room is open 

from 8:30 a.m. to 4:30 p.m., Monday 

through Friday, excluding legal 

holidays. The telephone number for the 

Public Reading Room is (202) 566–1744, 

and the telephone number for the Air 

Docket is (202) 566–1742. 

FOR FURTHER INFORMATION CONTACT: Lily 

Smith, Office of Chief Counsel, National 

Highway Traffic Safety Administration, 

1200 New Jersey Avenue SE., 

Washington, DC 20590; telephone: (202) 

366–2992. Angela Cullen, 

Environmental Protection Agency, 

Office of Transportation and Air 

Quality, Assessment and Standards 

Division, 2000 Traverwood Drive, Ann 

Arbor, Michigan 48105; telephone 

number: 734–214–4419; email address: 

cullen.angela@epa.gov. 

SUPPLEMENTARY INFORMATION: 

A. Why are EPA and NHTSA 

publishing a direct final rule? 

The agencies have found that prior 

notice and comment is unnecessary for 

this action because it consists of minor 

amendments made for the following 

types of reasons: to eliminate 

duplicative reporting requirements, 

reduce inadvertent minor differences 

between the EPA and NHTSA programs 

regarding such matters as voluntary 

early model year compliance, better 

align testing procedures to market 

realities, reduce unnecessary testing 

burdens, and correct clear technical 

errors. As these amendments are not 

expected to be controversial or to result 

in adverse comment, the agencies 

believe that this action falls under the 

‘‘good cause’’ exception to the 

Administrative Procedure Act 

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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36371 

1See 5 U.S.C. 553(b). The ‘‘good cause’’ exception 

provides that the requirement for prior notice and 

comment on a proposed action does not apply 

‘‘when the agency for good cause finds (and 

incorporates the finding and a brief statement of 

reasons therefore in the rules issued) that notice 

and public procedure thereon are impracticable, 

unnecessary, or contrary to the public interest.’’ 

2This document contains EPA revisions for 

heavy-duty engines and vehicles and the EPA 

provisions for replacement engines. 

3See 49 CFR 553.21. 

4Optical character recognition (OCR) is the 

process of converting an image of text, such as a 

scanned paper document or electronic fax file, into 

computer-editable text. 

requirement for prior notice and 

comment.1

If no adverse comments are received 

within thirty days of publication, this 

rule will become effective as stated in 

the DATES section. In that case, 

approximately 30 days before the 

effective date, the agencies will publish 

a document in the Federal Register 

stating that no adverse comments were 

received and confirming that this rule 

will become effective as scheduled. The 

agencies would not consider frivolous 

or irrelevant comments to be adverse. 

The agencies would also not consider a 

comment recommending additional 

actions or changes to be adverse, unless 

the comment also states why the direct 

final rule would be ineffective without 

the additional action or change. 

If adverse comments are received to 

any part of this rule, that part will be 

withdrawn by publishing a timely 

notice in the Federal Register indicating 

which provisions are being withdrawn. 

The provisions that are not withdrawn 

will become effective on the date set out 

above, notwithstanding adverse 

comment on any other provision. 

If either or both agencies receive 

adverse comment to this rule, they will 

rely upon the agency-specific processes 

as follows, after the provision is 

withdrawn. If an adverse comment 

applies to a NHTSA provision of this 

rule, NHTSA will issue a notice of 

proposed rulemaking (NPRM) and 

provide another opportunity to 

comment. If EPA receives an adverse 

comment or a request for public hearing 

on a distinct EPA provision of this 

rulemaking, the related NPRM 2

published in the ‘‘Proposed Rules’’ 

section of today’s Federal Register will 

serve as the proposed rule to adopt the 

EPA provisions. If a public hearing is 

held on any provision that affects both 

agencies’ regulations, both agencies will 

participate. EPA does not plan to 

institute a second comment period on 

this action. Any parties interested in 

commenting on EPA technical 

amendments must do so at this time. 

EPA would address all public comments 

in a subsequent final rule. 

We request that commenters identify 

in their comments any portions of the 

action with which they agree and 

support as written, in addition to any 

comments regarding provisions with 

which they disagree. In this way, the 

agencies will be able to adopt those 

elements of this action that are fully 

supported and most needed today while 

properly considering and addressing 

any adverse comments through a 

‘‘notice and comment’’ rulemaking. For 

further information about commenting 

on this rule, see the ADDRESSES section 

of this document. 

B. Does this action apply to me? 

This action affects companies that 

manufacture, sell, or import into the 

United States new heavy-duty engines 

and new Class 2b through 8 vehicles, 

including combination tractors, school 

and transit buses, vocational vehicles 

such as utility service trucks, as well as 

3⁄4-ton and 1-ton pickup trucks and 

vans. The heavy-duty category 

incorporates all motor vehicles with a 

gross vehicle weight rating of 8,500 

pounds or greater, and the engines that 

power them, except for medium-duty 

passenger vehicles already covered by 

the greenhouse gas emissions standards 

and corporate average fuel economy 

standards issued for light-duty model 

year 2012–2016 vehicles (75 FR at 

25324, May 7, 2010). 

This action also affects nonroad 

engine manufacturers. 

Regulated categories and entities 

include the following: 

Category NAICS 

Code a

Examples of 

potentially affected 

entities 

Industry .... 336111 Motor Vehicle Manufacturers, Engine 

and Truck Manufacturers. 

336112 

333618 

336120 

Industry .... 541514 

811112 

811198 

Commercial Importers of Vehicles and 

Vehicle Components. 

Industry .... 336111 

336112 

422720 

454312 

541514 

541690 

811198 

336510 

Alternative Fuel Vehicle Converters. 

Industry .... 811310 Engine Repair, Remanufacture, and 

Maintenance. 

Note: 

a North American Industry Classification 

System (NAICS). 

This table is not intended to be 

exhaustive, but rather provides a guide 

for readers regarding entities likely 

covered by these rules. This table lists 

the types of entities that the agencies are 

aware may be regulated by this action. 

Other types of entities not listed in the 

table could also be regulated. To 

determine whether your activities are 

regulated by this action, you should 

carefully examine the applicability 

criteria in the referenced regulations. 

You may direct questions regarding the 

applicability of this action to the 

persons listed in the preceding FOR

FURTHER INFORMATION CONTACT section. 

C. What should I consider as I prepare 

my comments? 

Comments that are submitted for 

consideration by one agency should be 

identified as such, and comments that 

are submitted for consideration by both 

agencies should be identified as such. 

Absent such identification, each agency 

will exercise its best judgment to 

determine whether a comment is 

submitted on its respective part of these 

rules. 

Further instructions for submitting 

comments to either the EPA or NHTSA 

docket are described below. 

NHTSA: Your comments must be 

written and in English. To ensure that 

your comments are correctly filed in the 

Docket, please include the Docket ID 

No. NHTSA–2012–0152 in your 

comments. By regulation, your 

comments must not be more than 15 

pages long.3 NHTSA established this 

limit to encourage you to write your 

primary comments in a concise fashion. 

However, you may attach necessary 

additional documents to your 

comments. There is no limit on the 

length of the attachments. If you are 

submitting comments electronically as a 

PDF (Adobe) file, we ask that the 

documents submitted be scanned using 

the Optical Character Recognition (OCR) 

process, thus allowing the agencies to 

search and copy certain portions of your 

submissions.4 Please note that pursuant 

to the Data Quality Act, in order for the 

substantive data to be relied upon and 

used by the agencies, it must meet the 

information quality standards set forth 

in the Office of Management and Budget 

(OMB) and Department of 

Transportation (DOT) Data Quality Act 

guidelines. Accordingly, we encourage 

you to consult the guidelines in 

preparing your comments. OMB’s 

guidelines may be accessed at http:// 

www.whitehouse.gov/omb/fedreg/ 

reproducible.html. DOT’s guidelines 

may be accessed at http://regs.dot.gov. 

EPA: Direct your comments to Docket 

ID No. EPA–HQ–OAR–2012–0102. 

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36372 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

5This statement constitutes notice to commenters 

pursuant to 40 CFR 2.209(c) that EPA will share 

confidential business information received with 

NHTSA unless commenters expressly specify that 

they wish to submit their CBI only to EPA and not 

to both agencies. 

EPA’s policy is that all comments 

received will be included in the public 

docket without change and may be 

made available online at 

www.regulations.gov, including any 

personal information provided, unless 

the comment includes information 

claimed to be Confidential Business 

Information (CBI) or other information 

whose disclosure is restricted by statute. 

Do not submit information that you 

consider to be CBI or otherwise 

protected through www.regulations.gov 

or email. The www.regulations.gov Web 

site is an ‘‘anonymous access’’ system, 

which means EPA will not know your 

identity or contact information unless 

you provide it in the body of your 

comment. If you send an email 

comment directly to EPA without going 

through www.regulations.gov your email 

address will be automatically captured 

and included as part of the comment 

that is placed in the public docket and 

made available on the Internet. If you 

submit an electronic comment, EPA 

recommends that you include your 

name and other contact information in 

the body of your comment and with any 

disk or CD–ROM you submit. If EPA 

cannot read your comment due to 

technical difficulties and cannot contact 

you for clarification, EPA may not be 

able to consider your comment. 

Electronic files should avoid the use of 

special characters, any form of 

encryption, and be free of any defects or 

viruses. For additional information 

about EPA’s public docket visit the EPA 

Docket Center homepage at http:// 

www.epa.gov/epahome/dockets.htm. 

(1) Tips for Preparing Your Comments 

When submitting comments, 

remember to: 

• Identify the rulemaking by docket 

number and other identifying 

information (subject heading, Federal 

Register date and page number). 

• Follow directions—The agencies 

may ask you to respond to specific 

questions or organize comments by 

referencing a Code of Federal 

Regulations (CFR) part or section 

number. 

• Explain why you agree or disagree, 

suggest alternatives, and substitute 

language for your requested changes. 

• Describe any assumptions and 

provide any technical information and/ 

or data that you used. 

• If you estimate potential costs or 

burdens, explain how you arrived at 

your estimate in sufficient detail to 

allow for it to be reproduced. 

• Provide specific examples to 

illustrate your concerns, and suggest 

alternatives. 

• Explain your views as clearly as 

possible, avoiding the use of profanity 

or personal threats. 

• Make sure to submit your 

comments by the comment period 

deadline identified in the DATES section 

above. 

(2) How can I be sure that my comments 

were received? 

NHTSA: If you submit your comments 

by mail and wish Docket Management 

to notify you upon its receipt of your 

comments, enclose a self-addressed, 

stamped postcard in the envelope 

containing your comments. Upon 

receiving your comments, Docket 

Management will return the postcard by 

mail. 

(3) How do I submit confidential 

business information? 

Any confidential business 

information (CBI) submitted to one of 

the agencies will also be available to the 

other agency.5 However, as with all 

public comments, any CBI only needs to 

be submitted to either one of the 

agencies’ dockets and it will be 

available to the other. Following are 

specific instructions for submitting CBI 

to either agency. 

NHTSA: If you wish to submit any 

information under a claim of 

confidentiality, you should submit three 

copies of your complete submission, 

including the information you claim to 

be CBI, to the Chief Counsel, NHTSA, at 

the address given above under FOR

FURTHER INFORMATION CONTACT, 

according the process outlined in 49 

CFR part 512. When you send a 

comment containing CBI, you should 

include a cover letter setting forth the 

information specified in our CBI 

regulation. In addition, you should 

submit a copy from which you have 

deleted the claimed CBI to the Docket 

by one of the methods set forth above. 

EPA: Do not submit CBI to EPA 

through www.regulations.gov or email. 

Clearly mark the part or all of the 

information that you claim to be CBI. 

For CBI in a disk or CD ROM that you 

mail to EPA, mark the outside of the 

disk or CD ROM as CBI and then 

identify electronically within the disk or 

CD ROM the specific information that is 

claimed as CBI. In addition to one 

complete version of the comment that 

includes information claimed as CBI, a 

copy of the comment that does not 

contain the information claimed as CBI 

must be submitted for inclusion in the 

public docket. Information so marked 

will not be disclosed except in 

accordance with procedures set forth in 

40 CFR part 2. 

(4) Will the agencies consider late 

comments? 

NHTSA and EPA will consider all 

comments received before the close of 

business on the comment closing date 

indicated above under DATES. To the 

extent practicable, we will also consider 

comments received after that date. If 

interested persons believe that any new 

information the agency places in the 

docket affects their comments, they may 

submit comments after the closing date 

concerning how the agency should 

consider that information for the final 

rules. However, the agencies’ ability to 

consider any such late comments in this 

rulemaking will be limited due to the 

time frame for issuing the final rules. 

If a comment is received too late for 

us to practicably consider in developing 

the final rules, we will consider that 

comment as an informal suggestion for 

future rulemaking action. 

(5) How can I read the comments 

submitted by other people? 

You may read the materials placed in 

the dockets for this document (e.g., the 

comments submitted in response to this 

document by other interested persons) 

at any time by going to http:// 

www.regulations.gov. Follow the online 

instructions for accessing the dockets. 

You may also read the materials at the 

NHTSA Docket Management Facility or 

the EPA Docket Center by going to the 

street addresses given above under 

ADDRESSES. 

I. Technical Amendments to the HeavyDuty Engine and Vehicle Greenhouse 

Gas and Fuel Efficiency Standards 

Rules 

EPA and NHTSA developed the firstever program to reduce greenhouse gas 

(GHG) emissions and fuel consumption 

in the heavy-duty (HD) highway vehicle 

sector. The rulemaking was developed 

as a single, national program with both 

EPA and NHTSA promulgating 

complementary standards that allow 

manufacturers to build one set of 

vehicles to comply with both agencies’ 

regulations. This broad heavy-duty 

sector—ranging from large pickups to 

sleeper-cab tractors—together represent 

the second largest contributor to oil 

consumption and GHG emissions from 

the mobile source sector, after light-duty 

passenger cars and trucks. The final rule 

was published in the Federal Register 

on September 15, 2011 (76 FR 57106). 

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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36373 

6See U.S. EPA Web site at http://www.epa.gov/ 

otaq/climate/regs-heavy-duty.htm. 

7Hicks, M. and A. Cullen. Memorandum to 

Dockets EPA–HQ–OAR–2012–0102 and NHTSA– 

2012–0152. Heavy-Duty Engine and Vehicle 

Greenhouse Gas Emissions and Fuel Consumption 

Regulatory Changes. May 2013. 

8Advanced technology credits may be increased 

by a 1.5 multiplier and applied to any heavy-duty 

vehicle or engine subcategory with certain 

maximum limits applying. See 40 CFR 1036.740, 

1037.740 and 49 CFR 535.7(e) for description of 

advanced technology credit program. 

A. Background of the HD GHG and Fuel 

Efficiency Standards and Amendments 

EPA’s GHG standards and NHTSA’s 

fuel consumption standards apply to 

manufacturers of the following types of 

heavy-duty vehicles and their engines: 

• Heavy-duty Pickup Trucks and 

Vans 

• Combination Tractors 

• Vocational Vehicles 

The rules include separate standards 

for the engines that power combination 

tractors and vocational vehicles. Certain 

parts of the program are exclusive to 

EPA’s GHG standards. These include 

EPA’s final hydrofluorocarbon 

standards to control leakage from air 

conditioning systems in combination 

tractors and in pickup trucks and vans. 

Also exclusive to the EPA rules are 

standards for nitrous oxide (N2O) and 

methane (CH4) emissions standards that 

apply to all heavy-duty engines and to 

pickup trucks and vans. 

EPA’s final greenhouse gas emission 

standards for heavy-duty vehicles under 

the Clean Air Act will begin with model 

year 2014. NHTSA’s final fuel 

consumption standards under the 

Energy Independence and Security Act 

of 2007 will be voluntary in model years 

2014 and 2015, becoming mandatory 

with model year 2016 for most 

regulatory categories. Both agencies 

allow manufacturers to comply early in 

model year 2013 and promote early 

compliance by providing incentives to 

do so. 

In the final rulemaking, EPA 

established all-new regulations in 40 

CFR parts 1036, 1037, and 1066. EPA 

also included changes to existing 

regulations in 40 CFR parts 85, 86, 1039, 

1065, and 1068. Similarly, NHTSA 

modified its existing regulations in 49 

CFR parts 523 and 534, and established 

an all-new regulation in 49 CFR part 

535. 

After publication of the heavy-duty 

rule, EPA and NHTSA began an 

extensive outreach effort to aid in the 

rule’s implementation. EPA and NHTSA 

held public workshops on November 3, 

2011 and August 10, 2012. In the course 

of these efforts, the agencies received a 

series of comments on specific aspects 

of the rules and prepared question and 

answer responses.6 In some cases, it 

became clear that minor changes to the 

rules would better clarify the rule’s 

intent, or amend the rule to make it 

more effective. The amendments 

adopted in this rule are largely based on 

these implementation discussions. 

The revisions related to the heavyduty GHG emissions and fuel efficiency 

regulations in this direct final rule 

generally affect the joint heavy-duty 

program. Therefore, the agencies are 

issuing this joint rule to maintain a 

single, harmonized program. However, 

some of these technical amendments are 

unique to the rules of one or the other 

agency. Thus, this section is further 

divided into three subsections. First is 

the set of amendments that directly 

affect both EPA’s and NHTSA’s 

regulations, which are discussed in 

Section I.B below. Next, the technical 

amendments exclusive to NHTSA’s 

regulations in 49 CFR parts 523 and 535 

are discussed in Section I.C. Finally, 

EPA’s unique amendments in 40 CFR 

parts 86, 1036, 1037, 1065, and 1066, 

are discussed in Section I.D. 

B. Joint Heavy-Duty GHG and Fuel 

Efficiency Technical Amendments 

The following amendments correct 

minor, technical inconsistencies and 

add clarifications in the current 

regulatory text of both agencies. If 

adverse comment is received by either 

agency relative to any aspect of the joint 

technical amendments that directly 

affect both EPA’s and NHTSA’s 

regulations, then both agencies will 

withdraw that joint amendment. A 

comparison of the original and amended 

regulatory text is provided in a 

memorandum to the dockets for this 

rulemaking.7

(1) Hybrid Testing 

40 CFR 1036.525, 40 CFR 1036.615, 

and 49 CFR 535.7(e)(1)(ii) specify 

requirements for testing hybrid engines 

and engines with Rankine cycle waste 

heat recovery. The regulatory text 

includes references for testing ‘‘posttransmission’’ and ‘‘pre-transmission’’ 

hybrid systems in these sections. In a 

pre-transmission hybrid system, the 

energy from both the engine and motor 

is input into the drive shaft prior to the 

transmission. In a post-transmission 

hybrid system, the engine energy is 

input into the drive shaft prior to the 

transmission, but the motor energy is 

input into the drive shaft after the 

transmission. Since post-transmission 

hybrid systems are incompatible with 

engine testing, the agencies have 

decided to remove the reference to posttransmissions systems in the hybrid 

engine test requirements in 40 CFR part 

1036 and 49 CFR part 535. 40 CFR 

1037.525, 40 CFR 1037.550, 40 CFR 

1037.615, and 49 CFR 535.7(e)(1)(i) 

include requirements for testing posttransmission hybrids using a vehicle 

test. The agencies anticipate that there 

will be no impact on manufacturers by 

the deletion of this text, since the 

vehicle test procedures set out in the 

regulation specify how to test posttransmission systems. 

Specifically, 40 CFR 1037.525, 40 CFR 

1037.550, 40 CFR 1037.615, and 49 CFR 

535.7(e)(1)(i) describe or reference the 

procedure to be used for testing hybrid 

systems with and without power takeoff (PTO) devices on a vehicle test. Both 

pre- and post-transmission hybrid 

systems can use, and be tested with and 

without, PTO devices on a whole 

vehicle test. The current rule text states 

that manufacturers can test posttransmission hybrid systems on a whole 

vehicle test procedure to quantify CO2

and fuel consumption improvements 

resulting with and without PTO 

equipment, but inadvertently excludes 

pre-transmission hybrid systems. 

Therefore, agencies are amending the 

language to allow these pretransmission hybrid systems with and 

without PTO to be tested on the vehicle 

test procedures in 40 CFR 1037.525, 40 

CFR 1037.550, and 49 CFR 

535.7(e)(1)(i). The agencies believe this 

is a non-controversial amendment that 

will allow the existing vehicle test 

procedure to appropriately apply to 

existing hybrid systems. 

(2) Advanced Technology Improvement 

Factor 

40 CFR 1037.615 and 49 CFR 

535.7(e)(1)(i) describe the procedure for 

measuring CO2 and fuel consumption 

improvements from vehicles with 

hybrid and other advanced technologies 

(such as Rankine engines, electric 

vehicles and fuel cell vehicles), in order 

to generate advanced technology 

credits.8 40 CFR 1037.615 specifies how 

manufacturers can measure the 

effectiveness of the advanced system by 

chassis-testing a vehicle equipped with 

the advanced system and an equivalent 

conventional vehicle using the test 

procedures in 40 CFR part 1037, subpart 

F. 

The effectiveness of the advanced 

system is calculated by measuring the 

CO2 output from chassis tests of the 

vehicle with the advanced system and 

an equivalent conventional vehicle, 

thereby obtaining the relative marginal 

improvement between the two vehicles 

(the ‘‘improvement factor’’). The 

‘‘benefit’’ associated with the advanced 

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36374 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

9See 49 CFR 523.7. 

10See 40 CFR 1037.150(l). 

11NHTSA. Memorandum to Docket NHTSA– 

2012–0152. November 2012. 

system is then calculated by multiplying 

the Greenhouse Gas Emissions Model 

(GEM) result for the vehicle with 

advanced technology by the 

dimensionless improvement factor. The 

benefit is then converted to advanced 

technology credits for the model year 

production volume of the vehicle 

subfamily with the advanced 

technology. 

The final rule specified the procedure 

for applying the improvement factor in 

simulating a chassis test with a posttransmission hybrid system for A to B 

testing (40 CFR 1037.550) across 

multiple vehicle configurations having 

the same advanced technology. 

However, the regulations for developing 

the improvement factor using the 

chassis test procedures (40 CFR 

1037.615 and 49 CFR 

535.7(e)(1)(i)(A)(3)), did not allow the 

improvement factor to be applied to 

multiple vehicle configurations having 

the same advanced technology. The 

agencies are, therefore, amending the 

regulatory text that describes the 

measurement of advanced technology 

improvement to include this optional 

specification as well (in effect, carrying 

over the specification from 40 CFR 

1037.550 to 40 CFR 1037.615 and 49 

CFR 535.7(e)(1)(i)(A)(3)). The hybrid 

and advanced technology improvement 

factor can now be applied to multiple 

vehicle configurations using the same 

technology, as long as the value used for 

other configurations ‘‘represents the 

vehicle configuration with the smallest 

potential reduction in greenhouse gas 

emissions as a result of the hybrid 

capability’’ and is consistent with good 

engineering judgement. The agencies 

believe that no one will object to these 

changes. 

The agencies are therefore revising 40 

CFR 1037.615 and 49 CFR 535.7(e)(1)(i) 

to allow manufacturers, if they wish, to 

generate advanced technology credits 

from multiple heavy-duty vehicle 

configurations within a vehicle family 

group by testing a single vehicle of that 

group, provided the vehicle tested has 

the smallest potential reduction in fuel 

consumption of the vehicles with 

advanced technology capability. The 

agencies anticipate that this change may 

reduce testing and reporting costs for 

manufacturers while still allowing 

flexibility in choosing to test additional 

configurations within the family group. 

By limiting the use of this testing option 

to vehicles with the smallest potential 

reduction in emissions (or fuel 

consumption), fuel efficiency gains and 

emission reductions will not be 

compromised. Therefore, the agencies 

do not expect this change to be 

controversial. 

(3) Optional Certification for Up to Class 

6 Spark-Ignition Engine Vehicles 

Heavy-duty pickup trucks and vans 

are pickup trucks and vans with a gross 

vehicle weight rating between 8,501 

pounds and 14,000 pounds (Class 2b 

through 3 vehicles) manufactured as 

complete vehicles by a single or final 

stage manufacturer or manufactured as 

incomplete vehicles as designated by a 

manufacturer. Under the GHG rules and 

fuel efficiency rules, these vehicles are 

certified on a chassis dynamometer test, 

as opposed to the GEM simulation tool 

used to certify the vocational and tractor 

categories. NHTSA’s current regulations 

allow Classes 4 and 5 spark-ignition 

vehicles the option of certifying on a 

chassis dynamometer test and to comply 

with heavy-duty pickup truck and van 

standards instead of vocational 

standards, as those vehicles may have 

more similar characteristics to Class 2b– 

3 pickups or vans than they do with 

other vocational vehicles in their class.9

At the time of the final rule, NHTSA 

was unaware of any higher class spark 

ignition vehicles that would be similarly 

appropriate to test on a chassis 

dynamometer. EPA’s current regulations 

allow spark-ignition vehicles of all 

classes the option of certifying on a 

chassis dynamometer test and to the 

standards in 40 CFR 1037.104.10

This amendment will align the 

regulatory texts by closing the current 

gap in vehicle classes eligible for 

NHTSA’s and EPA’s optional 

certification provisions. The agencies 

are aware of several Class 4 and 5 

vehicles that could benefit from the 

optional certification path but now have 

identified one spark-ignition Class 6 

vehicle for which the chassis 

dynamometer test would be appropriate. 

This vehicle is available in complete 

and cab-complete configurations. 

NHTSA has performed an analysis that 

supports that allowing this testing 

option up to and including Class 6 

vehicles will reduce testing burden 

without resulting in a credit windfall or 

otherwise affecting the stringency of the 

standards.11 As the agencies are not 

aware of any spark-ignition vehicles 

above Class 6, we believe it is 

appropriate to limit this option to 

Classes 6 and below. Therefore, the 

agencies anticipate that this alignment 

will be non-controversial. 

The agencies are therefore allowing 

manufacturers of complete or cabcomplete vehicles up to and including 

Class 6 vehicles that have spark-ignition 

engines the option of certifying using 

the chassis dynamometer test 

procedures and to the standards of 40 

CFR 1037.104. The agencies are revising 

the requirements in 40 CFR 1037.104, 

40 CFR 1037.150, 49 CFR 523.7, and 49 

CFR 535.5(a)(6) to reflect this alignment 

of provisions. 

(4) Reporting for Heavy-Duty Pickup 

Truck and Van Manufacturers 

For model years 2013 and later, 

heavy-duty pickup truck and van (PUV) 

(i.e., Class 2b–3) manufacturers 

complying with NHTSA’s voluntary and 

mandatory standards are required to 

submit two different reports after the 

end of the model year (49 CFR 535.8(d) 

and (e)). Manufacturers must submit an 

end-of-the-year-report (EOY report), 

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. Manufacturers must 

also submit a final report within 270 

days after the end of the given model 

year and no later than October 1 of the 

next calendar year. Both EOY and final 

reports contain the same information, 

and are used by the agencies to review 

a manufacturer’s final compliance data 

and to identify which manufacturers 

have a credit surplus or deficit for the 

given model year. Thus, NHTSA’s final 

rule regulatory text requires that both a 

final and an EOY report be submitted 

from all heavy-duty PUV manufacturers. 

EPA requires one final report from the 

heavy-duty PUV manufacturers, 

specified in 40 CFR 86.1865–12(l)(2). 

This final report must be submitted no 

later than May 1 of the calendar year 

following the given model year. 

The final rule preamble discussed the 

agencies’ intent to streamline final 

reports submitted to the agencies, 

consolidating the multiple and separate 

reports as proposed in the NPRM (see 76 

FR 57262). However, the agencies 

believed, and still believe that requiring 

two reports from manufacturers that 

have not previously been subject to fuel 

efficiency regulations will assist in 

assessing manufacturer compliance and 

will assist in the identification of any 

potential issues. That reasoning does 

not apply to PUV manufacturers, who 

are already regulated under the lightduty CAFE program and have wellestablished reporting systems. Further, 

for this joint national program, the 

agencies intended that PUV 

manufacturers would send single 

combined reports to satisfy the 

compliance needs of both agencies. The 

additional report presently required by 

the NHTSA regulation is inconsistent 

with this goal. 

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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36375 

12Hicks, M. and A. Cullen. Memorandum to 

Dockets EPA–HQ–OAR–2012–0102 and NHTSA– 

2012–0152. Heavy-Duty Engine and Vehicle 

Greenhouse Gas Emissions and Fuel Consumption 

Regulatory Changes. May 2013. 

NHTSA is therefore combining the 

EOY and final reporting requirements 

for heavy-duty pickup truck and van 

manufacturers in 49 CFR 535.8(d) and 

(e). In parallel with the existing EPA 

regulations, those manufacturers will 

now only be required to submit a single 

final report. To supplement the existing 

reference to the provisions outlining 

this requirement, EPA and NHTSA are 

also adding another more specific 

reference in the regulations to clarify the 

alignment of the submission date for 

these reports with that of EOY reports 

from other heavy-duty vehicle and 

engine manufacturers (90 days after the 

end of the given model year and no later 

than April 1 of the next calendar year). 

This amendment will harmonize 

reporting requirements between the two 

agencies and reduce the compliance 

burden for manufacturers, without 

affecting the overall content reported, or 

the agencies’ ability to effectively assess 

compliance. As such, the agencies do 

not expect that it will be controversial. 

(5) Configuration and Subconfiguration 

Definitions 

The existing EPA and NHTSA 

regulations contain definitions for 

‘‘configuration’’ and 

‘‘subconfiguration,’’ which define how 

to group vehicles by similar 

characteristics within a test group when 

conducting testing to determine CO2

emissions and fuel consumption rates 

for heavy-duty pickup trucks and vans. 

In each agency’s regulations, 

‘‘configuration’’ means a 

subclassification within a test group that 

is based on engine code, transmission 

type and gear ratios, final drive ratio 

and other parameters that EPA 

designates. Likewise, 

‘‘subconfiguration’’ means a unique 

combination within a vehicle 

configuration of equivalent test weight, 

road-load horsepower, and any other 

operational characteristics or parameters 

that EPA determines may significantly 

affect CO2 emissions within a vehicle 

configuration. 

The agencies believe the current 

definitions could be specified further 

according to established principles to 

prevent any ambiguity for 

manufacturers in conducting testing for 

heavy-duty pickup trucks and vans. The 

terms ‘‘transmission type’’ and ‘‘engine 

code’’ can be further defined in the 

definition for ‘‘configuration,’’ to reflect 

common industry understanding of the 

terms. In addition, the term ‘‘equivalent 

test weight’’ could be further defined in 

the definition for ‘‘subconfiguration’’ to 

carryover the existing definition 

included in 40 CFR 1037.104(d)(11). 

Therefore, the agencies are adding these 

further details to clarify these terms in 

40 CFR 1037.104(d)(12) and 49 CFR 

535.4. As both additions provide clarity 

to existing concepts, and do not 

introduce new meanings to the terms, 

the agencies believe they are noncontroversial. 

(6) Vocational Tractor Vehicle Families 

In the final rule, the regulatory text in 

40 CFR 1037.230 related to vocational 

tractor families is unintentionally 

ambiguous, and is inconsistent with, the 

preamble and other regulatory text. In 

the vocational tractor provisions of 40 

CFR 1037.630(b)(2), EPA requires that 

tractors ‘‘reclassified under this 

provision must be certified as a separate 

vehicle family. However, they remain 

part of the vocational regulatory 

subcategory and averaging set that 

applies to their weight class.’’ Although 

40 CFR 1037.630(b)(2) requires two 

vocational tractor families dependent on 

the GVWR of the vehicle, the text in 40 

CFR 1037.230(a)(1) implies only a single 

vocational tractor family default. This 

inconsistency is the result of an 

oversight when provisions were added 

allowing tractors to certify as vocational 

vehicles, and it is inconsistent with the 

way vehicle families are treated 

throughout the program, where they are 

split by weight class (76 FR at 57240, 

September 15, 2011). Therefore, EPA is 

revising 40 CFR 1037.230(a)(1) to be 

consistent with 40 CFR 1037.630(b)(2) 

by splitting the vocational vehicles 

families into two groups, those above 

33,000 pounds GVWR and those above 

26,000 pounds GVWR and at or below 

33,000 pounds GVWR. 

NHTSA is adding the same 

distinction in 49 CFR 535.5(c) to clarify 

how fuel consumption credits are 

generated and apply to averaging sets 

for these vehicles. As these 

clarifications align with the existing 

treatment of all vehicle families and the 

premise of the division of vehicle 

families, the agencies believe they are 

non-controversial. 

C. NHTSA Regulatory Action on HD 

Fuel Efficiency Technical Amendments 

NHTSA seeks to correct technical 

errors, clarify requirements, and 

incorporate requirements that were 

inadvertently omitted in 49 CFR part 

535 in order to align with EPA’s current 

regulatory text. As the following 

changes merely parallel existing EPA 

requirements that were more consistent 

with the intent of the final rule and will 

not result in additional requirements for 

manufacturers or in a change in the 

stringency of the standards, they are not 

anticipated to be controversial or to 

result in adverse comment. 

A side-by-side comparison of the 

original and amended regulatory text is 

provided in a memorandum to the 

dockets for this rulemaking.12

(1) Secondary Manufacturers 

Both fuel consumption and 

greenhouse gas emission standards 

apply to the manufacturer holding the 

EPA certificate of conformity. In the 

EPA regulatory text (40 CFR 1037.620(a) 

and (b)), a primary manufacturer has the 

option to transfer an uncertified 

incomplete tractor or vocational vehicle 

to a secondary manufacturer to be 

completed and sold in the United States 

so long as that secondary manufacturer 

has substantial control over the final 

design and completes assembly of the 

emission controls (ensuring that the 

engine and vehicle will conform to 

regulations in their final configurations). 

By agreement with the primary 

manufacturer, the secondary 

manufacturer may finish the assembly 

of the emission control systems of a 

partially complete vehicle and perform 

vehicle testing. In that case, the second 

stage manufacturer would apply for the 

vehicle’s EPA certificate of conformity. 

The current NHTSA regulations do 

not specify the process by which a 

secondary stage manufacturer may 

become an EPA certificate holder, and 

thus subject to both greenhouse gas 

emissions and fuel consumption 

standards. Thus, if someone unfamiliar 

with the EPA process were to read the 

NHTSA regulations alone, it would not 

be clear how a secondary stage 

manufacturer could become subject to 

fuel consumption standards. Therefore, 

NHTSA is modifying its provisions in 

49 CFR 535.3(b) and (c) to more clearly 

include secondary stage manufacturers 

meeting the EPA requirements in 40 

CFR 1037.620 as subject to the fuel 

consumption standards. NHTSA is also 

modifying its provisions in 49 CFR 

535.7(a) to clarify that either the 

primary or secondary manufacturer can 

generate fuel consumption credits for 

over-compliance and may use one or 

more of the program flexibilities in 

gaining credits. 

These clarifications will align 

NHTSA’s regulations with EPA’s. As the 

clarifications simplify the path a reader 

must take to understand how an entity 

becomes subject to the fuel 

consumption standards, and do not 

actually change the application of the 

standards, NHTSA does not expect this 

to be controversial. 

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36376 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

13NHTSA and EPA flexibilities include: 

Averaging, banking, and trading (ABT) provisions; 

early credits; advanced technology credits 

(including hybrid powertrains); and innovative 

technology credit provisions. 

(2) Credit Holders 

In the preamble to the final rule, the 

agencies stated that the NHTSA and 

EPA flexibility provisions (‘‘ABT’’ 

programs) 13 are essentially identical in 

structure and function (see 76 FR 

57127). The agencies also stated that 

they intended to allow a manufacturer 

to offset any credit shortfalls within an 

averaging set, by using ‘‘banked’’ or 

‘‘traded’’ credits received from another 

manufacturer. The EPA regulations (40 

CFR 1036.701(e) and (h)) allow 

manufacturers to trade emissions credits 

generated from engines or vehicles to 

any purchaser other than manufacturers 

so long as those parties retire the 

credits. Likewise, trading is defined as 

‘‘the exchange of emission credits 

between manufacturers, or the transfer 

of credits to another party to retire 

them’’ (40 CFR 1036.720(a) and 

1037.720(a)). The current NHTSA 

regulations are silent on how parties 

other than manufacturers can acquire 

and trade credits. 

NHTSA believes that the existing EPA 

ABT provisions help to maximize the 

benefits of the standards achieved 

during this critical initial phase of the 

program by providing the means for 

manufacturers to take full advantage of 

the program flexibility to trade earned 

credits, while providing a path for this 

flexibility to result in continued gains in 

fuel efficiency. In addition, NHTSA did 

not envision differences between the 

EPA and NHTSA ABT programs. 

Therefore, NHTSA is adding 

requirements to 49 CFR part 535 that 

parallel EPA’s treatment of nonmanufacturers in the ABT program. 

NHTSA is adding a definition in 49 CFR 

535.4 for ‘‘credit holder’’ and adding 

requirements in 49 CFR 535.7 to clarify 

the limitations for non-manufacturers to 

obtain and trade fuel consumption 

credits. These additions will 

complement the EPA requirements in 40 

CFR 1036.701(h), 1036.720(a), 

1037.701(e), and 1037.720(a), and we do 

not expect anyone to object to this 

provision. 

(3) Voluntary Compliance 

Manufacturers can voluntarily comply 

early with both the NHTSA and EPA 

standards for model year (MY) 2013, 

and with the NHTSA standards through 

MY 2015 (EPA’s standards are 

mandatory beginning in MY 2014). For 

MYs 2013 and 2014, EPA provides 

additional flexibilities and 

specifications in 40 CFR 1037.150 to 

incentivize early compliance. NHTSA 

inadvertently omitted parallel 

provisions for its early compliance 

program. As described in the final rule 

preamble, manufacturers entering the 

early compliance program for NHTSA 

must do so ‘‘exactly as implemented’’ 

under EPA’s early compliance program 

(see 76 FR 57245). The purpose of the 

NHTSA early compliance provisions is 

to provide incentives for near-term fuel 

efficiency gains by allowing 

manufacturers to comply with both 

programs simultaneously in MYs 2013 

and 2014. 

EPA provisions in 40 CFR 

1037.150(a)(2) limit the number of EPA 

credits a manufacturer can generate for 

heavy-duty pickup trucks and vans 

produced after MY 2013 begins. EPA 

specifies that for any test groups used to 

certify these vehicles produced after the 

start of the model year, a manufacturer 

may only generate credits for those 

vehicles that are produced after the last 

test groups has received an approved 

certificate by EPA. Therefore, for 

example, if a manufacturer produces 

three test groups in an averaging set and 

it receives certificates for those test 

groups on January 4, 2013, March 15, 

2013, and April 24, 2013, it may not 

generate credits for its MY 2013 

production for any of the vehicles that 

are produced before April 24, 2013. The 

same limitation is provided for 

production tractors and vocational 

vehicles (40 CFR 1037.150(a)(1)). 

NHTSA is proposing to incorporate 

these provisions into its voluntary 

compliance sections (49 CFR 

535.5(a)(4), (b)(2) and (c)(2)) in order to 

ensure harmonization between the two 

programs. Otherwise, manufacturers 

could gain credits under the NHTSA 

program that would be excluded by the 

EPA program. 

For MY 2013, EPA provisions allow 

manufacturers to certify their U.S.- 

directed production tractors and 

vocational vehicles within each 

regulatory subcategory separately 

(instead of certifying all the vehicles 

within a regulatory category) as an 

incentive for early introduction (40 CFR 

1037.150(a)(1)). For example, a 

manufacturer could certify only its 

medium heavy-duty vocational vehicles 

in MY 2013 and then certify all of its 

three vocational vehicle subcategories 

starting in MY 2014. NHTSA provided 

parallel provisions in 49 CFR 535.5(b)(2) 

and (c)(2), but the current regulatory 

text would require manufacturers to 

comply with all the vehicles within 

each regulatory category. Thus, in this 

example, the vocational vehicle 

manufacturer would have to certify all 

of its U.S.-directed production vehicles 

in MY 2013 for NHTSA whereas it 

would only have to certify its medium 

heavy-duty vocational vehicles for EPA. 

The mismatch in certified vehicles 

under the EPA and NHTSA programs 

for MY 2013 could cause manufacturers 

to opt to comply with the EPA standards 

early, but to not opt into the NHTSA 

program or could disadvantage a 

manufacturer under the NHTSA 

program compared to the EPA program. 

NHTSA is therefore correcting 49 CFR 

535.5(b)(2) and (c)(2) to include the 

same provisions for regulatory subcategory compliance for MY 2013 as 

EPA. 

The definition of a model year in the 

final rule allows manufacturers to 

include vehicles in a given model year 

that are manufactured after January 1 of 

the previous calendar year for which the 

model year is named through December 

31 of the corresponding year (see 40 

CFR 1037.801 and 49 CFR 535.4). 

However, compliance with EPA 

standards for model year 2014 is 

optional for vehicles manufactured prior 

to January 1, 2014 (40 CFR 1037.150(g)). 

Thus, a manufacturer may choose to 

certify only vehicles produced from 

January 1, 2014 through December 31, 

2014 and exclude model year 2014 

vehicles produced between January 1, 

2013 and December 31, 2013. NHTSA’s 

requirements for the voluntary MY 2014 

do not allow manufacturers this same 

flexibility. Instead, manufacturers 

choosing to comply with the NHTSA 

program in MY 2014 must certify 

vehicles produced over the entire 

standard model year period. NHTSA 

intended that provisions for voluntary 

early compliance with its program align 

with the EPA program. NHTSA believes 

that the MY 2014 EPA provisions are 

appropriate for that model year, the first 

mandatory year under the EPA program, 

particularly because they would lead to 

the least confusion among 

manufacturers. Aligning NHTSA’s 

program provisions with EPA’s will 

encourage manufactures to voluntarily 

opt in to the NHTSA program and 

enable manufacturers to generate similar 

credit balances in both programs, as 

intended. Therefore, NHTSA is 

modifying 49 CFR 535.5(a)(4), (b)(2) and 

(c)(2) to incorporate those provisions. 

As manufacturers typically lock their 

production plans anywhere from 18 to 

24 months in advance of the production 

model year, they may not be able to 

bring early MY 2014 production 

vehicles into compliance with the 

NHTSA program absent this change. 

As these corrections will align the 

NHTSA early compliance program to 

the specifications provided in the EPA 

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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36377 

program, and thus also align the NHTSA 

program with the intent of 

harmonization expressed in the 

preamble, NHTSA does not expect these 

corrections to be controversial. 

(4) Reporting 

The final rule preamble specifies that 

a manufacturer not participating in the 

ABT program is required to provide an 

end-of-the-year (EOY) report after each 

model year. The EPA regulations (40 

CFR 1036.250 and 1037.250) require 

this report to be submitted within 90 

days after the calendar year ends. The 

NHTSA regulations require two reports 

for non-ABT participating 

manufacturers, an EOY report 

containing preliminary final estimates 

and a final report containing the final 

data. For this joint national program, the 

agencies developed their reporting 

requirements with the intent for 

manufacturers to send single combined 

reports to satisfy the compliance 

requirements of both agencies. The 

differences in the agencies’ reporting 

requirements do not support this goal. 

Further, requiring non-ABT 

manufacturers to submit two reports 

would create unnecessary burden, as a 

single report would enable NHTSA to 

assess compliance for non-ABT 

manufacturers. Therefore, NHTSA is 

restructuring its reporting provisions (49 

CFR 535.8(d) and (e)) to align with 

EPA’s by clarifying that non-ABT 

participating manufacturers are only 

required to provide one report with final 

data 90 days after the model year. 

For vehicle and engine manufacturers 

participating in the ABT program, EPA 

and NHTSA require EOY reports to be 

submitted with preliminary final 

estimates of compliance information 90 

days after the model year ends. NHTSA 

is adding a clarification in 49 CFR 

535.8(d) to specify that these EOY 

reports for participating manufacturers 

must contain preliminary data and for 

non-participating manufacturers must 

contain finalized data. Likewise, as 

discussed in Section I.B.4, clarifications 

will also be added for heavy-duty 

pickup truck and van manufacturers 

specifying that the EOY reports must 

contain finalized data. 

NHTSA is also clarifying 

requirements for submitting information 

on exempted vehicles for both 

participating and non-participating 

manufacturers. In the final rule, NHTSA 

regulations require manufacturers to 

provide a plan describing the vehicles 

exempted as off-road vehicles in the 

EOY and final reports. EPA regulations 

require the plan be submitted only in 

the EOY report with finalized data. 

NHTSA is modifying its regulations to 

align with the EPA provisions and will 

require information on exempted 

vehicles to be submitted only with the 

EOY report with finalized data. This 

single reporting will provide NHTSA 

with the information needed to assess 

compliance. 

As these clarifications are consistent 

with the agencies’ intent as expressed in 

the final rule preamble (to consolidate 

duplicative reporting requirements), and 

the change will reduce reporting 

burdens without sacrificing necessary 

compliance data, NHTSA does not 

believe that this alignment with be 

controversial. 

(5) Vocational Tractor Compliance 

The final rule allows tractors meeting 

the definition of vocational tractors in 

49 CFR 523.2 to comply with 

requirements for heavy-duty vocational 

vehicles. However, if a manufacturer is 

found not to have applied this 

allowance in good faith in its 

application for certification, it may not 

use this compliance path (it must 

comply instead with the tractor 

standards). EPA provides the complete 

requirements for vocational tractors in 

40 CFR 1037.630. However, the NHTSA 

regulations mistakenly reference EPA’s 

vocational tractor provisions as 40 CFR 

1037.610 (the regulation for ‘‘vehicles 

with innovative technologies’’) instead 

of 40 CFR 1037.630. Therefore, NHTSA 

is correcting the reference specified in 

49 CFR 535.5(c)(5). 

(6) Fuel Consumption Calculations and 

Credit Equations 

NHTSA is making a minor technical 

revision to address rounding 

inconsistencies when converting CO2

values to equivalent fuel consumption 

values in the Greenhouse Gas Emissions 

Model (GEM) simulation tool. The GEM 

is programmed to use manufacturerprovided vehicle specifications to 

derive the CO2 emissions (in grams CO2

per ton-mile) and fuel consumption 

performance (in gallons per 1000 tonmiles) of vehicles. Both the CO2

emissions and fuel consumption values 

are calculated and rounded to eight 

decimal places and then round once 

again in accordance with each agency’s 

regulations. For NHTSA, the equivalent 

fuel consumption value derived by the 

GEM must be rounded to the nearest 0.1 

gallons per 1000 ton-mile (49 CFR 

535.6(b)(3)). For EPA, the CO2 emissions 

value must be rounded to the nearest 1 

gram of CO2 per ton-mile (40 CFR 

1037.701). The rounding can cause 

differences in equivalency between the 

performance results in the EPA and 

NHTSA programs. For compliance, 

vehicles are grouped into subfamilies 

based upon the GEM-derived CO2

emissions value for the EPA program 

and the GEM-derived fuel consumption 

value for the NHTSA program. 

Rounding can cause differences in how 

vehicles are grouped in the EPA and 

NHTSA programs, creating compliance 

accounting differences that the agencies 

did not intend. The agencies intended 

that the same vehicles would be 

grouped in each subfamily for the EPA 

program and the NHTSA program. To 

address the rounding inconsistencies, 

NHTSA is amending 49 CFR 535.6(b)(3) 

to clarify that equivalent fuel 

consumption values in the GEM must be 

derived from the CO2 value rounded to 

the nearest whole number and 

expressed to the nearest 0.1 gallons per 

1000 ton-mile. This change will ensure 

the same vehicles will be grouped into 

a single subfamily for compliance under 

both programs. Hence, the agencies are 

releasing a revised version of GEM, 

GEM v2.0.1, with this rulemaking which 

incorporates this change in conversion 

methodology. 

There is also a typographical error in 

the equations that are used to determine 

fuel consumption credits in the NHTSA 

regulations (49 CFR 535.7). In the 

existing equations, fuel consumption 

credits for heavy-duty vehicles and 

engines are calculated by multiplying by 

a factor of 102 for heavy-duty pickup 

trucks and vans and for engines, and by 

a factor of 103 for vocational vehicles 

and tractors. However, the correct 

factors for multiplication should be 

10¥2 for heavy-duty pickup trucks and 

vans and for engines and 10¥3 for 

vocational vehicle and tractors. These 

factors ensure the proper conversion 

and alignment between EPA and 

NHTSA calculated credits. Therefore, 

NHTSA is amending its fuel 

consumption credit equations in 49 CFR 

535.7(b)(9), (c)(11) and (d)(11) to reflect 

the correct factors for multiplication and 

does not anticipate any objections to 

this. 

(7) Definitions for Incomplete and 

Complete Heavy-Duty Pickup Trucks 

and Vans 

In the final rule, EPA included 

separate definitions to describe 

complete and incomplete vehicles in the 

vocational vehicle and tractor regulatory 

subcategories and for vehicles in the 

heavy-duty pickup truck and van 

subcategory. NHTSA included the same 

definitions for incomplete and complete 

vocational vehicle and tractors in its 

regulations but omitted the ones for 

pickup trucks and vans. Therefore, 

NHTSA is adding a reference to the EPA 

definitions for complete and incomplete 

pickup trucks and vans in 49 CFR part 

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36378 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

14Hicks, M. and A. Cullen. Memorandum to 

Dockets EPA–HQ–OAR–2012–0102 and NHTSA– 

2012–0152. Heavy-Duty Engine and Vehicle 

Greenhouse Gas Emissions and Fuel Consumption 

Regulatory Changes. May 2013. 

15The basis for the lifetime mileage assumption 

for heavy-duty tractors is discussed in the 

Regulatory Impact Analysis for the Final Rule on 

page 2–69. Available in Docket # EPA–HQ–OAR– 

2010–0162–3634. 

523. NHTSA believes these changes are 

non-controversial as they will simply 

help to clarify characteristics in the 

construction of complete and 

incomplete heavy-duty pickup trucks 

and vans already existing in EPA’s 

regulations. 

(8) Off-Road Exclusion Petitioning 

Process 

EPA and NHTSA requirements 

specify that heavy-duty off-road 

vehicles meeting the criteria in 40 CFR 

1037.631 and 49 CFR 535.3(g) are 

exempted without request from vehicle 

standards, and manufacturers with offroad vehicles not meeting the 

enumerated criteria may petition for 

exemption by describing how and why 

their vehicles should qualify for 

exclusion (49 CFR 535.8(h)(6)(ii)). While 

this voluntary process is already 

described in this provision, NHTSA 

believes that manufacturers would 

benefit from additional language 

highlighting timing considerations 

should they plan to rely upon such a 

petition. While a manufacturer may 

submit a petition at any time, NHTSA 

recommends that they be submitted 

early enough in advance of the model 

year to ensure that a determination can 

be made by the agencies, and should the 

vehicles fail to be excluded, the 

manufacturer has sufficient time to 

submit and obtain approved certificates 

of conformity from EPA required prior 

to first commercial sale. Therefore, 

NHTSA is adding this recommendation 

to the existing provision for off-road 

exemptions in 49 CFR 535.8(a). As this 

amendment merely highlights existing 

timing considerations, and does not 

change any aspect of the process or 

requirements, NHTSA believes it will be 

non-controversial. 

D. EPA Regulatory Action on HD GHG 

Amendments 

EPA is amending 40 CFR parts 86, 

1036, 1037, 1065, and 1066 to correct 

typographical errors, clarify test 

procedures and certification procedures, 

and correct the regulations to make 

them consistent with the intent 

expressed in the preamble to the final 

rules (see 76 FR 57106). If EPA receives 

adverse comment on a distinct EPA 

provision in this subsection, then EPA 

will publish a timely withdrawal in the 

Federal Register indicating which 

provisions EPA is withdrawing. The 

provisions that are not withdrawn will 

become effective on the date set out in 

the DATES section of this action. EPA 

would address all public comments in 

a subsequent final rule based on the 

EPA-proposed rule accompanying this 

joint direct final rule. 

A comparison of the original and 

amended regulatory text is provided in 

a memorandum to the dockets for this 

rulemaking.14

(1) Regulatory Changes to 40 CFR Part 

1036 

EPA is revising portions of the 

regulations in 40 CFR part 1036, as 

described below. 

• EPA is revising §§ 1036.5, 1036.150, 

and 1036.615 to address typographical 

issues to correct regulatory citations 

within the regulations. 

• EPA is correcting § 1036.150(g)(2) 

and (g)(3) to change the assigned 

additive deterioration factor (DF) for 

nitrous oxide (N2O) and methane (CH4) 

emissions from 0.02 to 0.020 g/hp-hr to 

account for the appropriate number of 

significant digits. 

• EPA is amending § 1036.225 to 

clarify that the CO2 FEL is not required 

on the emission control information 

(ECI) label according to the provisions 

in § 1036.135. 

• EPA is clarifying that the CH4 and 

N2O emission standards apply to all 

testable configurations in § 1036.205. 

• EPA is adding a definition of 

‘‘preliminary approval’’ to § 1036.801. 

(2) Regulatory Changes to 40 CFR Part 

1037 

EPA is also revising portions of the 

regulations in 40 CFR part 1037 to 

correct technical errors and provide 

additional clarity in the regulations. 

• Heavy-Duty Pickup Truck and Van 

Regulations: EPA is amending several 

provisions in §§ 1037.15 and 1037.104 

to specify which parts of 40 CFR part 86 

apply to these vehicles and to 

specifically reference portions of 40 CFR 

part 86 in 40 CFR part 1037. EPA also 

is revising the language in 

§ 1037.150(a)(2) to make it consistent 

with the preamble to the final rule 

which stipulates that the entire heavyduty pickup truck and van fleet must be 

certified to qualify for early credits (see 

76 FR 57245). Also, EPA is clarifying 

how heavy-duty pickup truck and van 

subconfigurations are selected for 

testing in § 1037.104(d)(9)(i) through 

(iii). EPA is also revising 

§ 1037.104(g)(2)(ii), (g)(2)(iv), and (g)(5) 

to clarify the approach for estimating 

analytically derived CO2 emission rates 

(ADCs). 

• Air Conditioning (A/C) Leakage 

Provisions: The MY2017–2025 LightDuty GHG and Fuel Economy Rule 

separated 40 CFR 86.1866 into four 

sections for clarity. The A/C leakage 

section moved to 40 CFR 86.1867–12. 

Thus, EPA is amending § 1037.115 to 

reflect this change. In addition, EPA is 

revising § 1037.115 because the 

procedure for determining the 

hydrofluorocarbon (HFC) leakage rate 

for air conditioning systems with 

alternate refrigerants is already 

addressed in SAE J2727, which is 

incorporated by reference in 40 CFR 

86.1, and therefore does not need to be 

included in § 1037.115. 

• Labeling clarification: EPA is 

clarifying in § 1037.135 that the 

emission control label for the vehicle 

only requires a statement regarding the 

size of the fuel tank for vehicles that 

contain an evaporative canister for 

controlling emissions. 

• Typographical fixes: EPA is 

addressing the typographical errors in 

§ 1037.135 relative to labeling, 

§ 1037.501 related to the trailer 

specification, and § 1037.520 which 

includes a weight reduction 

explanation. 

• EPA is clarifying that the general 

requirements for obtaining a certificate 

of conformity and EPA’s authority to 

perform confirmatory testing on 

vehicles, including the vehicles used to 

determine Falt-aero (see § 1037.201). 

• EPA is revising § 1037.550 to 

change the nomenclature used for the 

vehicle speed variable from S to v to be 

consistent with 40 CFR part 1065. EPA 

is also removing the torque control 

option for testing post-transmission 

hybrid systems because it causes testing 

issues when the vehicle is shifting and 

braking. In addition, removing torque 

control mode from the dynamometer 

control options reduces lab-to-lab 

variability. 

• EPA is clarifying the regulatory text 

in § 1037.620(a)(3) to cover instances 

where the secondary manufacturer who 

would hold the vehicle GHG certificate 

may be a small business that is 

exempted from the GHG regulations. 

• EPA is revising § 1037.660 related 

to the automatic engine shutdown (AES) 

provisions. § 1037.660(c) currently 

allows manufacturers to obtain a 

discounted credit for installing AES 

systems that expire prior to the end of 

the vehicle’s life based on the ratio of 

the set point relative to 1,259,000 

miles.15 EPA is not revising that 

provision, except to change the 

regulatory provision numbering from 

§ 1037.660(c) to § 1037.660(c)(1). 

However, similar to the reasons which 

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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36379 

16Regulatory Impact Analysis: Final Rulemaking 

to Establish Greenhouse Gas Emissions Standards 

and Fuel Efficiency Standards for Medium- and 

Heavy-Duty Engines and Vehicles. August 2011. 

Available in Docket # EPA–HQ–OAR–2010–0162– 

3634. 

supported the development of vehicle 

speed limiter flexibilities, an automatic 

engine shutdown system can be 

developed to alleviate other potential 

concerns that impede its adoption. For 

example, some amount of idling may be 

needed for truckers who experience 

significant ambient temperature 

excursions that would necessitate 

extended idling or for idle reduction 

technologies, such as auxiliary power 

units, that malfunction and necessitate 

extended idling. A remedy to these 

concerns would be to design the AES 

such that it allows for a predetermined 

number of hours per year of idling. EPA 

is adding § 1037.660(c)(2) to 

appropriately quantify the CO2

emissions and fuel consumption of a 

partial AES system by discounting the 

AES input to GEM. EPA is using an 

assumption of 1,800 hours as the annual 

idling time in the calculation, which is 

consistent with the final rule (76 FR 

57154). EPA used 1,800 hours as the 

annual idling time for sleeper cabs 

because it reasonably reflects the 

available range of idling time cited in 

several studies, as discussed in the 

preamble to the final rule and in the 

Final Regulatory Impact Analysis (pages 

2–67 and 2–68).16 The 1,800 hours of 

idling was used in the final rule to 

determine the credit of 5 grams of CO2

per ton-mile for the use of AES systems 

(page 2–68 of the Final Regulatory 

Impact Analysis). EPA is adding a 

provision to § 1037.745. This new 

provision clarifies manufacturers’ 

liability for offsetting debits (or deficit 

credits) after certifying with emissions 

above the standards for three years. We 

want to avoid claims that the statute of 

limitations starts to apply in the first 

year of using debits, since this could 

significantly limit our ability to 

adequately enforce the requirement. We 

have generally adopted this approach in 

other rules that allow debits to be 

carried forward a given number of 

model years and are later offset with 

credits (40 CFR 86.1861–04(e), 86.1864– 

10(o), and 86.1865–12(k)). 

• EPA is adding a definition of 

‘‘preliminary approval’’ to § 1037.801. 

• EPA is revising the ‘‘Regulatory 

Sub-category’’ definitions in § 1037.801 

to match the definition of ‘‘Class’’ in 40 

CFR 1037.801, be consistent with DOT’s 

Gross Vehicle Weight Rating Classes in 

Table II of 49 CFR 565.15, and aggregate 

the heavy-duty pickup truck and van 

sub-category to match the definition in 

49 CFR 535.4. 

(3) 40 CFR Part 1037 Aerodynamic 

Assessment 

A vehicle’s design impacts the 

amount of power that is required to 

move the vehicle down the road. 

Depending on the vehicle speed, two of 

the largest impacts on GHG emissions 

and fuel consumption are aerodynamics 

and tire rolling resistance. As part of the 

Heavy-Duty GHG and Fuel Efficiency 

rule, manufacturers are required to meet 

vehicle-based GHG emissions and fuel 

efficiency standards. Compliance with 

the vehicle standard for combination 

tractors is determined based on a 

vehicle simulation tool called the 

Greenhouse Gas Emissions Model 

(GEM). Various characteristics of the 

vehicle are measured and these 

measurements are used as inputs to the 

model. These characteristics relate to 

key technologies appropriate for this 

subcategory of truck—including 

aerodynamic features, weight 

reductions, tire rolling resistance, the 

presence of idle-reducing technology, 

and vehicle speed limiters. See 

generally 76 FR 57135. 

The aerodynamic drag of a vehicle is 

determined by the vehicle’s coefficient 

of drag (Cd), frontal area, air density and 

speed. As noted in the Heavy-Duty GHG 

and Fuel Efficiency rule, quantifying 

truck aerodynamics as an input to the 

GEM presents technical challenges 

because of the proliferation of vehicle 

configurations, the lack of a clearly 

preferable standardized test method, 

and subtle variations in measured 

aerodynamic values among various test 

procedures. Id. at 76 FR 57148–57151. 

Class 7 and 8 tractor aerodynamics are 

currently developed by manufacturers 

using a range of techniques, including 

wind tunnel testing, computational 

fluid dynamics, and constant speed 

tests. 

We developed a broad approach that 

allows manufacturers to use these 

multiple different test procedures to 

demonstrate aerodynamic performance 

of the tractor fleet given that no single 

test procedure is superior in all aspects 

to other approaches. Allowing 

manufacturers to use multiple test 

procedures and modeling coupled with 

good engineering judgment to determine 

aerodynamic performance is consistent 

with the current approach used in 

determining representative road load 

forces for light-duty vehicle testing (40 

CFR 86.129–00(e)(1)). However, we also 

recognize the need for consistency and 

a level playing field in evaluating 

aerodynamic performance. 

The agencies developed a bin 

structure to group aerodynamic test 

results for the proposed rulemaking, and 

adjusted the method used to determine 

the bins in the final rule. The agencies, 

while working with industry, developed 

an approach for the final rulemaking 

which identified a reference 

aerodynamic test method and a 

procedure to align results from other 

aerodynamic test procedures with the 

reference method, an enhanced 

coastdown procedure. Manufacturers 

will be able to use any aerodynamic 

evaluation method in demonstrating a 

vehicle’s aerodynamic performance as 

long as the method is aligned to the 

reference method. 

As discussed in the final rules, the 

agencies adopted aerodynamic 

technology bins which divide the wide 

spectrum of tractor aerodynamics into 

five bins (i.e., categories) for high roof 

tractors (see 76 FR 57149). The first high 

roof category, Bin I, is designed to 

represent tractor bodies that prioritize 

appearance or special duty capabilities 

over aerodynamics. These Bin I trucks 

incorporate few, if any, aerodynamic 

features and may have several features 

that detract from aerodynamics, such as 

bug deflectors, custom sunshades, Bpillar exhaust stacks, and others. The 

second high roof aerodynamics category 

is Bin II, which roughly represents the 

aerodynamic performance of the average 

new tractor sold today. The agencies 

developed this bin to incorporate 

conventional tractors that capitalize on 

a generally aerodynamic shape and 

avoid classic features which increase 

drag. High roof tractors within Bin III 

build on the basic aerodynamics of Bin 

II tractors with added components to 

reduce drag in the most significant areas 

on the tractor, such as integral roof 

fairings, side extending gap reducers, 

fuel tank fairings, and streamlined grill/ 

hood/mirrors/bumpers, similar to 

SmartWay trucks today. The Bin IV 

aerodynamic category for high roof 

tractors builds upon the Bin III tractor 

body with additional aerodynamic 

treatments such as underbody airflow 

treatment, down exhaust, and lowered 

ride height, among other technologies. 

And finally, Bin V tractors incorporate 

advanced technologies that are currently 

in the prototype stage of development, 

such as advanced gap reduction, 

rearview cameras to replace mirrors, 

wheel system streamlining, and 

advanced body designs. 

The agencies developed the 

aerodynamic drag area, CdA, bin values 

for the tractor categories based on 

coastdown testing conducted by EPA 

using the enhanced coastdown test 

procedures adopted for the final HD 

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36380 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

17U.S. EPA and NHTSA. Final Rulemaking to 

Establish Greenhouse Gas Emissions Standards and 

Fuel Efficiency Standards for Medium- and Heavy- Duty Engines and Vehicles—Regulatory Impact 

Analysis. August 2011. Page 2–48. 

GHG and Fuel Efficiency rulemaking. 

EPA tested high roof sleeper cab 

combination tractors from each of the 

manufacturers in order to represent the 

aerodynamic performance that we 

would expect from a Bin III vehicle. The 

test results used for the HD GHG and 

Fuel Efficiency final rule are included 

in Table II–1 below.17

TABLE II–1—TRACTOR CdA VALUES USED IN HD GHG FINAL RULE

Truck Expected bin Source CdA (m2) 

Class 8 High Roof Sleeper Cab 

B–3JM2–2H–TXCR ................................. Bin III ....................................................... EPA Test Program .................................. 6.4 

B–3JM2–4N–TXCR ................................. Bin III–IV .................................................. EPA Test Program .................................. 5.7 

B–3JM2–2K–TXCR ................................. Bin III ....................................................... EPA Test Program .................................. 6.3 

C–3JM2–1B–TXCR ................................. Bin III ....................................................... EPA Test Program .................................. 6.2 

C–3JE2–1F–TXCR .................................. Bin II–III ................................................... EPA Test Program .................................. 6.7 

As part of EPA’s quality checks to the 

enhanced coastdown test program, EPA 

supplied OEMs with the coastdown test 

data for their individual trucks. Through 

post-rulemaking work with one OEM, 

EPA found an error in the data 

attributable to a testing contractor. The 

contractor had entered the same 

coastdown run twice into the dataset 

provided to EPA for one of the trucks 

tested (one of 20 repeat runs was 

entered twice). As a result the truck 

appeared to have a CdA value of 5.7, 

rather than its actual value of 6.6. As 

such, the data that should have been 

used to establish the aerodynamic bins 

for the high roof sleeper cabs are listed 

in Table II–2. 

TABLE II–2—TRACTOR CdA VALUES USED IN THIS DFR 

Truck Expected bin Source CdA (m2) 

Class 8 High Roof Sleeper Cab 

B–3JM2–2H–TXCR ................................. Bin III ....................................................... EPA Test Program .................................. 6.4 

B–3JM2–4N–TXCR ................................. Bin III ....................................................... EPA Test Program .................................. 6.6 

B–3JM2–2K–TXCR ................................. Bin III ....................................................... EPA Test Program .................................. 6.3 

C–3JM2–1B–TXCR ................................. Bin III–IV .................................................. EPA Test Program .................................. 6.2 

C–3JE2–1F–TXCR .................................. Bin II–III ................................................... EPA Test Program .................................. 6.7 

Since the coastdown test is an input 

into the aerodynamic bins, EPA is 

correcting the CdA range for the affected 

bin levels. The adjustment to the ranges 

will allow Bin III, which represents a 

SmartWay truck, to still mean exactly 

what was intended in the HD GHG and 

Fuel Efficiency final rule. The Bins IV 

and V adjustments will require the same 

level of improvement we expected in 

the HD GHG and Fuel Efficiency final 

rule. This amendment is a correction, so 

will not change the standards or the 

costs or projected emissions reductions. 

The HD GHG and Fuel Efficiency 

rulemaking estimates of technology 

costs and the resulting aerodynamic 

efficiency improvements were made 

separately from the test procedure 

normalization reflected in the bin tables. 

Those cost and technical feasibility 

assessments set the absolute values of 

the steps in the table, where the testing 

results of the five tractors in Table II– 

2 set the range of Bin III against which 

the rest of the aerodynamic bins are 

defined. Since EPA is not changing 

either the technical descriptions of the 

bins or the estimates of the aerodynamic 

loss or benefits in moving between bins 

in the table, EPA is estimating no 

change in HD GHG and Fuel Efficiency 

final rulemaking costs or benefits. EPA 

is also not changing the input into GEM 

related to each aerodynamic bin; 

therefore, this change has no impact on 

the GHG or on fuel consumption 

standards. 

EPA is making the adjustments shown 

in Table II–3 to correct the technical 

error in the coastdown data used in the 

HD GHG and Fuel Efficiency final rule. 

Manufacturers will use these corrected 

aerodynamic bin levels in their end of 

year reports for all 2013 MY and later 

tractors. 

TABLE II–3—REVISED TABLE IN

§ 1037.520(b) 

High-Roof Sleeper Cabs 

If your measured CDA (m2) 

is . . . 

Then your Bin 

Level is . . . 

Then your 

CD input 

is . . . 

≥ 7.6 .............. Bin I ............... 0.75 

6.8–7.5 .......... Bin II .............. 0.68 

6.3–6.7 .......... Bin III ............. 0.60 

5.6–6.2 .......... Bin IV ............ 0.52 

≤5.5 ............... Bin V ............. 0.47 

(4) Regulatory Changes to 40 CFR Parts 

1065 and 1066 

EPA is restoring text to 

§ 1065.610(c)(3)(i) through (iii) which 

was inadvertently removed in the final 

rule adopting standards for Category 3 

marine diesel engines (75 FR 22896, 

April 30, 2010). This text was most 

recently published in the final rule 

adopting standards for locomotive 

engines and Category 1 and Category 2 

marine diesel engines (73 FR 37325, 

June 30, 2008). 

EPA is also revising portions of the 

regulations in 40 CFR part 1066 to 

clarify test procedures. Specifically, 

§ 1066.310(b) is revised to clarify the 

coastdown process and simplify the 

anemometer calibration process. 

(5) Regulatory Changes to 40 CFR Part 

85 

EPA is revising § 85.525 to separate 

the light-duty and heavy-duty fuel 

conversion regulations to provide clarity 

regarding the applicability of the fuel 

conversion regulations to heavy-duty 

pickup trucks and vans. 

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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36381 

(6) Regulatory Changes to 40 CFR Part 

86 

EPA is also revising portions of the 

regulations in 40 CFR part 86. First, EPA 

is revising § 86.010–18(q) to provide a 

mechanism for engine manufacturers to 

identify engines which are only suitable 

for installation in hybrid applications 

due to the on-board diagnostics (OBD) 

calibration. Manufacturers who opt to 

produce a unique set of engines for 

hybrid applications will include a 

compliance statement on the ECI label 

that states ‘‘for use in hybrid 

applications only.’’ 

Second, EPA is revising portions of 

§ 86.1865–12 to clarify the provisions 

that specifically apply to the heavy-duty 

pickup trucks and vans subject to 40 

CFR 1037.104. 

Third, EPA is removing §§ 86.007– 

23(n) and 86.1844–01(j), which describe 

how to report CO2, N2O, and CH4

emissions. There is no need or benefit 

for manufacturers to submit greenhouse 

gas emission data in the model years 

before emission standards apply for 

those pollutants. 

(7) Summary of Heavy-Duty GHG 

Amendments 

EPA does not expect that these minor 

revisions to 40 CFR parts 85, 86, 1036, 

1037, 1065, and 1066 will have any 

adverse cost impact to the 

manufacturers. There are no testing 

costs associated with the revisions. 

There is no environmental impact 

associated with this regulatory action 

because this rulemaking does not 

change the heavy-duty engine and 

vehicle greenhouse gas emission 

standards that manufacturers have to 

meet; it simply makes some minor 

amendments to the regulations. 

II. EPA Technical Amendments 

A. Replacement Engines 

In 1996, EPA adopted a provision 

allowing manufacturers in limited 

circumstances to produce new, exempt 

engines for replacing failed engines (61 

FR 58102, November 12, 1996). With 

this approach, manufacturers have been 

able to make new, exempt engines in 

cases where engines certified to current 

standards do not have the physical or 

performance characteristics needed to 

power the equipment with the old 

engine. Without this provision, some 

equipment owners would have been 

forced to prematurely scrap otherwise 

working equipment (sometimes worth 

millions of dollars), because no engine 

meeting current emission standards 

could be adapted for installation in the 

space occupied by the original engine. 

EPA later added language to the 

replacement engine exemption to 

address the complications related to 

producing partially complete engines 

for replacement purposes, and to 

address the need to produce and sell 

replacement engines such that they 

would be available to operators with a 

critical need to avoid extended 

downtime in the case of engine failure 

(73 FR 59034, October 8, 2008). This 

expanded approach allowed 

manufacturers to sell a limited number 

of new, exempt replacement engines 

without taking the steps that would 

otherwise be required to document the 

need for the exemption and to arrange 

for the proper disposition of the old 

engine. Along with this expanded 

approach, EPA added circumvention 

language to describe the overall purpose 

of the replacement engine exemption in 

an attempt to prevent manufacturers 

and operators from using exempted 

engines in ways that were unnecessary 

and/or detrimental to the environment. 

In particular, this text states that the 

provisions § 1068.240 are ‘‘intended to 

allow for replacement of engines that 

fail prematurely . . .’’ This language has 

been interpreted to mean that 

replacement engines may be used for no 

other purpose. 

Since then, EPA has found that the 

circumvention language has had some 

unintended consequences. For example, 

California has adopted requirements for 

operators to reduce emissions from inuse equipment, which has led to a 

desire to install new replacement 

engines that are cleaner than the old 

engines. It is often the case that it is 

infeasible or impractical to install 

replacement engines certified to current 

standards, but suitable replacement 

engines designed to meet an 

intermediate level of emission standards 

are available. The circumvention 

language may prevent operators in 

California from achieving overall 

emission reductions that would result 

from upgrading their existing equipment 

with cleaner engines in this manner. It 

may also be the case that an engine will 

simply wear out, rather than 

experiencing premature failure, well 

before the equipment in which it is 

installed is at the end of its life. Under 

the current regulation, an operator 

under these circumstances would need 

to install a new engine certified to 

current standards, or find a used engine, 

to keep the equipment operating. 

EPA continues to believe that new, 

exempt replacement engines should 

only be used in cases where a currently 

certified engine cannot practically be 

installed to power the old equipment. 

EPA believes the regulatory language 

without our description of intent to 

prevent circumvention serves this 

purpose without the unintended 

consequences described above. EPA is 

therefore removing the circumvention 

provisions from the regulations in 

§ 1068.240. EPA expects manufacturers 

and operators following the regulations 

to continue to use the exemption 

provisions appropriately and not for the 

purpose of circumventing the emission 

standards. EPA is adding language to 

explicitly limit this provision to 

equipment that has been in service 25 

years or less (at the point of installation) 

so that manufacturers and operators do 

not use this provision to keep in 

operation older dirtier, equipment 

beyond the normal lifetime of the 

equipment, by continually using new 

engines to replace old engines. EPA has 

adopted this same restriction for 

stationary engines under 40 CFR 

60.4210(i), except that the maximum 

equipment age is 15 years. EPA will 

continue to monitor compliance with 

the exemption provisions and will 

consider any appropriate changes to the 

regulation in the future to ensure that 

the exemption is properly used toward 

this purpose. This 25-year limit does not 

apply for marine diesel engines, since 

those engines are subject to separate 

replacement engine provisions. 

The tracked option specified in 

§ 1068.240(b) also includes an 

additional step to qualify for the 

replacement engine exemption for 

equipment not experiencing premature 

engine failure. In particular, 

manufacturers would need to make a 

determination that the replacement 

engine is designed with the greatest 

degree of emission control that is 

available for the particular application. 

For example, if the engine being 

replaced was built before the Tier 1 

standards started to apply and engines 

of that size are currently subject to Tier 

2 standards, the manufacturer would 

need to also consider whether it 

produces any Tier 1 or Tier 2 engines 

with the appropriate physical and 

performance characteristics for 

replacing the old engine. If the 

manufacturer produces a Tier 1 engine 

with the appropriate physical and 

performance characteristics, engines 

emitting at levels above the Tier 1 

standards do not qualify for an 

exemption. The requirement to use the 

cleanest available engine fits with the 

intent of facilitating voluntary incentive 

programs involving replacement engine 

upgrades toward the goal of reducing 

emissions from in-use equipment, but 

without imposing a requirement that 

would involve new technology 

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36382 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

development or impractical equipment 

design changes. This provision has 

already been in place for marine diesel 

engines in § 1042.615. In the case of 

equipment experiencing premature 

engine failure, we will continue to 

apply the simpler requirement that the 

replacement engine must meet emission 

standards that are the same as or better 

than the standards that apply to the old 

engine. 

EPA is also adjusting the provisions 

related to the disposition of the old 

engine in § 1068.240(b). To be reintroduced into U.S. commerce, the old 

engine must either meet current 

emission standards or qualify for an 

exemption as if it were a new engine. 

The old engine could be re-used as a 

replacement engine for a different piece 

of equipment. Under this approach, an 

engine made from all new parts and an 

engine built with a used engine block 

and any mix of new or used additional 

parts would be treated the same way. 

For example, the recycled replacement 

engine would be subject to all the 

demonstrations and documentation 

requirements of § 1068.240(b), and it 

would count toward the allowance to 

produce a limited number of 

replacement engines under 

§ 1068.240(c). For engines that are not 

re-introduced into U.S. commerce, 

manufacturers must destroy the old 

engine or confirm that it has been 

destroyed. These changes will further 

address the concern expressed in the 

circumvention language described 

above; in particular, EPA believes it is 

necessary to prevent the possibility of 

these old engines being installed in new 

equipment. 

EPA is also adding some clarification 

to the regulations to address questions 

that have arisen, as well as making the 

following changes: 

• Revising the labeling requirements 

to account for the possibility of using a 

new replacement engine to replace a 

previously exempted replacement 

engine. To the extent that the revised 

label statement differs from that 

specified by California ARB, we would 

expect to approve an adjusted statement 

that allows for a single, 50-state label 

under § 1068.201(c). 

• Adjusting the reporting deadline for 

untracked replacement engines under 

§ 1068.240(c). This change would allow 

manufacturers some time after the end 

of the calendar year to make the 

determinations and to take the required 

steps to fulfill the tracking requirements 

for replacement engines under 

§ 1068.240(b). Any engines for which 

these steps and determinations are 

incomplete by the deadline for the 

report would need to be counted as 

untracked replacement engines. Further, 

to account for prevailing practices and 

typical timelines for replacement 

engines, we are moving back the 

deadline for this report from February 

15 to March 31. 

• Revising § 1068.240(c)(1) to specify 

that manufacturers may base sales limits 

for the untracked option on total U.S. 

production of certified and exempted 

engines together (including stationary 

engines). 

• Adding language to clarify that 

§ 1068.240(e) applies only for engines 

produced under a current, valid 

certificate. An exemption under 

§ 1068.240(b) or (c) would be required to 

produce an engine that is identical to 

one that is no longer certified, even if 

the engine was formerly certified to 

standards (or a Family Emission Limits) 

that are at least as stringent as the 

current standards. 

• Clarifying that the provisions in 

§ 1068.240(d) related to partially 

complete engines also apply for 

‘‘current-tier’’ replacement engines 

exempted under § 1068.240(e). 

• Adding a statement to § 1042.615 

for marine diesel engines to clarify our 

pre-determination that certified Tier 4 

engines do not have the appropriate 

physical and performance 

characteristics for replacing older 

engines in marine vessels. This policy 

was established in our June 30, 2008 

final rule (see 73 FR 37157). 

In addition, we are revising § 1068.1 

to correct two errors regarding the 

applicability of part 1068. First, we are 

restoring highway motorcycles to the 

list of categories that are not subject to 

part 1068. This was added, but then 

inadvertently removed, when we were 

completing two parallel rulemakings. 

Second, we are adding a reference to 40 

CFR part 85 to identify how part 1068 

applies in certain circumstances for 

heavy-duty highway engines. These 

changes are intended to clarify and 

reinforce existing requirements without 

modifying the underlying programs in 

any way. 

B. Nonroad Diesel Engine Technical 

Hardship Program 

EPA is amending the nonroad diesel 

engine technical hardship program to 

facilitate EPA granting exemptions to 

address certain hardship circumstances 

that were not considered when the 

original 2004 final rule was published. 

EPA adopted Tier 4 standards for 

nonroad diesel engines under 40 CFR 

part 1039 in 2004 (69 FR 38958, June 29, 

2004). To meet these standards, engine 

manufacturers are pursuing 

development of advanced technologies, 

including new approaches for exhaust 

aftertreatment. Equipment 

manufacturers will need to modify their 

equipment designs to accommodate 

these new engine technologies and the 

corresponding changes to engine 

operating parameters (such as operating 

temperatures and heat rejection rates). 

To provide flexibility for equipment 

manufacturers in their efforts to respond 

to these engine design changes, the Tier 

4 standards included the Transition 

Program for Equipment Manufacturers. 

Flexibilities allowed under this program 

include delaying compliance with 

small-volume equipment models for 

several years or using allowances in the 

first year to manage the transition to the 

Tier 4 engines. 

The Transition Program for 

Equipment Manufacturers is intended to 

allow nonroad equipment 

manufacturers wide discretion to 

manage their product development 

timeline. Equipment manufacturers may 

comply either based on a percent of 

their production (generally for highvolume manufacturers, as described in 

§ 1039.625(b)(1)), or based on a 

maximum number of exempted pieces 

of equipment (generally for low-volume 

manufacturers, as described in 

§ 1039.625(b)(2)). At the same time, the 

regulations include at § 1039.625(m) an 

acknowledgement that equipment 

manufacturers might face a wide range 

of circumstances, including cases where 

engine manufacturers might be late in 

providing compliant engines to 

nonintegrated equipment manufacturers 

such that the specified allowances are 

insufficient to avoid a disruption in the 

equipment manufacturer’s production 

schedule. The technical hardship 

provision at § 1039.625(m) allows EPA 

to make a judgment that an equipment 

manufacturer that buys engines from 

another company, through no fault of its 

own, needs additional allowances to 

manage the transition to Tier 4 

products. The regulation specifies a 

maximum allowance of 150 percent of 

a manufacturer’s annual production 

(relative to § 1039.625(b)(1)), or a total of 

1,100 allowances (relative to 

§ 1039.625(b)(2)). The regulation also 

provides economic hardship provisions 

under § 1068.255; however, eligibility 

depends on manufacturers showing that 

their solvency is in jeopardy without 

relief. Economic hardship therefore 

serves as a flexibility provision of last 

resort. 

As the compliance dates for the Tier 

4 standards approach, equipment 

manufacturers have described several 

scenarios where the technical hardship 

provisions are too restrictive to address 

their circumstances. For example, 

engine manufacturers have in some 

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cases delayed delivery of Tier 4 engines 

until six or even twelve months after the 

Tier 4 standards start to apply, which 

could force equipment manufacturers to 

use up all their allowances under 

§ 1039.625(b) in the first year of the new 

standards. The maximum number of 

allowances under § 1039.625(m) would 

cover a good portion of the second year 

of the Tier 4 standards, but we have 

heard how this too is inadequate to 

allow equipment manufacturers to 

respond to late deliveries of compliant 

engines. 

As another example where additional 

flexibility may be warranted, corporate 

acquisitions can cause equipment 

manufacturers to find themselves 

disadvantaged with respect to 

allowances because two companies have 

become a single company for purposes 

of regulatory compliance. Taken to an 

extreme, the combined company could 

exceed its allowances under 

§ 1039.625(b) on the day of the merger 

because each of the separate companies 

may have used allowances that, taken 

together, exceed the specified 

thresholds for a single company. The 

combined company may apply for 

technical hardship under § 1039.625(m), 

but we have seen that this too can 

provide insufficient relief for equipment 

manufacturers trying to incorporate Tier 

4 engines into their equipment. 

In these cases, the maximum 

allowable relief under § 1039.625(m) is 

insufficient to allow equipment 

manufacturers to transition to meeting 

Tier 4 requirements without disrupting 

their ability to continue producing their 

equipment models. There have also 

been cases where a company would 

meet the criteria to qualify for 

consideration for technical hardship 

under § 1039.625(m) except that the 

regulation disallows technical hardship 

relief for all engines above 560 kW and 

provides only limited relief for engines 

above 37 kW. The regulation also 

provides only limited relief for 

companies that are not small businesses. 

In these cases, no additional relief is 

available under § 1039.625(m), which 

again leaves equipment manufacturers 

unable to continue producing their 

equipment models. We are amending 

the Transition Program for Equipment 

Manufacturers in three ways to address 

these concerns. First, we are removing 

the qualifying criteria so that any 

equipment manufacturer may apply for 

technical hardship relief under 

§ 1039.625(m) for any size engine, rather 

than limiting the technical hardship 

relief to small businesses and to engines 

within certain power categories. We 

believe it is more appropriate to rely on 

our discretion to evaluate each hardship 

application on its merits rather than 

automatically precluding hardship relief 

based on certain characteristics of the 

engine or the company. If hardship 

relief is not appropriate because of an 

engine’s power rating or a company’s 

size or financial standing, we will not 

approve the request. 

Second, we are removing the 

maximum number of allowances we can 

approve under § 1039.625(m), for both 

percent-of-production (currently 150 

percent) and small-volume allowances 

(currently 1,100 units), and we are 

removing the deadlines for exercising 

those additional allowances. We have 

learned that the specified restrictions on 

hardship allowances are in some cases 

too limiting to address the legitimate 

concerns raised by equipment 

manufacturers. Again, we believe it is 

most appropriate to resolve issues of 

extent of relief once an equipment 

manufacturer has demonstrated that 

relief is appropriate, rather than limiting 

it a priori. We will not approve a greater 

number of technical hardship 

allowances than is needed to meet the 

established objectives. Finally, for 

additional small-volume allowances 

under § 1039.625(b)(2) and (m)(4), we 

may waive the annual limits on the 

number of allowances instead of or in 

addition to granting additional hardship 

allowances. There may be times when 

manufacturers only need approval to 

use up their regular allowances at a 

faster pace than the regulations 

currently allow. 

An additional concern has come to 

our attention as it relates to marine 

engines. Vessel manufacturers may use 

certified land-based engines in marine 

vessels as long as the engines are not 

modified from their certified 

configuration (see § 1042.605). We 

adopted this provision with the 

understanding that, given the additional 

technological challenges of operating 

engines in a marine environment, 

marine standards are set to be no more 

stringent than land-based standards and 

are often set at a level somewhat less 

stringent than the standards that apply 

to the land-based engines. Vessel 

manufacturers have used these 

provisions extensively to access a wide 

range of engine models that are not 

available in a certified marine 

configuration. The part 1039 Tier 4 

standards have made this more 

complicated. The Tier 4 standards for 

most sizes of land-based engines are 

much more stringent than the Tier 3 

marine standards, which will continue 

to apply for many Category 1 engines. 

Engine distributors supplying product 

to vessel manufacturers have reported 

that several engine models will not be 

available to them in the transition 

period. In that way, vessel 

manufacturers are much like nonroad 

equipment manufacturers, except that 

the vessels are not actually required to 

use engines meeting the more stringent 

standards now or, for engines below 600 

kW, in the foreseeable future. It would 

be a natural solution to use allowances 

under § 1039.625, but the regulations 

specifically require that vessel 

manufacturers may use only certified 

land-based engines under § 1042.605. 

There is a risk that this gap would 

significantly limit their ability to 

continue producing vessels in the near 

term. We are addressing this by revising 

40 CFR part 1042 to specifically allow 

vessel manufacturers to use allowances 

under § 1039.625 for certain model year 

2013 engines installed in marine 

vessels. This provision does not apply 

for engines at or below 19 kW, since the 

land-based and marine standards for 

those engines are very similar. This 

provision also does not apply for 

engines above 600 kW because the 

dynamic for designing and certifying 

those high-power engines allows for a 

greater expectation that they will be 

certified in a marine configuration. We 

expect no negative environmental 

impact because the engines will be 

meeting the nonroad Tier 3 standards, 

which will continue to be at least as 

stringent as the standards that currently 

apply for marine engines. Since this is 

only a temporary measure, vessel 

manufacturers will either need to use 

Tier 4 land-based engines or find 

certified Tier 3 marine engines starting 

with the 2014 model year. 

There are further minor changes to the 

regulations to clarify some of the 

detailed transition provisions for 

nonroad diesel engines, as follows: 

• Revising § 1039.104(g) to remove 

the limitations on the number of engines 

using the specified alternate FEL caps. 

Manufacturers have pointed out that 

this expanded flexibility would address 

the same concerns as described in this 

section for transitioning to the Tier 4 

standards, but there would be no net 

environmental impact since 

manufacturers would need to produce 

low-emission engines that generate 

emission credits to offset the additional 

credits used by transition engines 

certified to with higher FELs. We are 

also revising the regulation to specify 

that the same Temporary Compliance 

Adjustment Factor is the same whether 

an engine is subject to NOX + NMHC 

standards or NOX-only standards. The 

revision also addresses Tier 3 carry-over 

engines that would need to certify to the 

alternate FEL caps after the Tier 4 final 

standards take effect. 

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• Adding text to § 1039.625(e) to 

clarify that exempted engines may meet 

standards that are more stringent than 

those specified in the regulation. This 

change is intended only to avoid the 

unintended consequence of disallowing 

a manufacturer from making an engine 

that was cleaner than it needed to be. 

Even though these engines are cleaner 

than they need to be under the 

replacement-engine exemption, it is still 

the case that these engines are being 

exempted from the standards that apply 

for certified engines; as such, it would 

be inappropriate for these engines to 

generate emission credits. 

• Clarifying in § 1039.625(e) which 

alternate standards apply to exempted 

engines in cases where there is more 

than one set of standards in a given 

model year. For example, the 

appropriate standards for 19–56 kW 

engines are the Option 1 standards 

specified in § 1039.102, and the 

appropriate standards for bigger engines 

are the phase-out standards specified in 

§ 1039.102. 

• Adjusting the provision for using 

interim Tier 4 engines under 

§ 1039.625(a)(2) to require that 

manufacturers use engines that are 

identical to previously certified engines, 

rather than requiring that the exempt 

engines be certified for the new model 

year. This addresses an administrative 

complication related to certifying 

exempted engines, without changing the 

requirements that apply. 

C. Large SI Fuel Line Permeation 

EPA is amending the required version 

of the SAE procedure for testing large SI 

fuel line permeation. In 2002 we 

adopted evaporative emission standards 

for nonroad spark-ignition engines 

above 19 kW (Large SI engines) (67 FR 

68242, November 8, 2002). This rule 

included a requirement that engines 

meet a permeation control standard, that 

could be demonstrated by using fuel 

lines compliant with SAE J2260, the 

latest version of which had been 

completed in 1996 (see 40 CFR 

1048.105). This SAE standard 

effectively established a level of 

permeation control that had been 

widely used with automotive products. 

In adopting this requirement, we 

expected manufacturers to find ‘‘off-theshelf’’ automotive-grade products for the 

nonroad engines and equipment. 

In 2008, we revised this requirement 

by changing the regulation to reference 

the 2004 version of SAE J2260, which 

had been finalized after the initial 

rulemaking (73 FR 59034, October 8, 

2008). As noted in our proposed rule, 

we understood the purpose and effect of 

the change in the SAE standard to be 

substantive with regard to the 

permeation measurement procedure, but 

not necessarily with regard to the 

stringency of the standard. The revised 

SAE protocol specifies a tighter 

numerical standard, but this 

corresponded to an offsetting change 

from a methanol-based test fuel to an 

ethanol-based test fuel. Switching to 

ethanol improves the representativeness 

of the procedure, and it is widely 

understood that ethanol permeates 

through fuel-system materials less 

aggressively than methanol. It is also 

clear the fuel change would have a nonuniform effect on different fuel-system 

materials, but our overall expectation 

was that fuel lines meeting the 1996 

version of the standard would also meet 

the 2004 version of the standard. 

Following the proposed rule, we 

received no comments either supporting 

or contradicting our understanding that 

updating to the new standard would 

have no significant effect on the 

stringency or practicability of the 

standard. 

Since completing the 2008 

rulemaking, we have received 

information indicating that the revision 

of the regulation to refer to the newer 

version of SAE J2260 was having a 

substantive effect on manufacturers’ 

ability to meet the standard. First, it 

seems that automotive manufacturers 

have moved beyond the SAE J2260 

standard to develop their own 

proprietary methods of sourcing fuel 

lines from their suppliers. Since the 

evaporative emission standards for 

automotive products involve wholevehicle measurements in an enclosure, 

manufacturers have the option to pursue 

different strategies of balancing 

emissions from fuel-line permeation 

with emissions from other sources. In 

effect, there is no longer a level of 

emission control or a type of fuel line 

that we can characterize simply as 

‘‘automotive-grade’’. It is also the case 

that motor vehicle manufacturers buy 

fuel lines in large quantities of preformed parts, rather than buying large 

spools of fuel line that can be cut and 

formed for a particular application. 

Second, it appears that fuel line 

suppliers have a very limited ability or 

willingness to supply fuel lines that 

they will describe as meeting the 2004 

version of SAE J2260. It is not clear 

whether this is a result of a difference 

in stringency between the two versions 

of the standard, or merely that fuel-line 

suppliers have moved beyond the SAE 

standard to conform to separate 

specifications from individual 

automotive manufacturers. In any case, 

Large SI equipment is not manufactured 

in sufficient numbers to greatly 

influence the fuel line manufacturers’ 

activities, which has prevented Large SI 

equipment manufacturers from being 

able to find and use fuel lines meeting 

the exact specification in the 

regulations. 

We are addressing this by again 

revising the regulation, this time to 

specify that either the 1996 or 2004 

version of SAE J2260 provides an 

acceptable level of control for producing 

compliant Large SI engines and 

equipment. We do not believe this will 

have a significant effect on the 

stringency of the standard. However, to 

the extent that this modifies the 

stringency of the existing fuel-line 

permeation standards at all, it only 

revises it back to the level of permeation 

control that we adopted originally in 

2002. We note also that the regulations 

from the California Air Resources Board 

continue to rely on the 1996 version of 

SAE J2260. This change therefore allows 

for a unified national approach to fuelline permeation standards. 

D. Small SI Amendments 

Since the first emission standards for 

small spark-ignition (SI) engines 

(< 19kW), EPA and the California ARB 

have required the same basic exhaust 

emission test procedures and durability 

aging requirements. Both agencies have 

accepted exhaust emission test results 

on either agency’s test fuel for purposes 

of certification. This has traditionally 

meant that for small SI engines used in 

either handheld or non-handheld 

equipment, EPA would accept exhaust 

emission test results based on either its 

Indolene test fuel (specified at 40 CFR 

1065.710) or on California test fuel 

(specified at section 2262 in the 

California Code of Regulations (13 CCR 

2262)). In 2008, when EPA promulgated 

the current small SI exhaust emission 

standards, the California test fuel, 

commonly referred to as California 

Phase 2 gasoline or CA RFG 2, was a 

seven pound per square inch (psi) Reid 

Vapor Pressure (RVP) gasoline which 

had approximately 11 percent methyl 

tertiary butyl ether (MTBE) as an 

oxygenate additive. This test fuel had 

been used in the California small off 

road emission (SORE) program since 

1995. 

Our 2008 final rule (73 FR 59034, 

October 8, 2008) included provisions 

(see § 1054.145(k)) indicating that EPA 

would not accept carryover exhaust 

emission certification data on CA RFG 

2 after the 2012 model year. However, 

we left open the possibility of 

continuing to accept carryover exhaust 

emission test data on CA RFG 2 subject 

to the provisions of 40 CFR 1065.10, 

1065.12 and 1065.701, which would 

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18See EPA Dear Manufacturer Letter CD–12–17 

(NRSSI), October 29, 2012. 

19EPA already requires a ten percent ethanol 

blend for evaporative emissions testing. 

permit EPA to approve its continued use 

if it does not affect the manufacturers’ 

ability to show that the affected engines 

would comply with all applicable 

emission standards using the fuel 

specified by EPA in 40 CFR 1065.710. 

Manufacturers have recently provided 

emissions data meeting the regulatory 

requirements listed above and EPA has 

permitted the use of CA RFG 2 

(California Phase 2 gasoline) for 

certification for the 2013 model year.18

Recently, California adopted new 

requirements for their gasoline 

certification test fuel for nonroad 

engines. Over the period from 2013– 

2020, manufacturers must transition 

from CA RFG 2 to a gasoline 

certification test fuel that contains 10 

percent ethanol (E10) and has a seven 

psi RVP (commonly referred to as 

California Phase 3 gasoline or CA RFG 

3). This new requirement aligns 

California test fuels with their current 

in-use gasoline. 

Considering this background and 

recent developments, EPA is making 

two changes to its current regulatory 

provisions. First, EPA believes it is 

appropriate to extend its current 

practice of accepting exhaust emission 

test results for small SI engines to 

include CA RFG 3. For the 2013–2019 

model years (inclusive), EPA will accept 

exhaust emission certification data 

generated using CA RFG 3 test fuel. 

Harmonization with California on test 

procedures and test fuel requirements 

for small spark-ignition engines has 

significant value to the engine and 

equipment manufacturers and users of 

those products. It allows for 

development and certification of only 

one engine for a given model or 

application by the manufacturer and 

allows for greater model availability and 

lower overall cost due to 50-state 

production. In addition, E10, which is 

used in CA RFG 3, is common in 

gasoline sold across the U.S. today. 

Therefore, permitting the use of CA RFG 

3 in emissions certification will allow 

test fuel to more closely match the inuse fuel used across the U.S. 

Accounting for the ethanol in the fuel is 

likely to enhance engine emissions inuse durability, because the presence of 

oxygen in the ethanol in the test fuel 

will need to be accommodated in the 

engine calibrations. This will reduce 

engine operating temperatures in-use 

relative to engines calibrated on a test 

fuel without oxygen. 

While EPA is accepting manufacturer 

use of CA RFG 3 for the purposes of 

testing, EPA is not prepared to accept 

use of CA RFG 3 as a fully permissible 

replacement test fuel for Indolene. Test 

data indicate that NMHC+NOX exhaust 

emissions using CA RFG 3 will be 

comparable relative to results on 

Federal certification fuel. However, due 

to the presence of an oxygenate 

(approximately 3 percent) caused by the 

inclusion of E10 in CA RFG 3, tested CO 

emissions will be reduced when an 

engine is tested using CA RFG 3, 

compared to Indolene which includes 

no oxygenates (see 40 CFR 1065.710). 

EPA’s official test fuel is Indolene and 

the level of the CO emission standards 

for small SI engines (see 40 CFR 

1054.103 and 1054.105) is based on the 

use of that fuel. Therefore, EPA cannot 

fully accept test results using CA RFG 

3 as showing compliance with EPA CO 

standards, because CO test emissions 

showing compliance using CA RFG 3 do 

not guarantee that an engine will be able 

to comply with EPA’s CO standard 

using Indolene. 

Therefore, EPA will retain the option 

to conduct any production line, 

confirmatory, and selective enforcement 

audit (SEA) testing on EPA test fuel as 

specified in 40 CFR 1065.710.19

However, as an option for the 

manufacturers, to bring some uniformity 

and certainty to the engine development 

and calibration, emissions testing, and 

emissions durability assessment 

processes, EPA will agree to use CA 

RFG 3 test fuel for any production line, 

confirmatory, and SEA testing if a 

manufacturer(s) agree to meet a lower 

CO emission standard. These values, 

which substantially address the effect of 

oxygenate content on CO emission rates, 

are 549 g/kW-hr for Classes I and II (non 

handheld engines) and 536 g/kW-hr for 

Classes III–V (handheld engines). These 

values are the same as California’s 

current CO emission standards (based 

on the use of CA RFG 2); they are 10– 

33 percent lower (depending on Class) 

than EPA’s CO emission standards (see 

40 CFR 1054.103 and 1054.105) because 

they account for oxygenate content in 

that fuel. This does not represent a 

change in stringency, as the engine 

designs and calibration will not change, 

but CO emissions will decrease due to 

the oxygenate content of the California 

test fuel. This option would be available 

for Class I and II marine generators at a 

CO emission standard of 4.5 g/kW-hr. 

This value was derived based on the 

ratio of the California CO emission 

standards to the Federal emission 

standards for other Class I and II marine 

generators. This option is available on a 

family-by-family basis for all Classes of 

small SI engines. We consider these CO 

emission standards to be interim values 

for purposes of this option only. EPA 

may revise the level of its CO emission 

standard in the future if we propose to 

change the Federal test fuel 

specifications. 

Second, EPA has decided to continue 

accepting exhaust emissions data on CA 

RFG 2 after the 2012 model year (see 40 

CFR 1054.145(k)). Manufacturers have 

provided data for both handheld and 

nonhandheld engines showing 

equivalent exhaust emission levels 

between CA RFG 2 and the gasoline 

specified in 40 CFR 1065.710 

(Indolene). Furthermore, the move to 

CA RFG 3 sets in motion a process to 

eliminate CA RFG 2 certifications in the 

future as would have been required 

under 40 CFR 1054.145(k). Thus, to help 

enable an orderly and cost effective 

transition, EPA believes it is appropriate 

for us to continue to accept exhaust 

emission test data using CA RFG 2 for 

certification through the 2019 model 

year. We will expect engine families 

certified using CA RFG 2 carryover 

exhaust emission data to meet emissions 

standards on both CA RFG 2 and EPA 

certification test fuel as specified in 40 

CFR 1065.710 for any production line, 

SEA, or confirmatory testing. 

Both of these actions apply for 

certification for model years 2013 to 

2019, inclusive. EPA expects to revisit 

these provisions before 2020 to 

determine if they should be extended or 

otherwise modified. The primary EPA 

program using Indolene test fuel and 

meeting the current EPA emission 

standards remains in place for Federal 

certification for 2013 and beyond unless 

and until these provisions are otherwise 

modified. 

We are also taking the opportunity to 

revise the regulatory provision in 

§ 1054.145(c) describing requirements 

related to altitude kits for handheld 

engines. We adopted those 

specifications based on the expectation 

that the Phase 3 exhaust standards were 

unchanged from the Phase 2 exhaust 

standards. As such, the emission 

standards do not apply at altitudes for 

which the manufacturer would need to 

rely on an altitude kit. The regulation 

should therefore be revised to no longer 

refer to the manufacturer relying on an 

altitude kit ‘‘to meet emission 

standards.’’ This change in the 

regulations is not intended to change 

current requirements, but rather simply 

clarifies the proper relationship of the 

altitude kit to the certified 

configuration. 

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36386 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

III. Statutory and Executive Order 

Reviews 

A. Executive Order 12866: Regulatory 

Planning and Review 

Under Executive Order 12866 (58 FR 

51735, October 4, 1993), this action is a 

‘‘significant regulatory action’’ because 

it raises issues that may have a potential 

effect on actions taken or planned by 

another agency. Accordingly, EPA and 

NHTSA submitted this action to the 

Office of Management and Budget 

(OMB) for review under Executive 

Orders 12866 and 13563 (76 FR 3821, 

January 21, 2011) and any changes made 

in response to OMB recommendations 

have been documented in the docket for 

this action. 

This direct final rule merely clarifies 

and corrects existing regulatory 

language. The agencies do not believe 

there will be costs associated with this 

rule because the costs in this program 

were previously accounted for under the 

existing rules (69 FR 38958, June 29, 

2004; 73 FR 59034, October 8, 2008; and 

76 FR 57106, September 15, 2011). This 

rule is not anticipated to create 

additional burdens to the existing 

requirements. As such, a regulatory 

impact evaluation or analysis is 

unnecessary. The agencies also do not 

expect this rule to have substantial 

Congressional or public interest. 

B. Paperwork Reduction Act 

This action does not impose an 

information collection burden under the 

provisions of the Paperwork Reduction 

Act, 44 U.S.C. 3501 et seq. Burden is 

defined at 5 CFR 1320.3(b). The 

information collection requirements to 

ensure compliance with the provisions 

in these rules were covered under ICR 

(2394.02). 

The Office of Management and Budget 

(OMB) has previously approved the 

information collection requirements 

contained in the existing heavy-duty 

greenhouse gas emissions regulations 

under the provisions of the Paperwork 

Reduction Act, 44 U.S.C. 3501 et seq. 

and has assigned OMB Control Number 

2060–0678. The OMB control numbers 

for EPA’s regulations in title 40 of the 

Code of Federal Regulations are listed in 

40 CFR part 9. 

C. Regulatory Flexibility Act 

The Regulatory Flexibility Act (RFA) 

as amended by the Small Business 

Regulatory Enforcement Fairness Act of 

1996 (Pub. L. 104–121, 110 Stat. 857), 

generally requires an agency to prepare 

a regulatory flexibility analysis of any 

rule subject to notice and comment 

rulemaking requirements under the 

Administrative Procedure Act or any 

other statute unless the agency certifies 

that the rule will not have a significant 

economic impact on a substantial 

number of small entities. Small entities 

include small businesses, small 

organizations, and small governmental 

jurisdictions. 

For purposes of assessing the impacts 

of this rule on small entities, small 

entity is defined as: (1) A small business 

as defined by Small Business 

Administration regulations at 13 CFR 

121.201; (2) a small governmental 

jurisdiction that is a government of a 

city, county, town, school district or 

special district with a population of less 

than 50,000; and (3) a small 

organization that is any not-for-profit 

enterprise which is independently 

owned and operated and is not 

dominant in its field. 

After considering the economic 

impacts of these rules on small entities, 

we concluded that this action will not 

have a significant economic impact on 

a substantial number of small entities. 

This direct final rule merely corrects 

and clarifies regulatory provisions. In 

particular, as already adopted in the 

heavy-duty vehicle GHG and fuel 

efficiency rules, EPA and NHTSA are 

deferring standards for manufacturers 

meeting the Small Business 

Administration’s definition of small 

business as described in 13 CFR 

121.201. 

There are no costs and therefore no 

regulatory burden associated with this 

rule. We have therefore concluded that 

this rule will not increase regulatory 

burden for affected small entities. 

D. National Environmental Policy Act 

NHTSA has analyzed this direct final 

rule pursuant to the National 

Environmental Policy Act. This rule 

corrects technical inconsistencies and 

adds minor clarifications to the 

regulatory text of the heavy-duty fuel 

efficiency program, finalized by rule in 

August 2011. NHTSA analyzed the 

environmental impacts of that rule in a 

Final Environmental Impact Statement 

(EIS), issued in July 2011. The direct 

final rule we are issuing today is not 

anticipated to affect the stringency of 

the standards finalized in the August 

2011 rule or to have environmental 

impacts other than those identified and 

analyzed in the Final EIS. Accordingly, 

today’s rule will not have any 

significant impact on the quality of the 

human environment. Because no 

substantial changes have been made to 

the heavy-duty fuel-efficiency program 

that are relevant to environmental 

concerns, and in the absence of 

significant new circumstances or 

information relevant to environmental 

concerns and bearing on this action, 

NHTSA has concluded that no further 

action is required under the National 

Environmental Policy Act. 

E. Unfunded Mandates Reform Act 

This action contains no Federal 

mandates under the provisions of Title 

II of the Unfunded Mandates Reform 

Act of 1995 (UMRA), 2 U.S.C. 1531– 

1538 for State, local, or tribal 

governments or the private sector. The 

action imposes no enforceable duty on 

any State, local or tribal governments or 

the private sector. Therefore, this action 

is not subject to the requirements of 

sections 202 or 205 of the UMRA. 

This action is also not subject to the 

requirements of section 203 of UMRA 

because it contains no regulatory 

requirements that might significantly or 

uniquely affect small governments. 

F. Executive Order 13132: Federalism 

This action does not have federalism 

implications. It will not have substantial 

direct effects on the States, on the 

relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government, as specified in 

Executive Order 13132. This direct final 

rule merely corrects and clarifies 

regulatory provisions. Thus, Executive 

Order 13132 does not apply to this 

action. 

G. Executive Order 13175: Consultation 

and Coordination With Indian Tribal 

Governments 

This action does not have tribal 

implications, as specified in Executive 

Order 13175 (65 FR 67249, November 9, 

2000). This direct final rule merely 

corrects and clarifies regulatory 

provisions. Tribal governments would 

be affected only to the extent they 

purchase and use regulated vehicles. 

Thus, Executive Order 13175 does not 

apply to this action. 

H. Executive Order 13045: Protection of 

Children From Environmental Health 

and Safety Risks 

This action is not subject to Executive 

Order 13045 (62 FR 19885, April 23, 

1997) because it is not economically 

significant as defined in Executive 

Order 12866, and because EPA and 

NHTSA do not believe the 

environmental health or safety risks 

addressed by this action present a 

disproportionate risk to children. This 

direct final rule merely corrects and 

clarifies regulatory provisions. 

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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36387 

I. Executive Order 13211: Actions That 

Significantly Affect Energy Supply, 

Distribution, or Use 

This action is not subject to Executive 

Order 13211 (66 FR 28355, May 22, 

2001), because it is not likely to have a 

significant adverse effect on the supply, 

distribution, or use of energy. This 

direct final rule merely corrects and 

clarifies regulatory provisions. 

J. National Technology Transfer 

Advancement Act 

Section 12(d) of the National 

Technology Transfer and Advancement 

Act of 1995 (‘‘NTTAA’’), Public Law 

104–113, 12(d) (15 U.S.C. 272 note) 

directs EPA to use voluntary consensus 

standards in its regulatory activities 

unless to do so would be inconsistent 

with applicable law or otherwise 

impractical. Voluntary consensus 

standards are technical standards (e.g., 

materials specifications, test methods, 

sampling procedures, and business 

practices) that are developed or adopted 

by voluntary consensus standards 

bodies. NTTAA directs agencies to 

provide Congress, through OMB, 

explanations when the Agency decides 

not to use available and applicable 

voluntary consensus standards. 

This action slightly expands the use 

of voluntary consensus standards by 

adding a reference standard under 40 

CFR 1048.105. Other amendments in 

this direct final rule do not involve 

application of new technical standards. 

However, the underlying regulations in 

many cases rely on voluntary consensus 

standards. For example, EPA and 

NHTSA included several voluntary 

consensus standards in the development 

of the Greenhouse Gas Emissions 

Standards and Fuel Efficiency 

Standards for Medium- and Heavy-Duty 

Engines and Vehicles (76 FR 57106, 

September 15, 2011). 

K. Executive Order 12898: Federal 

Actions To Address Environmental 

Justice in Minority Populations and 

Low-Income Populations 

Executive Order 12898 (59 FR 7629, 

February 16, 1994) establishes federal 

executive policy on environmental 

justice. Its main provision directs 

federal agencies, to the greatest extent 

practicable and permitted by law, to 

make environmental justice part of their 

mission by identifying and addressing, 

as appropriate, disproportionately high 

and adverse human health or 

environmental effects of their programs, 

policies, and activities on minority 

populations and low-income 

populations in the United States. 

EPA and NHTSA have determined 

that this rule will not have 

disproportionately high and adverse 

human health or environmental effects 

on minority or low-income populations 

because it merely corrects provisions for 

manufacturers to use to demonstrate 

compliance of heavy-duty engines and 

vehicles. 

L. Congressional Review Act 

The Congressional Review Act, 5 

U.S.C. 801 et seq., as added by the Small 

Business Regulatory Enforcement 

Fairness Act of 1996, generally provides 

that before a rule may take effect, the 

agency promulgating the rule must 

submit a rule report, which includes a 

copy of the rule, to each House of the 

Congress and to the Comptroller General 

of the United States. EPA and NHTSA 

will submit reports containing this rule 

and other required information to the 

U.S. Senate, the U.S. House of 

Representatives, and the Comptroller 

General of the United States prior to 

publication of the rule in the Federal 

Register. A Major rule cannot take effect 

until 60 days after it is published in the 

Federal Register. This action is not a 

‘‘major rule’’ as defined by 5 U.S.C. 

804(2). This rule will be effective on 

August 16, 2013. 

M. Executive Order 12988 (Civil Justice 

Reform) 

This direct final rule meets applicable 

standards in sections 3(a) and 3(b)(2) of 

Executive Order 12988, Civil Justice 

Reform, to minimize litigation, 

eliminate ambiguity, and reduce 

burden. 

IV. Statutory Authority 

A. EPA 

Statutory authority for the vehicle 

controls is found in Clean Air Act 

section 202(a) (which authorizes 

standards for emissions of pollutants 

from new motor vehicles which 

emissions cause or contribute to air 

pollution which may reasonably be 

anticipated to endanger public health or 

welfare), sections 202(d), 203–209, 216, 

and 301 (42 U.S.C. 7521(a), 7521(d), 

7522, 7523, 7524, 7525, 7541, 7542, 

7543, 7550, and 7601). 

B. NHTSA 

Statutory authority for the fuel 

consumption standards is found in 

section 103 (which authorizes a fuel 

efficiency improvement program, 

designed to achieve the maximum 

feasible improvement to be created for 

commercial medium- and heavy-duty 

on-highway vehicles and work trucks, to 

include appropriate test methods, 

measurement metrics, standards, and 

compliance and enforcement protocols 

that are appropriate, cost-effective and 

technologically feasible) of the Energy 

Independence and Security Act of 2007, 

49 U.S.C. 32902(k). 

List of Subjects 

40 CFR Part 85 

Confidential business information, 

Imports, Labeling, Motor vehicle 

pollution, Reporting and recordkeeping 

requirements, Research, Warranties. 

40 CFR Part 86 

Administrative practice and 

procedure, Confidential business 

information, Labeling, Motor vehicle 

pollution, Reporting and recordkeeping 

requirements. 

40 CFR Part 1036 

Administrative practice and 

procedure, Air pollution control, 

Confidential business information, 

Environmental protection, Labeling, 

Motor vehicle pollution, Reporting and 

recordkeeping requirements, 

Warranties. 

40 CFR Part 1037 

Administrative practice and 

procedure, Air pollution control, 

Confidential business information, 

Environmental protection, Incorporation 

by reference, Labeling, Motor vehicle 

pollution, Reporting and recordkeeping 

requirements, Warranties. 

40 CFR Part 1039 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, Labeling, 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

40 CFR Part 1042 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, Labeling, 

Penalties, Vessels, Reporting and 

recordkeeping requirements, 

Warranties. 

40 CFR Part 1048 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

40 CFR Part 1054 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, Labeling, 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

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40 CFR Part 1065 and 1066 

Administrative practice and 

procedure, Air pollution control, 

Reporting and recordkeeping 

requirements, Research. 

40 CFR Part 1068 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Motor vehicle pollution, 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

49 CFR Parts 523 and 535 

Fuel economy. 

For the reasons set forth in the 

preamble, the Environmental Protection 

Agency is amending title 40, 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 amended by 

revising paragraph (a)(2)(i) introductory 

text and adding paragraph (a)(2)(iii) to 

read as follows: 

§ 85.525 Applicable standards. 

* * * * * 

(a) * * * 

(2) * * * 

(i) Subject to the following exceptions 

and special provisions, compliance with 

light-duty vehicle greenhouse gas 

emission standards is demonstrated by 

complying with the N2O and CH4

standards and provisions set forth in 40 

CFR 86.1818–12(f)(1) and the in-use CO2

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): 

* * * * * 

(iii) Subject to the following 

exceptions and special provisions, 

compliance with greenhouse gas 

emission standards for heavy-duty 

vehicles subject to 40 CFR 1037.104 is 

demonstrated by complying with the 

N2O and CH4 standards and provisions 

set forth in 40 CFR 1037.104 and the inuse CO2 exhaust emission standard set 

forth in 40 CFR 1037.104(b) 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 

alternate standards for N2O and/or CH4, 

as allowed under 40 CFR 1037.104(c) 

you may demonstrate compliance with 

the same alternate standards. 

(B) If you are unable to meet either the 

N2O or CH4 standards and your fuel 

conversion CO2 measured value is lower 

than the in-use CO2 exhaust emission 

standard, you may also convert the 

difference between the in-use CO2

exhaust emission standard and the fuel 

conversion CO2 measured value into 

GHG equivalents of CH4 and/or N2O, 

using 298 g CO2 to represent 1 g N2O, 

and 25 g CO2 to represent 1 g CH4. You 

may then subtract the applicable 

converted values from the fuel 

conversion measured values of CH4 and/ 

or N2O to demonstrate compliance with 

the CH4 and/or N2O standards. 

(C) You may alternatively comply 

with the greenhouse gas emission 

requirements by comparing emissions 

from the vehicle before and after the 

fuel conversion. This comparison must 

be based on FTP test result from the 

emission data vehicle (EDV) 

representing the pre-conversion test 

group. The sum of CO2, CH4, and N2O 

shall be calculated for pre- and postconversion FTP test results, where CH4

and N2O are weighted by their global 

warming potentials of 25 and 298, 

respectively. The post-conversion sum 

of these emissions must be lower than 

the pre-conversion greenhouse gas 

emission result. Calculate CO2

emissions as specified in 40 CFR 

600.113. If we waive N2O measurement 

requirements based on a statement of 

compliance, disregard N2O for all 

measurements and calculations under 

this paragraph (a)(2)(iii)(C). 

* * * * * 

PART 86—CONTROL OF EMISSIONS 

FROM NEW AND IN–USE HIGHWAY 

VEHICLES AND ENGINES 

■ 3. The authority citation for part 86 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

§ 86.007–23 [Amended] 

■ 4. Section 86.007–23 is amended by 

removing paragraph (n). 

■ 5. Section 86.010–18 is amended by 

adding paragraph (q)(6) to read as 

follows: 

§ 86.010–18 On-board Diagnostics for 

engines used in applications greater than 

14,000 pounds GVWR. 

* * * * * 

(q) * * * 

(6) Manufacturers that modify the 

engine’s diagnostic system from the 

approved configuration to be compatible 

with a hybrid powertrain system under 

this paragraph (q) must add the 

following compliance statement to the 

ECI label: ‘‘for use in hybrid 

applications only’’. 

Subpart S—[Amended] 

§ 86.1844–01 [Amended] 

■ 6. Section 86.1844–01 is amended by 

removing paragraph (j). 

■ 7. Section 86.1865–12 is amended by: 

■ a. Revising paragraph (a)(1) 

introductory text and adding paragraph 

(a)(1)(ii): 

■ b. Revising paragraphs (j)(4)(i), (k)(4) 

introductory text, and (k)(8)(iv)(A); and 

■ c. Revising paragraphs (l)(1)(i) 

introductory text, (l)(1)(ii) introductory 

text, and (l)(3). 

The revisions and additions read as 

follows: 

§ 86.1865–12 How to comply with the fleet 

average CO2 standards. 

(a) * * * 

(1) Unless otherwise exempted under 

the provisions of § 86.1801–12(j) or (k), 

CO2 fleet average exhaust emission 

standards of this subpart apply to: 

* * * * * 

(ii) Heavy-duty vehicles subject to 

standards under 40 CFR 1037.104. 

* * * * * 

(j) * * * 

(4) * * * 

(i) Manufacturers must report in their 

annual reports to the Agency that they 

met the relevant corporate average 

standard by showing that their 

production-weighted average CO2

emission levels of passenger 

automobiles, light trucks, and heavyduty vehicles, as applicable, are at or 

below the applicable fleet average 

standards; or 

* * * * * 

(k) * * * 

(4) Credits are earned on the last day 

of the model year. Manufacturers must 

calculate, for a given model year and 

separately for passenger automobiles, 

light trucks, and heavy-duty vehicles (as 

specified in 40 CFR 1037.104), the 

number of credits or debits it has 

generated according to the following 

equation rounded to the nearest 

megagram: 

* * * * * 

(8) * * * 

(iv) * * * 

(A) If a manufacturer ceases 

production of passenger automobiles, 

light trucks, or heavy-duty vehicles 

subject to the standards of 40 CFR 

1037.104, the manufacturer continues to 

be responsible for offsetting any debits 

outstanding within the required time 

period. Any failure to offset the debits 

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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36389 

will be considered a violation of 

paragraph (k)(8)(i) of this section and 

may subject the manufacturer to an 

enforcement action for sale of vehicles 

not covered by a certificate, pursuant to 

paragraphs (k)(8)(ii) and (iii) of this 

section. 

* * * * * 

(l) * * * 

(1) * * * 

(i) Manufacturers producing any lightduty vehicles, light-duty trucks, or 

medium-duty passenger vehicles subject 

to the provisions in this subpart or any 

heavy-duty vehicles subject to the 

standards of 40 CFR 1037.104 must 

establish, maintain, and retain all the 

following information in adequately 

organized records for each model year: 

* * * * * 

(ii) Manufacturers producing any 

passenger automobiles or light trucks 

subject to the provisions in this subpart 

and vehicles subject to the standards of 

40 CFR 1037.104 must establish, 

maintain, and retain all the following 

information in adequately organized 

records for each passenger automobile 

or light truck subject to this subpart: 

* * * * * 

(3) Notice of opportunity for hearing. 

Any voiding of the certificate under 

paragraph (l)(1)(vi) of this section will 

be made only after EPA has offered the 

affected manufacturer an opportunity 

for a hearing conducted in accordance 

with § 86.614 and, if a manufacturer 

requests such a hearing, will be made 

only after an initial decision by the 

Presiding Officer. 

PART 1036—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE HEAVY-DUTY 

HIGHWAY ENGINES 

■ 8. The authority citation for part 1036 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 9. Section 1036.5 is amended by 

revising paragraph (b) to read as follows: 

§ 1036.5 Which engines are excluded from 

this part’s requirements? 

* * * * * 

(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 engines. See 40 CFR part 

1039, 1048, or 1054 for other 

requirements that apply for these 

auxiliary engines. See 40 CFR part 1037 

for requirements that may apply for 

vehicles using these engines. 

* * * * * 

Subpart B—[Amended] 

■ 10. Section 1036.150 is amended by 

revising paragraphs (d), (g)(2), and (g)(3) 

to read as follows: 

§ 1036.150 Interim provisions. 

* * * * * 

(d) Small manufacturers. 

Manufacturers meeting the small 

business criteria specified for ‘‘Gasoline 

Engine and Engine Parts 

Manufacturing’’ or ‘‘Other Engine 

Equipment 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 manufacturer’s 

qualification as a small business under 

13 CFR 121.201. You must label your 

excluded engines with the statement: 

‘‘THIS ENGINE IS EXCLUDED UNDER 

40 CFR 1036.150(d).’’ 

* * * * * 

(g) * * * 

(2) You may use an assigned additive 

DF of 0.020 g/hp-hr for N2O emissions 

from any engine. 

(3) You may use an assigned additive 

DF of 0.020 g/hp-hr for CH4 emissions 

from any engine. 

* * * * * 

Subpart C—[Amended] 

■ 11. Section 1036.205 is amended by 

revising paragraph (e) to read as follows: 

§ 1036.205 What must I include in my 

application? 

* * * * * 

(e) Identify the CO2 FCLs with which 

you are certifying engines in the engine 

family; also identify any FELs that apply 

for CH4 and N2O. The actual U.S.- 

directed production volume of 

configurations that have CO2 emission 

rates at or below the FCL and CH4 and 

N2O emission rates at or below the 

applicable standards or FELs must be at 

least one percent of your actual (not 

projected) U.S.-directed production 

volume for the engine family. Identify 

configurations within the family that 

have emission rates at or below the FCL 

and meet the one percent requirement. 

For example, if your U.S.-directed 

production volume for the engine family 

is 10,583 and the U.S.-directed 

production volume for the tested rating 

is 75 engines, then you can comply with 

this provision by setting your FCL so 

that one more rating with a U.S.- 

directed production volume of at least 

31 engines meets the FCL. Where 

applicable, also identify other testable 

configurations required under 

§ 1036.230(b)(2). 

* * * * * 

■ 12. Section 1036.225 is amended by 

revising paragraph (f) introductory text 

to read as follows: 

§ 1036.225 Amending my application for 

certification. 

* * * * * 

(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 CO2, your FCL for CO2 is 

automatically set to your new FEL 

divided by 1.03. The changed FEL may 

not apply to engines you have already 

introduced into U.S. commerce, except 

as described in this paragraph (f). You 

may ask us to approve a change to your 

FEL in the following cases: 

* * * * * 

Subpart F—[Amended] 

■ 13. Section 1036.525 is amended by 

revising paragraph (a) to read as follows: 

§ 1036.525 Hybrid engines. 

(a) If your engine system includes 

features that recover and store energy 

during engine motoring operation test 

the engine as described in paragraph (d) 

of this section. For purposes of this 

section, features that recover energy 

between the engine and transmission 

are considered related to engine 

motoring. 

* * * * * 

Subpart G—[Amended] 

■ 14. Section 1036.615 is amended by 

revising paragraphs (a) introductory text 

and (c) to read as follows: 

§ 1036.615 Engines with Rankine cycle 

waste heat recovery and hybrid 

powertrains. 

* * * * * 

(a) Pre-transmission hybrid 

powertrains. Test pre-transmission 

hybrid powertrains with the hybrid 

engine test procedures of 40 CFR part 

1065 or with the post-transmission test 

procedures in 40 CFR 1037.550. Pretransmission hybrid powertrains are 

those engine systems that include 

features to recover and store energy 

during engine motoring operation but 

not from the vehicle’s wheels. 

* * * * * 

(c) Calculating credits. Calculate 

credits as specified in subpart H of this 

part. Credits generated from engines and 

powertrains certified under this section 

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36390 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

may be used in other averaging sets as 

described in § 1036.740(c). 

* * * * * 

Subpart I—[Amended] 

■ 15. Section 1036.801 is amended by 

adding a definition for ‘‘Preliminary 

approval’’ in alphabetical order to read 

as follows: 

§ 1036.801 Definitions. 

* * * * * 

Preliminary approval means approval 

granted by an authorized EPA 

representative prior to submission of an 

application for certification, consistent 

with the provisions of § 1036.210. 

* * * * * 

PART 1037—CONTROL OF EMISSIONS 

FROM NEW HEAVY-DUTY MOTOR 

VEHICLES 

■ 16. The authority citation for part 

1037 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 17. Section 1037.15 is amended by 

revising paragraph (c) to read as follows: 

§ 1037.15 Do any other regulation parts 

apply to me? 

* * * * * 

(c) Part 86 of this chapter applies for 

certain vehicles as specified in this part. 

For example, the test procedures and 

most of part 86, subpart S, apply for 

vehicles subject to § 1037.104; including 

the following paragraphs of 40 CFR 

86.1865–12 apply: (a), (h)(1), (h)(3), 

(j)(1), (j)(4), (k)(1) through (4), (k)(7)(ii), 

(k)(8), (k)(9), (l)(1), (l)(2)(i), (l)(2)(ii), 

(l)(2)(vi) through (viii), and (l)(3). 

* * * * * 

Subpart B—[Amended] 

■ 18. Section 1037.104 is amended by 

revising paragraphs (a)(2) introductory 

text, (d)(2), (d)(4), (d)(6), (d)(9), (d)(12), 

(d)(13), and (g) and adding paragraph 

(d)(15) to read as follows: 

§ 1037.104 Exhaust emission standards 

for CO2, CH4, and N2O for heavy-duty 

vehicles at or below 14,000 pounds GVWR. 

* * * * * 

(a) * * * 

(2) Using the appropriate work factor, 

calculate a target value for each vehicle 

subconfiguration (or group of 

subconfigurations allowed under 

paragraph (a)(4) of this section) you 

produce using one of the following 

equations, or the phase-in provisions in 

§ 1037.150(b), rounding to the nearest 

0.1 g/mile: 

* * * * * 

(d) * * * 

(2) The following general credit 

provisions apply: 

(i) Credits you generate under this 

section may be used only to offset credit 

deficits under this section. You may 

bank credits for use in a future model 

year in which your average CO2 level 

exceeds the standard. You may trade 

credits to another manufacturer 

according to 40 CFR 86.1865–12(k)(8). 

Before you bank or trade credits, you 

must apply any available credits to 

offset a deficit if the deadline to offset 

that credit deficit has not yet passed. 

(ii) Vehicles subject to the standards 

of this section are included in a single 

greenhouse gas averaging set separate 

from any averaging set otherwise 

included in 40 CFR part 86. 

(iii) Banked CO2 credits keep their full 

value for five model years after the year 

in which they were generated. Unused 

credits expire at the end of this fifth 

model year. 

* * * * * 

(4) The CO2, N2O, and CH4 standards 

apply for a weighted average of the city 

(55%) and highway (45%) test cycle 

results. Note that this differs from the 

way the criteria pollutant standards 

apply for heavy-duty vehicles. 

* * * * * 

(6) Credits are calculated using the 

useful life value (in miles) in place of 

‘‘vehicle lifetime miles’’ specified in 40 

CFR part 86, subpart S. Calculate a total 

credit or debit balance in a model year 

by adding credits and debits from 40 

CFR 86.1865–12(k)(4), subtracting any 

CO2-equivalent debits for N2O or CH4

calculated according to § 1037.104(c), 

and adding any of the following credits: 

(i) Advanced technology credits 

according to paragraph (d)(7) of this 

section and § 1037.150(i). 

(ii) Innovative technology credits 

according to paragraph (d)(13) of this 

section. 

(iii) Early credits according to 

§ 1037.150(a)(2). 

* * * * * 

(9) Calculate your fleet-average 

emission rate consistent 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 ten 

subconfigurations. If you produce more 

than 100 subconfigurations in a given 

model year, you must test at least 25 

subconfigurations or ten percent of your 

subconfigurations (whichever is less). 

For purposes of this paragraph (d)(9)(i), 

count carryover tests, but do not include 

analytically derived CO2 emission rates, 

data substitutions, or other untested 

allowances. We may approve a lower 

number of tests for manufacturers that 

have limited product offerings or low 

sales volumes. Note that good 

engineering judgment and other 

provisions of this part may require you 

to test more subconfigurations than 

these minimum values. 

(ii) The provisions of paragraph (g) of 

this section specify how you may use 

analytically derived CO2 emission rates. 

(iii) All final production volume at 

the subconfiguration level must be 

represented by test data (real, data 

substituted, or analytical). 

(iv) Perform fleet-average CO2

calculations as described in 40 CFR 

86.1865 and 40 CFR part 600, with the 

following exceptions: 

(A) Use CO2 emissions values for all 

test results, intermediate calculations, 

and fleet average calculations instead of 

the carbon-related exhaust emission 

(CREE) values specified in 40 CFR parts 

86 and 600. 

(B) Perform intermediate CO2

calculations for subconfigurations 

within each configuration using the 

subconfiguration and configuration 

definitions in paragraph (d)(12) of this 

section. 

(C) Perform intermediate CO2

calculations for configurations within 

each test group and transmission type 

(instead of configurations within each 

base level and base levels within each 

model type). Use the configuration 

definition in paragraph (d)(12)(i) of this 

section. 

(D) Do not perform intermediate CO2

calculations for each base level or for 

each model type. Base level and model 

type CO2 calculations are not applicable 

to heavy-duty vehicles subject to 

standards in this section. 

(E) Determine fleet average CO2

emissions for heavy-duty vehicles 

subject to standards in this section as 

described in 40 CFR 600.510–12(j), 

except that the calculations must be 

performed on the basis of test group and 

transmission type (instead of the modeltype basis specified in the light-duty 

vehicle regulations), and the 

calculations for dual fuel, multi-fuel, 

and flexible fuel vehicles must be 

consistent with the provisions of 

paragraph (d)(10)(i) of this section. 

* * * * * 

(12) The following definitions apply 

for the purposes of this section: 

(i) Configuration means a 

subclassification within a test group 

based on engine code, transmission type 

and gear ratios, final drive ratio, and 

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other parameters we designate. 

Transmission type means the basic type 

of the transmission (e.g., automatic, 

manual, automated manual, semiautomatic, or continuously variable) and 

does not include the drive system of the 

vehicle (e.g., front-wheel drive, rearwheel drive, or four-wheel drive). 

Engine code means the combination of 

both ‘‘engine code’’ and ‘‘basic engine’’ 

as defined in 40 CFR 600.002. Note that 

this definition differs from the one in 40 

CFR 86.1803. 

(ii) Subconfiguration means a unique 

combination within a vehicle 

configuration (as defined in this 

paragraph (d)(12)) of equivalent test 

weight, road-load horsepower, and any 

other operational characteristics or 

parameters that we determine may 

significantly affect CO2 emissions 

within a vehicle configuration. Note that 

for vehicles subject to standards of this 

section, equivalent test weight (ETW) is 

based on the ALVW of the vehicle as 

outlined in paragraph (d)(11) of this 

section. 

(iii) The terms ‘‘complete vehicle’’ 

and ‘‘incomplete vehicle’’ have the 

meanings given for ‘‘complete heavyduty vehicle’’ and ‘‘incomplete heavyduty vehicle’’, respectively, in 40 CFR 

86.1803. 

(13) This paragraph (d)(13) applies for 

CO2 reductions resulting from 

technologies that were not in common 

use before 2010 that are not reflected in 

the specified test procedures. We may 

allow you to generate emission credits 

consistent with the provisions of 40 CFR 

86.1869–12(c) and (d). You do not need 

to provide justification for not using the 

5-cycle methodology. 

* * * * * 

(15) You must submit a final report 

within 90 days after the end of the 

model year. Unless we specify 

otherwise, include applicable 

information identified in 40 CFR 

86.1865–12(l), 40 CFR 600.512, and 49 

CFR 535.8(e). The final report must 

include at least the following 

information: 

(i) Model year. 

(ii) Applicable fleet-average CO2

standard. 

(iii) Calculated fleet-average CO2

value and all the values required to 

calculate the CO2 value. 

(iv) Number of credits or debits 

incurred and all values required to 

calculate those values. 

(v) Resulting balance of credits or 

debits. 

(vi) N2O emissions. 

(vii) CH4 emissions. 

(viii) HFC leakage score. 

* * * * * 

(g) Analytically derived CO2 emission 

rates (ADCs). This paragraph (g) 

describes an allowance to use estimated 

(i.e., analytically derived) CO2 emission 

rates based on baseline test data instead 

of measured emission rates for 

calculating fleet-average emissions. Note 

that these ADCs are similar to ADFEs 

used for light-duty vehicles. Note also 

that F terms used in this paragraph (g) 

represent coefficients from the following 

road load equation: 

Force ¥ (mass)(acceleration) = F0 + F1 · 

(velocity) + F2 · (velocity)2

(1) Except as specified in paragraph 

(g)(2) of this section, use the following 

equation to calculate the ADC of a new 

vehicle from road load force coefficients 

(F0, F1, F2), axle ratio, and test weight: 

ADC = CO2base + 2.18 · DF0 + 37.4 · DF1 + 

2257 · DF2 + 189 · DAR + 0.0222 · DETW 

Where: 

ADC = Analytically derived combined city/ 

highway CO2 emission rate (g/mile) for a 

new vehicle. 

CO2base = Combined city/highway CO2

emission rate (g/mile) of a baseline 

vehicle. 

DF0 = F0 of the new vehicle—F0 of the 

baseline vehicle. 

DF1 = F1 of the new vehicle—F1 of the 

baseline vehicle. 

DF2 = F2 of the new vehicle—F2 of the 

baseline vehicle. 

DAR = Axle ratio of the new vehicle—axle 

ratio of the baseline vehicle. 

DETW = ETW of the new vehicle—ETW of 

the baseline vehicle. 

(2) The purpose of this section is to 

accurately estimate CO2 emission rates. 

(i) You must apply the provisions of 

this section consistent with good 

engineering judgment. For example, do 

not use the equation in paragraph (g)(1) 

of this section where good engineering 

judgment indicates that it will not 

accurately estimate emissions. You may 

ask us to approve alternate equations 

that allow you to estimate emissions 

more accurately. 

(ii) The analytically derived CO2

equation in paragraph (g)(1) of this 

section may be periodically updated 

through publication of an EPA guidance 

document to more accurately 

characterize CO2 emission levels’ for 

example, changes may be appropriate 

based on new test data, future 

technology changes, or to changes in 

future CO2 emission levels. Any EPA 

guidance document will determine the 

model year that the updated equation 

takes effect. We will issue guidance no 

later than eight months before the 

effective model year. For example, for 

2014 models, the model year may start 

January 2, 2013, so guidance would be 

issued by May 1, 2012 for model year 

2014. 

(3) You may select, without our 

advance approval, baseline test data if 

they meet all the following criteria: 

(i) Vehicles considered for the 

baseline test must comply with all 

applicable emission standards in the 

model year associated with the ADC. 

(ii) You must include in the pool of 

tests considered for baseline selection 

all official tests of the same or 

equivalent basic engine, transmission 

class, engine code, transmission code, 

engine horsepower, dynamometer drive 

wheels, and compression ratio as the 

ADC subconfiguration. Do not include 

tests in which emissions exceed any 

applicable standard. 

(iii) Where necessary to minimize the 

CO2 adjustment, you may supplement 

the pool with tests associated with 

worst-case engine 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 supplemental data (i.e., 

individual test vehicles may not be 

selected for inclusion). You must also 

include the supplemental data in all 

subsequent pools, where applicable. 

(iv) Except with our advance 

approval, tests previously used during 

the subject model year as baseline tests 

in 20 other ADC subconfigurations must 

be eliminated from the pool. 

(v) Select the tested subconfiguration 

with the smallest absolute difference 

between the ADC and the test CO2

emission rate for combined emissions. 

Use this as the baseline test for the 

target ADC subconfiguration. 

(4) You may ask us to allow you to 

use baseline test data not fully meeting 

the provisions of paragraph (g)(3) of this 

section. 

(5) Calculate the ADC rounded to the 

nearest 0.1 g/mile. Except with our 

advance approval, the downward 

adjustment of ADC from the baseline is 

limited to ADC values 20 percent below 

the baseline emission rate. The upward 

adjustment is not limited. 

(6) You may not submit an ADC if an 

actual test has been run on the target 

subconfiguration during the certification 

process or on a development vehicle 

that is eligible to be declared as an 

emission-data vehicle. 

(7) [Reserved] 

(8) Keep the following records for at 

least five years, and show them to us if 

we ask to see them: 

(i) The pool of tests. 

(ii) The vehicle description and tests 

chosen as the baseline and the basis for 

the selection. 

(iii) The target ADC subconfiguration. 

(iv) The calculated emission rates. 

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(9) We may perform or order a 

confirmatory test of any 

subconfiguration covered by an ADC. 

(10) Where we determine that you did 

not fully comply with the provisions of 

this paragraph (g), we may require that 

you comply based on actual test data 

and that you recalculate your fleetaverage emission rate. 

* * * * * 

■ 19. Section 1037.115 is amended by 

revising paragraph (c) introductory text 

and removing and reserving paragraph 

(c)(2) to read as follows: 

§ 1037.115 Other requirements. 

* * * * * 

(c) Air conditioning leakage. Loss of 

refrigerant from your air conditioning 

systems may not exceed 1.50 percent 

per year, except as allowed by 

paragraph (c)(3) of this section. 

Calculate the total leakage rate in g/year 

as specified in 40 CFR 86.1867–12(a). 

Calculate the percent leakage rate as: 

[total leakage rate (g/yr)] ÷ [total 

refrigerant capacity (g)] × 100. Round 

your leakage rate to the nearest onehundredth of a percent. See § 1037.150 

for vocational vehicles. 

* * * * * 

■ 20. Section 1037.135 is amended by 

revising paragraphs (c)(5) and (c)(9) to 

read as follows: 

§ 1037.135 Labeling. 

* * * * * 

(c) * * * 

(5) State the date of manufacture 

[DAY (optional), MONTH, and YEAR]. 

You may omit this from the label if you 

stamp, engrave, or otherwise 

permanently identify it elsewhere on 

the vehicle, in which case you must also 

describe in your application for 

certification where you will identify the 

date on the vehicle. 

* * * * * 

(9) Include the following statement for 

vehicles with an evaporative canister for 

controlling diurnal emissions: ‘‘THIS 

VEHICLE IS DESIGNED TO COMPLY 

WITH EVAPORATIVE EMISSION 

STANDARDS WITH UP TO x 

GALLONS OF FUEL TANK 

CAPACITY.’’ Complete this statement 

by identifying the maximum specified 

fuel tank capacity associated with your 

certification. 

* * * * * 

■ 21. Section 1037.150 is amended by 

revising paragraphs (a)(2), (l) 

introductory text, and (l)(1) to read as 

follows: 

§ 1037.150 Interim provisions. 

* * * * * 

(a) * * * 

(2) This paragraph (a)(2) applies for 

regulatory sub-categories subject to the 

standards of § 1037.104. To generate 

early credits under this paragraph (a)(2) 

for any vehicles other than electric 

vehicles, you must certify your entire 

U.S.-directed fleet to these standards. If 

you calculate a separate fleet average for 

advanced-technology vehicles under 

§ 1037.104(c)(7), you must certify your 

entire U.S.-directed production volume 

of both advanced and conventional 

vehicles within the fleet. Except as 

specified in paragraph (a)(4) of this 

section, if some test groups are certified 

after the start of the model year, you 

may generate credits only for 

production that occurs after all test 

groups are certified. For example, if you 

produce three test groups in an 

averaging set and you receive your 

certificates for those test groups on 

January 4, 2013, March 15, 2013, and 

April 24, 2013, you may not generate 

credits for model year 2013 for vehicles 

from any of the test groups produced 

before April 24, 2013. Calculate credits 

relative to the standard that would 

apply in model year 2014 using the 

applicable equations in 40 CFR part 86 

and your model year 2013 U.S.-directed 

production volumes. 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 us of your intent to use this 

provision before submitting your 

applications. 

* * * * * 

(l) Optional certification under 

§ 1037.104. You may certify certain 

complete or cab-complete vehicles to 

the standards of § 1037.104. All vehicles 

optionally certified under this 

paragraph (l) are deemed to be subject 

to the standards of § 1037.104. Note that 

for vehicles above 14,000 pounds 

GVWR and at or below 26,000 pounds 

GVWR, certification under this 

paragraph (l) does not affect how you 

may or may not certify with respect to 

criteria pollutants. For example, 

certifying a Class 4 vehicle under this 

paragraph (l) does not allow you to 

chassis-certify these vehicles with 

respect to criteria pollutants. 

(1) You may certify any complete or 

cab-complete spark-ignition vehicles 

above 14,000 pounds GVWR and at or 

below 26,000 pounds GVWR to the 

standards of § 1037.104 even though 

§ 1037.104 specifies that you may certify 

vehicles to the standards of that section 

only if they are chassis-certified for 

criteria pollutants. 

* * * * * 

Subpart C—[Amended] 

■ 22. Section 1037.201 is amended by 

revising paragraph (g) to read as follows: 

§ 1037.201 General requirements for 

obtaining a certificate of conformity. 

* * * * * 

(g) We may perform confirmatory 

testing on your vehicles; for example, 

we may test vehicles to verify drag areas 

or other GEM inputs. This includes 

vehicles used to determine Falt-aero under 

§ 1037.521. We may require you to 

deliver your test vehicles to a facility we 

designate for our testing. Alternatively, 

you may choose to deliver another 

vehicle that is identical in all material 

respects to the test vehicle. Where 

certification is based on testing 

components such as tires, we may 

require you to deliver test components 

to a facility we designate for our testing. 

■ 23. Section 1037.230 is amended by 

revising paragraph (a)(1)(xiii) and 

adding paragraph (a)(1)(xiv) to read as 

follows: 

§ 1037.230 Vehicle families, sub-families, 

and configurations. 

(a) * * * 

(1) * * * 

(xiii) Vocational tractors above 26,000 

pounds GVWR and at or below 33,000 

pounds GVWR. Note that vocational 

tractor provisions do not apply for 

vehicles at or below 26,000 pounds 

GVWR. 

(xiv) Vocational tractors above 33,000 

pounds GVWR. 

* * * * * 

Subpart F—[Amended] 

■ 24. Section 1037.501 is amended by 

revising paragraph (g)(1)(iv) to read as 

follows: 

§ 1037.501 General testing and modeling 

provisions. 

* * * * * 

(g) * * * 

(1) * * * 

(iv) It includes dual 22.5 inch wheels, 

standard mudflaps, and standard 

landing gear. The centerline of the rear 

tandem axle must be 146 +/- 4 inches 

from the rear of the trailer. 

* * * * * 

■ 25. Section 1037.520 is amended by 

revising the section heading, the 

introductory text, Table 1 in paragraph 

(b)(2), and paragraph (e)(1) before the 

table to read as follows: 

§ 1037.520 Modeling CO2 emissions to 

show compliance. 

This section describes how to use the 

Greenhouse gas Emissions Model (GEM) 

simulation tool (incorporated by 

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reference in § 1037.810) to show 

compliance with the CO2 standards of 

§§ 1037.105 and 1037.106. Use good 

engineering judgment when 

demonstrating compliance using the 

GEM. 

* * * * * 

(b) * * * 

(2) * * * 

TABLE 1 TO § 1037.520—HIGH-ROOF

DAY AND SLEEPER CABS

Bin level 

If your 

measured CDA 

(m2) is . . . 

Then your 

CD input 

is . . . 

High-Roof Day Cabs 

Bin I .......... ≥ 8.0 0.79 

Bin II ......... 7.1–7.9 0.72 

Bin III ........ 6.2–7.0 0.63 

Bin IV ........ 5.6–6.1 0.56 

Bin V ......... ≤ 5.5 0.51 

High-Roof Sleeper Cabs 

Bin I .......... ≥ 7.6 0.75 

Bin II ......... 6.8–7.5 0.68 

Bin III ........ 6.3–6.7 0.60 

Bin IV ........ 5.6–6.2 0.52 

Bin V ......... ≤5.5 0.47 

* * * * * 

(e) * * * 

(1) Vehicle weight reduction inputs 

for wheels are specified relative to dualwide tires with conventional steel 

wheels. For purposes of this paragraph 

(e)(1), a light-weight aluminum wheel is 

one that weighs at least 21 pounds less 

than a comparable conventional steel 

wheel. The inputs are listed in Table 3 

to this section. For example, a tractor 

with aluminum steer wheels and eight 

(4 × 2) dual-wide aluminum drive 

wheels would have an input of 210 

pounds (2 × 21 + 8 × 21). 

* * * * * 

■ 26. Section 1037.525 is amended by 

revising the introductory text to read as 

follows: 

§ 1037.525 Special procedures for testing 

hybrid vehicles with power take-off. 

This section describes the procedure 

for quantifying the reduction in 

greenhouse gas emissions as a result of 

running power take-off (PTO) devices 

with a hybrid powertrain. The 

procedures are written to test the PTO 

by ensuring that the engine produces all 

of the energy with no net change in 

stored energy. The full test for the 

hybrid vehicle is from a fully charged 

renewable energy storage system (RESS) 

to a depleted RESS and then back to a 

fully charged RESS. These procedures 

may be used for testing any hybrid 

architecture for which you are 

requesting a vehicle certificate using 

either chassis testing or powertrain 

testing. You must include all hardware 

for the PTO system. You may ask us to 

modify the provisions of this section to 

allow testing hybrid vehicles other than 

electric-battery hybrids, consistent with 

good engineering judgment. 

* * * * * 

■ 27. Section 1037.550 is amended by 

revising the section heading, the 

introductory text, and paragraphs (d) 

through (g) to read as follows: 

§ 1037.550 Special procedures for testing 

hybrid systems. 

This section describes the procedure 

for simulating a chassis test with a pretransmission or post-transmission 

hybrid system for A to B testing. These 

procedures may also be used to perform 

A to B testing with non-hybrid systems. 

* * * * * 

(d) Calculate the transmission output 

shaft’s angular speed target for the 

driver model, fnref,driver, from the linear 

speed associated with the vehicle cycle 

using the following equation: 

Where: 

vcyclei = vehicle speed of the test cycle for 

each point, i, starting from i=1. 

kd = final drive ratio (the angular speed of the 

transmission output shaft divided by the 

angular speed of the drive axle), as 

declared by the manufacturer. 

r = radius of the loaded tires, as declared by 

the manufacturer. 

(e) Use speed control with a loop rate 

of at least 100 Hz to program the 

dynamometer to follow the test cycle, as 

follows: 

(1) Calculate the transmission output 

shaft’s angular speed target for the 

dynamometer, fnref,dyno, from the 

measured linear speed at the 

dynamometer rolls using the following 

equation: 

Where: 

T = instantaneous measured torque at the 

transmission output shaft. 

Fbrake = instantaneous brake force applied by 

the driver model to add force to slow 

down the vehicle. 

t = elapsed time in the driving schedule as 

measured by the dynamometer, in 

seconds. 

(2) For each test, validate the 

measured transmission output shaft’s 

speed with the corresponding reference 

values according to 40 CFR 1065.514(e). 

You may delete points when the vehicle 

is stopped. Perform the validation based 

on speed values at the transmission 

output shaft. For steady-state tests (55 

mph and 65 mph cruise), apply cyclevalidation criteria by treating the 

sampling periods from the two tests as 

a continuous sampling period. Perform 

this validation based on the following 

parameters: 

TABLE 1 OF § 1037.550—STATISTICAL

CRITERIA FOR VALIDATING DUTY CYCLES

Parameter Speed control 

Slope, a1 ................... 0.950 ≤ a1 ≤ 1.030. 

Absolute value of 

intercept, ⎢a0⎢.

≤ 2.0% of maximum 

test speed. 

Standard error of estimate, SEE.≤ 5% of maximum 

test speed. 

Coefficient of determination, r2.

≥ 0.970. 

(f) Send a brake signal when throttle 

position is equal to zero and vehicle 

speed is greater than the reference 

vehicle speed from the test cycle. Set a 

delay before changing the brake state to 

prevent the brake signal from dithering, 

consistent with good engineering 

judgment. 

(g) The driver model should be 

designed to follow the cycle as closely 

as possible and must meet the 

requirements of § 1037.510 for steadystate testing and 40 CFR 1066.430(e) for 

transient testing. The driver model 

should be designed so that the brake 

and throttle are not applied at the same 

time. 

* * * * * 

Subpart G—[Amended] 

■ 28. Section 1037.615 is amended by 

revising paragraph (b)(1), redesignating 

paragraph (b)(3) as (b)(4), and adding a 

new paragraph (b)(3) to read as follows: 

§ 1037.615 Hybrid vehicles and other 

advanced technologies. 

* * * * * 

(b) * * * 

(1) Measure the effectiveness of the 

advanced system by chassis testing a 

vehicle equipped with the advanced 

system and an equivalent conventional 

vehicle, or by testing the hybrid systems 

and the equivalent non-hybrid systems 

as described in § 1037.550. Test the 

vehicles as specified in subpart F of this 

part. For purposes of this paragraph (b), 

a conventional vehicle is considered to 

be equivalent if it has the same footprint 

(as defined in 40 CFR 86.1803), vehicle 

service class, aerodynamic drag, and 

other relevant factors not directly 

related to the hybrid powertrain. If you 


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use § 1037.525 to quantify the benefits 

of a hybrid system for PTO operation, 

the conventional vehicle must have the 

same number of PTO circuits and have 

equivalent PTO power. If you do not 

produce an equivalent vehicle, you may 

create and test a prototype equivalent 

vehicle. The conventional vehicle is 

considered Vehicle A and the advanced 

vehicle is considered Vehicle B. We 

may specify an alternate cycle if your 

vehicle includes a power take-off. 

* * * * * 

(3) If you apply an improvement 

factor to multiple vehicle configurations 

using the same advanced technology, 

use the vehicle configuration with the 

smallest potential reduction in 

greenhouse gas emissions resulting from 

the hybrid capability. 

* * * * * 

■ 29. Section 1037.620 is amended by 

revising paragraph (a)(3) to read as 

follows: 

§ 1037.620 Shipment of incomplete 

vehicles to secondary vehicle 

manufacturers. 

* * * * * 

(a) * * * 

(3) Uncertified vehicles that will be 

certified by secondary vehicle 

manufacturers. Manufacturers may 

introduce into U.S. commerce partially 

complete vehicles for which they do not 

hold a certificate of conformity only as 

allowed by paragraph (b) of this section; 

however, the requirements of this 

section do not apply if vehicles 

produced by a secondary vehicle 

manufacturer are excluded from the 

standards of this part under 

§ 1037.150(c). 

* * * * * 

■ 30. Section 1037.660 is amended by 

revising the introductory text and 

paragraph (c) to read as follows: 

§ 1037.660 Automatic engine shutdown 

systems. 

This section specifies requirements 

that apply for certified automatic engine 

shutdown (AES) systems modeled 

under § 1037.520. It does not apply for 

AES systems you do not model under 

§ 1037.520. 

* * * * * 

(c) Adjustments to AES systems. (1) 

The AES system may include an 

expiration point (in miles) after which 

the AES system may be disabled. If your 

vehicle is equipped with an AES system 

that expires before 1,259,000 miles, 

adjust the model input as follows, 

rounded to the nearest 0.1 g/ton-mile: 

AES Input = 5 g CO2/ton-mile × (miles 

at expiration/1,259,000 miles) 

(2) For AES systems designed to limit 

idling to a specific number of hours less 

than 1,800 hours over any 12-month 

period, calculate an adjusted AES input 

using the following equation, rounded 

to the nearest 0.1 g/ton-mile: AES Input 

= 5 g CO2/ton-mile × (1–(maximum 

allowable number of idling hours per 

year/1,800 hours)). This is an annual 

allowance that starts when the vehicle 

is new and resets every 12 months after 

that. Manufacturers may propose an 

alternative method based on operating 

hours or miles instead of years. 

* * * * * 

Subpart H—[Amended] 

■ 31. Section 1037.745 is amended by 

revising the section heading and adding 

paragraph (d) to read as follows: 

§ 1037.745 End-of-year CO2 credit deficits. 

* * * * * 

(d) For purposes of calculating the 

statute of limitations, the following 

actions are all considered to occur at the 

expiration of the deadline for offsetting 

debits as specified in paragraph (a) of 

this section: 

(1) Failing to meet the requirements of 

paragraph (a) of this section. 

(2) Failing to satisfy the conditions 

upon which a certificate was issued 

relative to offsetting debits. 

(3) Selling, offering for sale, 

introducing or delivering into U.S. 

commerce, or importing vehicles that 

are found not to be covered by a 

certificate as a result of failing to offset 

debits. 

Subpart I—[Amended] 

■ 32. Section 1037.801 is amended by 

adding a definition for ‘‘Preliminary 

approval’’ in alphabetical order and 

revising the definition for ‘‘Regulatory 

sub-category’’ to read as follows: 

§ 1037.801 Definitions. 

* * * * * 

Preliminary approval means approval 

granted by an authorized EPA 

representative prior to submission of an 

application for certification, consistent 

with the provisions of § 1037.210. 

* * * * * 

Regulatory sub-category means one of 

the following groups: 

(1) All vehicles subject to the 

standards of § 1037.104. Note that this 

category includes most gasoline-fueled 

and diesel-fueled heavy-duty pickup 

trucks and vans. 

(2) [Reserved] 

(3) Vocational vehicles at or below 

19,500 pounds GVWR. 

(4) Vocational vehicles above 19,500 

pounds GVWR but at or below 33,000 

pounds GVWR. 

(5) Vocational vehicles over 33,000 

pounds GVWR. 

(6) Low-roof tractors above 26,000 

pounds GVWR but at or below 33,000 

pounds GVWR. 

(7) Mid-roof tractors above 26,000 

pounds GVWR but at or below 33,000 

pounds GVWR. 

(8) High-roof tractors above 26,000 

pounds GVWR but at or below 33,000 

pounds GVWR. 

(9) Low-roof day cab tractors above 

33,000 pounds GVWR. 

(10) Low-roof sleeper cab tractors 

above 33,000 pounds GVWR. 

(11) Mid-roof day cab tractors above 

33,000 pounds GVWR. 

(12) Mid-roof sleeper cab tractors 

above 33,000 pounds GVWR. 

(13) High-roof day cab tractors above 

33,000 pounds GVWR. 

(14) High-roof sleeper cab tractors 

above 33,000 pounds GVWR. 

* * * * * 

■ 33. Section 1037.805 is amended by 

adding an entry for ‘‘AES’’ in 

alphabetical order to read as follows: 

§ 1037.805 Symbols, acronyms, and 

abbreviations. 

* * * * * 

AES Automatic engine shutdown. 

* * * * * 

■ 34. Section 1037.810 is amended by 

revising paragraph (c)(1) to read as 

follows: 

§ 1037.810 Incorporation by reference. 

* * * * * 

(c) * * * 

(1) Greenhouse gas Emissions Model 

(GEM) simulation tool, Version 2.0.1, 

September 2012; IBR approved for 

§ 1037.520. The computer code for this 

model is available as noted in paragraph 

(a) of this section. A working version of 

this software is also available for 

download at http://www.epa.gov/otaq/ 

climate/gem.htm. 

* * * * * 

PART 1039—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES 

■ 35. The authority citation for part 

1039 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart B—[Amended] 

■ 36. Section 1039.104 is amended by 

revising paragraph (g) to read as follows: 

§ 1039.104 Are there interim provisions 

that apply only for a limited time? 

* * * * * 

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(g) Alternate FEL caps. You may 

certify engines to the FEL caps in Table 

1 of this section instead of the otherwise 

applicable FEL caps in § 1039.101(d)(1), 

§ 1039.102(e), or § 1039.102(g)(2) for the 

indicated model years, subject to the 

following provisions: 

(1) [Reserved] 

(2) If your engine is not certified to 

transient emission standards under the 

provisions of § 1039.102(a)(1)(iii), you 

must adjust your FEL upward by a 

temporary compliance adjustment factor 

(TCAF) before calculating your negative 

emission credits under § 1039.705, as 

follows: 

(i) The temporary compliance 

adjustment factor for NOX and for NOX

+ NMHC is 1.1. 

(ii) The temporary compliance 

adjustment factor for PM is 1.5. 

(iii) The adjusted FEL (FELadj) for 

calculating emission credits is 

determined from the steady-state FEL 

(FELss) using the following equation: 

FELadj = (FELss) × (TCAF) 

(iv) The unadjusted FEL (FELss) 

applies for all purposes other than 

credit calculation. 

(3) These alternate FEL caps may not 

be used for phase-in engines. 

(4) Do not apply TCAFs to gaseous 

emissions for phase-out engines that 

you certify to the same numerical 

standards (and FELs if the engines are 

certified using ABT) for gaseous 

pollutants as you certified under the 

Tier 3 requirements of 40 CFR part 89. 

TABLE 1 OF § 1039.104—ALTERNATE FEL CAPS

Maximum engine power PM FEL cap, 

g/kW-hr 

Model years 

for the 

alternate PM 

FEL cap 

NOX FEL cap, 

g/kW-hr 1

Model years 

for the 

alternate NOX

FEL cap 

19 ≤ kW < 56 ................................................................................................... 0.30 2 2012–2015 

56 ≤ kW < 130 3 ............................................................................................... 0.30 2012–2015 3.8 4 2012–2015 

130 ≤ kW ≤ 560 ............................................................................................... 0.20 2011–2014 3.8 5 2011–2014 

kW > 560 6 ....................................................................................................... 0.10 2015–2018 3.5 2015–2018 

1The FEL cap for engines demonstrating compliance with a NOX + NMHC standard is equal to the previously applicable NOX + NMHC standard specified in 40 CFR 89.112 (generally the Tier 3 standards). 2For manufacturers certifying engines under Option #1 of Table 3 of § 1039.102, these alternate FEL caps apply to all 19–56 kW engines for 

model years from 2013 through 2016 instead of the years indicated in this table. For manufacturers certifying engines under Option #2 of Table 3 

of § 1039.102, these alternate FEL caps do not apply to 19–37 kW engines except in model years 2013 to 2015. 3For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM emissions and 4.4 g/kW-hr for NOX emissions. 4For manufacturers certifying engines in this power category using a percentage phase-in/phase-out approach instead of the alternate NOX

standards of § 1039.102(e)(1), the alternate NOX FEL cap in the table applies only in the 2014–2015 model years if certifying under 

§ 1039.102(d)(1), and only in the 2015 model year if certifying under § 1039.102(d)(2). 5For manufacturers certifying engines in this power category using the percentage phase-in/phase-out approach instead of the alternate NOX

standard of § 1039.102(e)(2), the alternate NOX FEL cap in the table applies only for the 2014 model year. 6For engines above 560 kW, the provision for alternate NOX FEL caps is limited to generator-set engines. 

(5) You may certify engines under this 

paragraph (g) in any model year 

provided for in Table 1 of this section 

without regard to whether or not the 

engine family’s FEL is at or below the 

otherwise applicable FEL cap. For 

example, a 200 kW engine certified to 

the NOX + NMHC standard of 

§ 1039.102(e)(3) with an FEL equal to 

the FEL cap of 2.8 g/kW-hr may 

nevertheless be certified under this 

paragraph (g). 

(6) For engines you produce under 

this paragraph (g) after the Tier 4 final 

standards take effect, you may certify 

based on a NOX + NMHC FEL as 

described in Table 1 of this section. 

Calculate emission credits for these 

engines relative to the applicable NOX

standard in § 1039.101 or § 1039.102, 

plus 0.1 g/kW-hr. 

* * * * * 

Subpart G—[Amended] 

■ 37. Section 1039.625 is amended by 

revising paragraphs (e), (j), and (m) to 

read as follows: 

§ 1039.625 What requirements apply under 

the program for equipment-manufacturer 

flexibility? 

* * * * * 

(e) Standards. If you produce 

equipment with exempted engines 

under this section, the engines must 

meet emission standards specified in 

this paragraph (e), or more stringent 

standards. Note that we consider 

engines to be meeting emission 

standards even if they are certified with 

a family emission limit that is higher 

than the emission standard that would 

otherwise apply. 

(1) If you are using the provisions of 

paragraph (d)(4) of this section, engines 

must meet the applicable Tier 1 or Tier 

2 emission standards described in 40 

CFR 89.112. 

(2) If you are using the provisions of 

paragraph (a)(2) of this section, engines 

must be identical in all material respects 

to engines certified under this part 1039 

as follows: 

Engines in the 

following power 

category . . . 

Must meet all standards and requirements that applied in 

the following model 

year . . . 

(i) 19 ≤ kW < 56 ........ 2008 (Option 1, 

where applicable). 

(ii) 56 ≤ kW < 130 ..... 2012 (Phase-out). 

(iii) 130 ≤ kW ≤ 560 .. 2011 (Phase-out). 

(iv) kW > 560 ............ 2011. 

(3) In all other cases, engines at or 

above 56 kW and at or below 560 kW 

must meet the appropriate Tier 3 

standards described in 40 CFR 89.112. 

Engines below 56 kW and engines above 

560 kW must meet the appropriate Tier 

2 standards described in 40 CFR 89.112. 

* * * * * 

(j) Provisions for engine 

manufacturers. As an engine 

manufacturer, you may produce 

exempted engines as needed under this 

section. You do not have to request this 

exemption for your engines, but you 

must have written assurance from 

equipment manufacturers that they need 

a certain number of exempted engines 

under this section. Send us an annual 

report of the engines you produce under 

this section, as described in 

§ 1039.250(a). Exempt engines must 

meet the emission standards in 

paragraph (e) of this section and you 

must meet all the requirements of 40 

CFR 1068.265, except that engines 

produced under the provisions of 

paragraph (a)(2) of this section must be 

identical in all material respects to 

engines previously certified under this 

part 1039. If you show under 40 CFR 

1068.265(c) that the engines are 

identical in all material respects to 

engines that you have previously 

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36396 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

certified to one or more FELs above the 

standards specified in paragraph (e) of 

this section, you must supply sufficient 

credits for these engines. Calculate these 

credits under subpart H of this part 

using the previously certified FELs and 

the alternate standards. You must meet 

the labeling requirements in 40 CFR 

89.110 or § 1039.135, as applicable, with 

the following exceptions: 

* * * * * 

(m) Additional exemptions for 

technical or engineering hardship. You 

may request additional engine 

allowances under paragraph (b) of this 

section; however, you may use these 

extra allowances only for those 

equipment models for which you, or an 

affiliated company, do not also produce 

the engine. Additional allowances 

under this paragraph (m) must be used 

within the specified seven-year period. 

After considering the circumstances, we 

may permit you to introduce into U.S. 

commerce equipment with such engines 

that do not comply with Tier 4 emission 

standards, as follows: 

(1) We may approve additional 

exemptions if extreme and unusual 

circumstances that are clearly outside 

your control and that could not have 

been avoided with reasonable discretion 

have resulted in technical or 

engineering problems that prevent you 

from meeting the requirements of this 

part. You must show that you exercised 

prudent planning and have taken all 

reasonable steps to minimize the scope 

of your request for additional 

allowances. 

(2) To apply for exemptions under 

this paragraph (m), send the Designated 

Compliance Officer a written request as 

soon as possible before you are in 

violation. In your request, include the 

following information: 

(i) Describe your process for designing 

equipment. 

(ii) Describe how you normally work 

cooperatively or concurrently with your 

engine supplier to design products. 

(iii) Describe the engineering or 

technical problems causing you to 

request the exemption and explain why 

you have not been able to solve them. 

Describe the extreme and unusual 

circumstances that led to these 

problems and explain how they were 

unavoidable. 

(iv) Describe any information or 

products you received from your engine 

supplier related to equipment design— 

such as written specifications, 

performance data, or prototype 

engines—and when you received it. 

(v) Compare the design processes of 

the equipment model for which you 

need additional exemptions and that for 

other models for which you do not need 

additional exemptions. Explain the 

technical differences that justify your 

request. 

(vi) Describe your efforts to find and 

use other compliant engines, or 

otherwise explain why none is 

available. 

(vii) Describe the steps you have taken 

to minimize the scope of your request. 

(viii) Include other relevant 

information. You must give us other 

relevant information if we ask for it. 

(ix) Estimate the increased percent of 

production you need for each 

equipment model covered by your 

request, as described in paragraph 

(m)(3) of this section. Estimate the 

increased number of allowances you 

need for each equipment model covered 

by your request, as described in 

paragraph (m)(4) of this section. 

(3) We may approve your request to 

increase the allowances under 

paragraph (b)(1) of this section, subject 

to the following limitations: 

(i) You must use up the allowances 

under paragraph (b)(1) of this section 

before using any additional allowance 

under this paragraph (m). 

(ii) You may use these allowances 

only for the specific equipment models 

covered by your request. 

(4) We may approve your request to 

increase the small-volume allowances 

under paragraph (b)(2) of this section, 

subject to the following limitations: 

(i) You are eligible for additional 

allowances under this paragraph (m)(4) 

only if you do not use the provisions of 

paragraph (m)(3) of this section to 

obtain additional allowances within a 

given power category. 

(ii) We may approve additional 

allowances in the form of waiving the 

annual limits specified in paragraph 

(b)(2) of this section instead of or in 

addition to increasing the total number 

of allowances under this paragraph 

(m)(4). 

(iii) If we increase the total number of 

allowances, you may use these 

allowances only for the specific 

equipment models covered by your 

request. 

PART 1042—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE MARINE 

COMPRESSION-IGNITION ENGINES 

AND VESSELS 

■ 38. The authority citation for part 

1042 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart B—[Amended] 

■ 39. Section 1042.145 is amended by 

adding paragraph (j) to read as follows: 

§ 1042.145 Interim provisions. 

* * * * * 

(j) Vessel manufacturers and marine 

equipment manufacturers may apply the 

provisions of § 1042.605 to land-based 

engines with maximum engine power at 

or above 19 kW and below 600 kW 

produced under the allowances 

provided in 40 CFR 1039.625 for model 

year 2013 marine engines. All the 

provisions of § 1042.605 apply as if 

those engines were certified to emission 

standards under 40 CFR part 1039. 

Similarly, engine manufacturers, vessel 

manufacturers, and marine equipment 

manufacturers must comply with all the 

provisions of 40 CFR 1039.625 as if 

those engines were installed in landbased equipment. 

Subpart G—[Amended] 

■ 40. Section 1042.615 is amended as 

follows: 

■ a. By revising the introductory text 

and paragraphs (a) introductory text and 

(a)(1). 

■ b. By redesignating paragraphs (b) 

through (d) as paragraphs (c) through 

(e). 

■ c. By adding a new paragraph (b). 

§ 1042.615 Replacement engine 

exemption. 

For Category 1 and Category 2 

replacement engines, the provisions of 

40 CFR 1068.240 apply except as 

described in this section. In unusual 

circumstances, you may ask us to allow 

you to apply these provisions for a new 

Category 3 engine. 

(a) This paragraph (a) applies instead 

of the provisions of 40 CFR 

1068.240(b)(2). The prohibitions in 40 

CFR 1068.101(a)(1) do not apply to a 

new replacement engine if all the 

following conditions are met: 

(1) You use good engineering 

judgment to determine that no engine 

certified to the current requirements of 

this part is produced by any 

manufacturer with the appropriate 

physical or performance characteristics 

to repower the vessel. We have 

determined that engines certified to Tier 

4 standards do not have the appropriate 

physical or performance characteristics 

to replace uncertified engines or engines 

certified to emission standards that are 

less stringent than the Tier 4 standards. 

* * * * * 

(b) The 25-year limit specified in 40 

CFR 1068.240(a) does not apply for 

engines subject to this part 1042. You 

may accordingly omit the statement on 

the permanent labels specified in 40 

CFR 1068.240 describing this limitation. 

* * * * * 

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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36397 

PART 1048—CONTROL OF EMISSIONS 

FROM NEW, LARGE NONROAD 

SPARK-IGNITION ENGINES 

■ 41. The authority citation for part 

1048 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart B—[Amended] 

■ 42. Section 1048.105 is amended by 

revising paragraph (a) to read as follows: 

§ 1048.105 What evaporative emission 

standards and requirements apply? 

* * * * * 

(a) Fuel line permeation. For 

nonmetallic fuel lines, you must specify 

and use products that meet the Category 

1 specifications for permeation in the 

November 1996 or November 2004 

versions of SAE J2260 (both 

incorporated by reference in 

§ 1048.810). 

* * * * * 

Subpart I—[Amended] 

■ 43. Section 1048.810 is revised to read 

as follows: 

§ 1048.810 What materials does this part 

reference? 

(a) Certain material is incorporated by 

reference into this part with the 

approval of the Director of the Federal 

Register under 5 U.S.C. 552(a) and 1 

CFR part 51. To enforce any edition 

other than that specified in this section, 

the Environmental Protection Agency 

must publish a 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 Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to http://www.archives.gov/

federal_register/code_of_federal_

regulations/ibr_locations.html. 

(b) Society of Automotive Engineers, 

400 Commonwealth Dr., Warrendale, 

PA 15096–0001, (877) 606–7323 (U.S. 

and Canada) or (724) 776–4970 (outside 

the U.S. and Canada), http:// 

www.sae.org. 

(1) SAE J2260, Nonmetallic Fuel 

System Tubing with One or More 

Layers, November 2004; IBR approved 

for § 1048.105(a). 

(2) SAE J2260, Nonmetallic Fuel 

System Tubing with One or More 

Layers, November 1996; IBR approved 

for § 1048.105(a). 

(c) International Organization for 

Standardization, Case Postale 56, CH– 

1211 Geneva 20, Switzerland, (41) 

22749 0111, http://www.iso.org, or 

central@iso.org. 

(1) ISO 9141–2 Road vehicles— 

Diagnostic systems— Part 2: CARB 

requirements for interchange of digital 

information, February 1994; IBR 

approved for § 1048.110(g). 

(2) ISO 14230–4 Road vehicles— 

Diagnostic systems—Keyword Protocol 

2000—Part 4: Requirements for 

emission-related systems, June 2000; 

IBR approved for § 1048.110(g). 

PART 1054—CONTROL OF EMISSIONS 

FROM NEW, SMALL NONROAD 

SPARK–IGNITION ENGINES AND 

EQUIPMENT 

■ 44. The authority citation for part 

1054 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart B—[Amended] 

■ 45. Section 1054.145 is amended by 

revising paragraphs (c)(3) and (n) to read 

as follows: 

§ 1054.145 Are there interim provisions 

that apply only for a limited time? 

* * * * * 

(c) * * * 

(3) Engines subject to Phase 3 

emission standards must meet the 

standards at or above barometric 

pressures of 96.0 kPa in the standard 

configuration and are not required to 

meet emission standards at lower 

barometric pressures. This is intended 

to allow testing under most weather 

conditions at all altitudes up to 1,100 

feet above sea level. In your application 

for certification, identify the altitude 

above which you rely on an altitude kit 

and describe your plan for making 

information and parts available such 

that you would reasonably expect that 

altitude kits would be widely used at all 

such altitudes. 

* * * * * 

(n) California test fuel. Through 

model year 2019, you may perform 

testing with a fuel meeting the 

requirements for certifying the engine in 

California instead of the fuel specified 

in § 1054.501(b)(2), as follows: 

(1) You may certify individual engine 

families using data from testing 

conducted with California Phase 2 test 

fuel. Any EPA testing with such an 

engine family may use either this same 

certification fuel or the test fuel 

specified in § 1054.501. 

(2) Starting in model year 2013, you 

may certify individual engine families 

using data from testing conducted with 

California Phase 3 test fuel. Any EPA 

testing with such an engine family may 

use either this same certification fuel or 

the test fuel specified in § 1054.501, 

unless you certify to the more stringent 

CO standards specified in this 

paragraph (n)(2). If you meet these 

alternate CO standards, we will also use 

California Phase 3 test fuel for any 

testing we perform with engines from 

that engine family. The following 

alternate CO standards apply instead of 

the CO standards specified in 

§ 1054.103 or § 1054.105: 

TABLE 1 TO § 1054.145—ALTERNATE

CO STANDARDS FOR TESTING WITH

CALIFORNIA PHASE 3 TEST FUEL

[g/kW-hr] 

Engine type Alternate CO 

standard 

Class I ................................... 549 

Class II .................................. 549 

Class III ................................. 536 

Class IV ................................ 536 

Class V ................................. 536 

Marine generators ................ 4.5 

* * * * * 

Subpart F—[Amended] 

■ 46. Section 1054.501 is amended by 

revising paragraph (b)(2) to read as 

follows: 

§ 1054.501 How do I run a valid emission 

test? 

* * * * * 

(b) * * * 

(2) Use the appropriate fuels and 

lubricants specified in 40 CFR part 

1065, subpart H, for all the testing we 

require in this part. Except as specified 

in paragraph (d) of this section, use 

gasoline specified for general testing. 

For service accumulation, use the test 

fuel or any commercially available fuel 

that is representative of the fuel that inuse engines will use. Note that 

§ 1054.145(n) allows for testing with 

gasoline test fuels specified by the 

California Air Resources Board for any 

individual engine family through model 

year 2019. 

* * * * * 

PART 1065—Engine-Testing 

Procedures 

■ 47. The authority citation for part 

1065 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

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36398 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

Subpart C—[Amended] 

■ 48. Section 1065.275 is amended by 

revising the section heading to read as 

follows: 

§ 1065.275 N2O measurement devices. 

* * * * * 

Subpart G—[Amended] 

■ 49. Section 1065.610 is amended by 

revising paragraph (c)(3) to read as 

follows: 

§ 1065.610 Duty cycle generation. 

* * * * * 

(c) * * * 

(3) Intermediate speed. If your 

normalized duty cycle specifies a speed 

as ‘‘intermediate speed,’’ use your 

torque-versus-speed curve to determine 

the speed at which maximum torque 

occurs. This is peak torque speed. If 

maximum torque occurs in a flat region 

of the torque-versus-speed curve, your 

peak torque speed is the midpoint 

between the lowest and highest speeds 

at which the trace reaches the flat 

region. For purposes of this paragraph 

(c)(3), a flat region is one in which 

measured torque values are within 2% 

of the maximum recorded value. 

Identify your reference intermediate 

speed as one of the following values: 

(i) Peak torque speed if it is between 

(60 and 75) % of maximum test speed. 

(ii) 60% of maximum test speed if 

peak torque speed is less than 60% of 

maximum test speed. 

(iii) 75% of maximum test speed if 

peak torque speed is greater than 75% 

of maximum test speed. 

* * * * * 

PART 1066—VEHICLE-TESTING 

PROCEDURES 

■ 50. The authority citation for part 

1066 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart D—[Amended] 

■ 51. Section 1066.310 is amended by: 

■ a. Revising the section heading and 

the introductory text; 

■ b. Revising paragraphs (b)(2), (b)(3) 

introductory text, and (b)(3)(i); 

■ c. Removing and reserving paragraph 

(b)(3)(ii); 

■ d. Revising paragraphs (b)(6) and 

(b)(7); and 

■ e. Adding paragraph (b)(8) to read as 

follows: 

§ 1066.310 Coastdown procedures for 

vehicles with GVWR above 14,000 lbs. 

This section describes coastdown 

procedures that are unique to heavyduty vehicles with GVWR above 14,000 

lbs. These procedures are valid for 

calculating road-load coefficients for 

chassis and post-transmission 

powerpack testing and for calculating 

drag area (CDA) for use in the 

Greenhouse gas Emissions Model (GEM) 

simulation tool under 40 CFR part 1037. 

* * * * * 

(b) * * * 

(2) Operate the vehicle at a top speed 

above 70 mph, or at its maximum 

achievable speed if it cannot reach 70 

mph. If a vehicle is equipped with a 

vehicle speed limiter that is set for a 

maximum speed below 70 mph, you 

must disable the vehicle speed limiter. 

Start the test at or above 70 mph or at 

the vehicle’s maximum achievable 

speed if it cannot reach 70 mph. Data 

collection must occur through a 

minimum speed at or below 15 mph. 

Data analysis for valid coastdown runs 

must include a maximum speed as 

described in this paragraph (b)(2) 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-mechanical 

anemometer and suitable data loggers 

meeting the specifications of SAE J1263, 

as well as the following additional 

specifications for the anemometer 

placed adjacent to the test surface: 

(i) Calibrate the equipment by running 

the zero-wind and zero-angle 

calibrations within 24 hours before 

conducting the coastdown procedures. 

If the coastdown procedures are not 

complete 24 hours after calibrating the 

equipment, repeat the calibration for 

another 24 hours of data collection. 

(ii) [Reserved] 

* * * * * 

(6) All valid coastdown run times in 

each direction must be within 2.0 

standard deviations of the mean of the 

valid coastdown run times (from 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 in each direction. 

You may use coastdown run times that 

do not meet these standard deviation 

requirements if we approve it in 

advance. In your request, describe why 

the vehicle is not able to meet the 

specified standard deviation 

requirements and propose an alternative 

set of requirements. 

(7) Analyze data for chassis and posttransmission powerpack testing or for 

use in the GEM simulation tool as 

follows: 

(i) Follow the procedures specified in 

Section 10 of SAE J1263 or Section 11 

of SAE J2263 to calculate coefficients for 

chassis and post-transmission 

powerpack testing. 

(ii) For the GEM simulation tool, 

determine drag area, CDA, as follows 

instead of using the procedure specified 

in Section 10 of SAE J1263: 

(A) Measure vehicle speed at fixed 

intervals over the coastdown run 

(generally at 10 Hz), including speeds at 

or above 15 mph and at or below 70 

mph. Establish the height or altitude 

corresponding to each interval as 

described in SAE J2263 if you need to 

incorporate the effects of road grade. 

(B) Calculate the vehicle’s effective 

mass, Me, in kg by adding 56.7 kg to the 

vehicle mass for each tire making road 

contact. This accounts for the rotational 

inertia of the wheels and tires. 

(C) Calculate the road-load force for 

each measurement interval, Fi, using the 

following equation: 

Where: 

Me = the vehicle’s effective mass, expressed 

to the nearest 0.1 kg. 

v = vehicle speed at the beginning and end 

of the measurement interval. Let v0 = 0 

m/s. 

Dt = elapsed time over the measurement 

interval, in seconds. 

(D) Plot the data from all the 

coastdown runs on a single plot of Fi vs. 

vi

2 to determine the slope correlation, D, 

based on the following equation: 

Where: 

g = gravitational acceleration = 9.81 m/s2. 

Dh = change in height or altitude over the 

measurement interval, in m. Assume Dh 

= 0 if you are not correcting for grade. 

Ds = distance the vehicle travels down the 

road during the measurement interval, in 

m. 

Am = the calculated value of the y-intercept 

based on the curve-fit. 

(E) Calculate drag area, CDA, in m2 using 

the following equation: 

Where: 

r = air density at reference conditions = 1.17 

kg/m3. 

T = average ambient temperature during 

testing, in K. 

PB = average ambient pressuring during the 

test, in kPa. 


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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36399 

(8) Determine the A, B, and C 

coefficients identified in § 1066.210 as 

follows: 

(i) For chassis and post-transmission 

powerpack testing, follow the 

procedures specified in Section 10 of 

SAE J1263 or Section 12 of SAE J2263. 

(ii) For the GEM simulation tool, use 

the following values: 

A = Am

B = 0 

C = Dadj

PART 1068—GENERAL COMPLIANCE 

PROVISIONS FOR HIGHWAY, 

STATIONARY, AND NONROAD 

PROGRAMS 

■ 52. The authority citation for part 

1068 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 53. Section 1068.1 is amended by 

revising paragraph (b) to read as follows: 

§ 1068.1 Does this part apply to me? 

* * * * * 

(b) This part does not apply to any of 

the following engine or vehicle 

categories: 

(1) Light-duty motor vehicles (see 40 

CFR part 86). 

(2) Highway motorcycles (see 40 CFR 

part 86). 

(3) Heavy-duty motor vehicles and 

motor vehicle engines, except as 

specified in 40 CFR parts 85 and 86. 

(4) Aircraft engines, except as 

specified in 40 CFR part 87. 

(5) Land-based nonroad compressionignition engines we regulate under 40 

CFR part 89. 

(6) Small nonroad spark-ignition 

engines we regulate under 40 CFR part 

90. 

(7) Marine spark-ignition engines we 

regulate under 40 CFR part 91. 

(8) Locomotive engines we regulate 

under 40 CFR part 92. 

(9) Marine compression-ignition 

engines we regulate under 40 CFR parts 

89 or 94. 

* * * * * 

Subpart C—[Amended] 

■ 54. Section 1068.240 is revised to read 

as follows: 

§ 1068.240 What are the provisions for 

exempting new replacement engines? 

The prohibitions in § 1068.101(a)(1) 

do not apply to a new engine if it is 

exempt under this section as a 

replacement engine. For purposes of 

this section, a replacement engine is a 

new engine that is used to replace an 

engine that has already been placed into 

service (whether the previous engine is 

replaced in whole or in part with a new 

engine). 

(a) General provisions. You are 

eligible for the exemption for new 

replacement engines only if you are a 

certificate holder. Note that this 

exemption does not apply for 

locomotives (40 CFR 1033.601) and that 

unique provisions apply to marine 

compression-ignition engines (40 CFR 

1042.615). 

(1) Paragraphs (b), (c), and (d) of this 

section describe different approaches for 

exempting new replacement engines 

where the engines are specially built to 

correspond to an engine model from an 

earlier model year that was subject to 

less stringent standards than those that 

apply for current production (or is no 

longer covered by a certificate of 

conformity). 

(2) Paragraph (e) of this section 

describes a simpler approach for 

exempting partially complete new 

replacement engines that are built under 

a certificate of conformity that is valid 

for producing engines for the current 

model year. 

(3) For all the different approaches 

described in paragraphs (b) through (e) 

of this section, the exemption applies 

only for equipment that is 25 years old 

or less at the time of installation. 

(b) Previous-tier replacement engines 

with tracking. You may produce any 

number of new engines to replace an 

engine already placed into service in a 

piece of equipment, as follows: 

(1) The engine being replaced must 

have been either not originally subject 

to emission standards or originally 

subject to less stringent emission 

standards than those that apply to a new 

engine meeting current standards. The 

provisions of this paragraph (b) also 

apply for engines that were originally 

certified to the same standards that 

apply for the current model year if you 

no longer have a certificate of 

conformity to continue producing that 

engine configuration. 

(2) The following requirements and 

conditions apply for engines exempted 

under this paragraph (b): 

(i) You must determine that you do 

not produce an engine certified to meet 

current requirements that has the 

appropriate physical or performance 

characteristics to repower the 

equipment. If the engine being replaced 

was made by a different company, you 

must make this determination also for 

engines produced by this other 

company. 

(ii) In the case of premature engine 

failure, if the old engine was subject to 

emission standards, you must make the 

new replacement engine in a 

configuration identical in all material 

respects to the old engine and meet the 

requirements of § 1068.265. You may 

alternatively make the new replacement 

engine in a configuration identical in all 

material respects to another certified 

engine of the same or later model year 

as long as the engine is not certified 

with a family emission limit higher than 

that of the old engine. 

(iii) For cases not involving premature 

engine failure, you must make a 

separate determination for your own 

product line addressing every tier of 

emission standards that is more 

stringent than the emission standards 

for the engine being replaced. For 

example, if the engine being replaced 

was built before the Tier 1 standards 

started to apply and engines of that size 

are currently subject to Tier 3 standards, 

you must also consider whether any 

Tier 1 or Tier 2 engines that you 

produce have the appropriate physical 

and performance characteristics for 

replacing the old engine; if you produce 

a Tier 2 engine with the appropriate 

physical and performance 

characteristics, you must use it as the 

replacement engine. 

(iv) You must keep records to 

document your basis for making the 

determinations in paragraphs (b)(2)(i) 

and (iii) of this section. 

(3) The old engine block may be 

reintroduced into U.S. commerce as part 

of an engine that meets either the 

current standards for new engines, the 

provisions for new replacement engines 

in this section, or another valid 

exemption. Otherwise, you must destroy 

the old engine block or confirm that it 

has been destroyed. 

(4) If the old engine was subject to 

emission standards, the replacement 

engine must meet the appropriate 

emission standards as specified in 

§ 1068.265. This generally means you 

must make the new replacement engine 

in a previously certified configuration. 

(5) Except as specified in paragraph 

(d) of this section, you must add a 

permanent label, consistent with 

§ 1068.45, with your corporate name 

and trademark and the following 

additional information: 

(i) Add the following statement if the 

new engine may only be used to replace 

an engine that was not subject to any 

emission standards under this chapter: 

THIS REPLACEMENT ENGINE IS 

EXEMPT UNDER 40 CFR 1068.240. 

SELLING OR INSTALLING THIS 

ENGINE FOR ANY PURPOSE OTHER 

THAN TO REPLACE AN 

UNREGULATED ENGINE MAY BE A 

VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY. THIS 

ENGINE MAY NOT BE INSTALLED IN 

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EQUIPMENT THAT IS MORE THAN 25 

YEARS OLD AT THE TIME OF 

INSTALLATION. 

(ii) Add the following statement if the 

new engine may replace an engine that 

was subject to emission standards: 

THIS ENGINE COMPLIES WITH U.S. 

EPA EMISSION REQUIREMENTS FOR 

[Identify the appropriate emission 

standards (by model year, tier, or 

emission levels) for the replaced engine] 

ENGINES UNDER 40 CFR 1068.240. 

SELLING OR INSTALLING THIS 

ENGINE FOR ANY PURPOSE OTHER 

THAN TO REPLACE A [Identify the 

appropriate emission standards for the 

replaced engine, by model year(s), 

tier(s), or emission levels)] ENGINE 

MAY BE A VIOLATION OF FEDERAL 

LAW SUBJECT TO CIVIL PENALTY. 

THIS ENGINE MAY NOT BE 

INSTALLED IN EQUIPMENT THAT IS 

MORE THAN 25 YEARS OLD AT THE 

TIME OF INSTALLATION. 

(6) Engines exempt under this 

paragraph (b) may not be introduced 

into U.S. commerce before you make the 

determinations under paragraph (b)(2) 

of this section, except as specified in 

this paragraph (b)(6). We may waive this 

restriction for engines excluded under 

paragraph (c)(5) of this section that you 

ship to a distributor. Where we waive 

this restriction, you must take steps to 

ensure that the engine is installed 

consistent with the requirements of this 

paragraph (b). For example, at a 

minimum you must report to us 

annually whether engines we allowed 

you to ship to a distributor under this 

paragraph (b)(6) have been placed into 

service or remain in inventory. After an 

engine is placed into service, your 

report must describe how the engine 

was installed consistent with the 

requirements of this paragraph (b). Send 

these reports to the Designated 

Compliance Officer by the deadlines we 

specify. 

(c) Previous-tier replacement engines 

without tracking. You may produce a 

limited number of new replacement 

engines that are not from a currently 

certified engine family under the 

provisions of this paragraph (c). If you 

produce new engines under this 

paragraph (c) to replace engines subject 

to emission standards, the new 

replacement engine must be in a 

configuration identical in all material 

respects to the old engine and meet the 

requirements of § 1068.265. You may 

make the new replacement engine in a 

configuration identical in all material 

respects to another certified engine of 

the same or later model year as long as 

the engine is not certified with a family 

emission limit higher than that of the 

old engine. The provisions of this 

paragraph (c) also apply for engines that 

were originally certified to the same 

standards that apply for the current 

model year if you no longer have a 

certificate of conformity to continue 

producing that engine configuration. 

This would apply, for example, for 

engine configurations that were certified 

in an earlier model year but are no 

longer covered by a certificate of 

conformity. You must comply with the 

requirements of paragraph (b) of this 

section for any number of replacement 

engines you produce in excess of what 

we allow under this paragraph (c). 

Engines produced under this paragraph 

(c) may be redesignated as engines 

subject to paragraph (b) of this section, 

as long as you meet all the requirements 

and conditions of paragraph (b) of this 

section before the deadline for the 

report specified in paragraph (c)(3) of 

this section. The following provisions 

apply to engines exempted under this 

paragraph (c): 

(1) You may produce a limited 

number of replacement engines under 

this paragraph (c) representing 0.5 

percent of your annual production 

volumes for each category and 

subcategory of engines identified in 

Table 1 to this section (1.0 percent 

through 2013). Calculate this number by 

multiplying your annual U.S.-directed 

production volume by 0.005 (or 0.01 

through 2013) and rounding to the 

nearest whole number. Determine the 

appropriate production volume by 

identifying the highest total annual 

U.S.-directed production volume of 

engines from the previous three model 

years for all your certified engines from 

each category or subcategory identified 

in Table 1 to this section, as applicable. 

In unusual circumstances, you may ask 

us to base your production limits on 

U.S.-directed production volume for a 

model year more than three years prior. 

You may include stationary engines and 

exempted engines as part of your U.S.- 

directed production volume. Include 

U.S.-directed engines produced by any 

parent or subsidiary companies and 

those from any other companies you 

license to produce engines for you. 

(2) Count every exempted new 

replacement engine from your total 

U.S.-directed production volume that 

you produce in a given calendar year 

under this paragraph (c), including 

partially complete engines, except for 

the following: 

(i) Engines built to specifications for 

an earlier model year under paragraph 

(b) of this section. 

(ii) Partially complete engines 

exempted under paragraph (e) of this 

section. 

(3) Send the Designated Compliance 

Officer a report by March 31 of the year 

following any year in which you 

produced exempted replacement 

engines under this paragraph (c). In 

your report include the total number of 

replacement engines you produce under 

this paragraph (c) for each category or 

subcategory, as appropriate, and the 

corresponding total production volumes 

determined under paragraph (c)(1) of 

this section. If you send us a report 

under this paragraph (c)(3), you must 

also include the total number of 

replacement engines you produced 

under paragraphs (b), (d), and (e) of this 

section. You may include this 

information in production reports 

required under the standard-setting part. 

(4) Add a permanent label as specified 

in paragraph (b)(5) of this section. For 

partially complete engines, you may 

alternatively add a permanent or 

removable label as specified in 

paragraph (d) of this section. 

(5) You may not use the provisions of 

this paragraph (c) for any engines in the 

following engine categories or 

subcategories: 

(i) Land-based nonroad compressionignition engines we regulate under 40 

CFR part 1039 with a per-cylinder 

displacement at or above 7.0 liters. 

(ii) Marine compression-ignition 

engines we regulate under 40 CFR part 

1042 with a per-cylinder displacement 

at or above 7.0 liters. 

(iii) Locomotive engines we regulate 

under 40 CFR part 1033. 

(d) Partially complete engines. The 

following requirements apply if you 

ship a partially complete replacement 

engine under this section: 

(1) Provide instructions specifying 

how to complete the engine assembly 

such that the resulting engine conforms 

to the applicable certificate of 

conformity or the specifications of 

§ 1068.265. Where a partially complete 

engine can be built into multiple 

different configurations, you must be 

able to identify all the engine models 

and model years for which the partially 

complete engine may properly be used 

for replacement purposes. Your 

instructions must make clear how the 

final assembler can determine which 

configurations are appropriate for the 

engine they receive. 

(2) You must label the engine as 

follows: 

(i) If you have a reasonable basis to 

believe that the fully assembled engine 

will include the original emission 

control information label, you may add 

a removable label to the engine with 

your corporate name and trademark and 

the statement: ‘‘This replacement engine 

is exempt under 40 CFR 1068.240.’’ This 

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would generally apply if all the engine 

models that are compatible with the 

replacement engine were covered by a 

certificate of conformity and they were 

labeled in a position on the engine or 

equipment that is not included as part 

of the partially complete engine being 

shipped for replacement purposes. 

Removable labels must meet the 

requirements specified in § 1068.45. 

(ii) If you do not qualify for using a 

removable label in paragraph (d)(1) of 

this section, you must add a permanent 

label in a readily visible location, 

though it may be obscured after 

installation in a piece of equipment. 

Include on the permanent label your 

corporate name and trademark, the 

engine’s part number (or other 

identifying information), and the 

statement: ‘‘THIS REPLACEMENT 

ENGINE IS EXEMPT UNDER 40 CFR 

1068.240; IT MAY NOT BE INSTALLED 

IN EQUIPMENT THAT IS MORE THAN 

25 YEARS OLD AT THE TIME OF 

INSTALLATION.’’ If there is not enough 

space for this statement, you may 

alternatively add: ‘‘REPLACEMENT’’ or 

‘‘SERVICE ENGINE’’. For purposes of 

this paragraph (d)(2), engine part 

numbers permanently stamped or 

engraved on the engine are considered 

to be included on the label. 

(e) Partially complete current-tier 

replacement engines. The provisions of 

paragraph (d) of this section apply for 

partially complete engines you produce 

from a current line of certified engines 

or vehicles. This applies for enginebased and equipment-based standards 

as follows: 

(1) Where engine-based standards 

apply, you may introduce into U.S. 

commerce short blocks or other partially 

complete engines from a currently 

certified engine family as replacement 

components for in-use equipment 

powered by engines you originally 

produced. You must be able to identify 

all the engine models and model years 

for which the partially complete engine 

may properly be used for replacement 

purposes. 

(2) Where equipment-based standards 

apply, you may introduce into U.S. 

commerce engines that are identical to 

engines covered by a current certificate 

of conformity by demonstrating 

compliance with currently applicable 

standards where the engines will be 

installed as replacement engines. These 

engines might be fully assembled, but 

we would consider them to be partially 

complete engines because they are not 

yet installed in the equipment. 

(f) Emission credits. Replacement 

engines exempted under this section 

may not generate or use emission credits 

under the standard-setting part nor be 

part of any associated credit 

calculations. 

TABLE 1 TO § 1068.240—ENGINE CATEGORIES AND SUBCATEGORIES FOR NEW REPLACEMENT ENGINES EXEMPTED

WITHOUT TRACKING

Engine category Standard-setting part 1 Engine subcategories 

Highway CI ................................................................... 40 CFR part 86 ........................................................... disp. < 0.6 L/cyl. 

0.6 ≤ disp. < 1.2 L/cyl. 

disp. ≥ 1.2 L/cyl. 

Nonroad CI, Stationary CI, and Marine CI .................. 40 CFR part 1039, or 40 CFR part 1042 ................... disp. < 0.6 L/cyl. 

0.6 ≤ disp. < 1.2 L/cyl. 

1.2 ≤ disp. < 2.5 L/cyl. 

2.5 ≤ disp. < 7.0 L/cyl. 

Marine SI ...................................................................... 40 CFR part 1045 ....................................................... outboard. 

personal watercraft. 

Large SI, Stationary SI, and Marine SI (sterndrive/inboard only).40 CFR part 1048 or 40 CFR part 1045 .................... all engines. 

Recreational vehicles ................................................... 40 CFR part 1051 ....................................................... off-highway motorcycle. 

all-terrain vehicle. 

snowmobile. 

Small SI and Stationary SI .......................................... 40 CFR part 1054 ....................................................... handheld. 

Class I. 

Class II. 

1 Include an engine as being subject to the identified standard-setting part if it will eventually be subject to emission standards under that part. 

For example, if you certify marine compression-ignition engines under part 94, count those as if they were already subject to part 1042. 

For the reasons set forth in the 

preamble, the National Highway Traffic 

Safety Administration is amending title 

49, chapter V of the Code of Federal 

Regulations as follows: 

PART 523—VEHICLE CLASSIFICATION 

■ 55. The authority citation for part 523 

is revised to read as follows: 

Authority: 49 U.S.C. 32901, delegation of 

authority at 49 CFR 1.95 

■ 56. Section 523.2 is amended by 

revising the definitions of ‘‘Complete 

vehicle’’ and ‘‘Incomplete vehicle’’ to 

read as follows: 

§ 523.2 Definitions. 

* * * * * 

Complete vehicle means a vehicle, 

other than in § 523.7, 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. 

* * * * * 

Incomplete vehicle means a vehicle, 

other than in § 523.7, which does not 

have the primary load carrying device or 

container attached when it is first sold 

as a vehicle or any vehicle that does not 

meet the definition of a complete 

vehicle. This may include vehicles sold 

to secondary vehicle manufacturers. 

Incomplete vehicles include cabcomplete vehicles. 

* * * * * 

■ 57. Section 523.7 is revised 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 

vehicle weight rating between 8,501 

pounds and 14,000 pounds (Class 2b 

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through 3 vehicles) manufactured as 

complete vehicles by a single or final 

stage manufacturer or manufactured as 

incomplete vehicles as designated by a 

manufacturer. A manufacturer may also 

optionally designate as a heavy-duty 

pickup truck or van any cab-complete or 

complete vehicle having a GVWR over 

14,000 pounds and below 26,001 

pounds equipped with a spark ignition 

engine or any spark ignition engine 

certified and sold as a loose engine 

manufactured for use in a heavy-duty 

pickup truck or van. See references in 

49 CFR 535.5(a), 40 CFR 1037.104 and 

40 CFR 1037.150. Complete and 

incomplete vehicles between 8,501 

pounds and 14,000 pounds have the 

meaning for complete and incomplete 

heavy-duty vehicles given in 40 CFR 

86.1803. 

PART 535—MEDIUM- AND HEAVYDUTY VEHICLE FUEL EFFICIENCY 

PROGRAM 

■ 58. The authority citation for part 535 

is revised to read as follows: 

Authority: 49 U.S.C 32901, delegation of 

authority at 49 CFR 1.95. 

■ 56. Revise § 535.3(b) and (c) to read as 

follows: 

§ 535.3 Applicability. 

* * * * * 

(b) Complete vehicle manufacturers, 

for the purpose of this part, include 

primary and secondary stage 

manufacturers meeting the criteria in 40 

CFR 1037.620 that produce heavy-duty 

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 primary 

and secondary stage manufacturers 

meeting the criteria in 40 CFR 1037.620 

that 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 conformity. Some 

vocational vehicle manufacturers are 

both chassis and complete vehicle 

manufacturers. These manufacturers 

will be regulated as chassis 

manufacturers under this program. 

* * * * * 

■ 57. Amend § 535.4 by adding a 

definition of ‘‘Credit holder’’ in 

alphabetical order and revising the 

definitions for ‘‘Configuration’’ and 

‘‘Subconfiguration’’ to read as follows: 

§ 535.4 Definitions. 

* * * * * 

Configuration means a 

subclassification within a test group 

which is based on engine code, 

transmission type and gear ratios, final 

drive ratio and other parameters which 

EPA designates. Transmission type 

means the basic type of the transmission 

(e.g. automatic, manual, automated 

manual, semi-automatic, or 

continuously variable) and does not 

include the drive system of the vehicle 

(e.g. front-wheel drive, rear-wheel drive, 

and four-wheel drive). Engine code 

means the combination of both ‘‘engine 

code’’ and ‘‘basic engine’’ as defined in 

the provisions of 40 CFR 600.002. 

Credit holder (or holder) means a legal 

person that has credits, either because 

they are the manufacturer who earned 

the credits by exceeding the applicable 

fuel consumption standard and are the 

certificate holder, or because they are a 

designated recipient who has received 

credits from another holder. Credit 

holders need not be manufacturers but 

credit holders that are not 

manufacturers may only purchase and 

hold credits for the purpose of retiring 

them as specified in 40 CFR 1036.701(h) 

and 1037.701(e). 

* * * * * 

Subconfiguration means a unique 

combination within a vehicle 

configuration of equivalent test weight, 

road-load horsepower, and any other 

operational characteristics or parameters 

that EPA determines may significantly 

affect CO2 emissions within a vehicle 

configuration. Note that for vehicles 

subject to heavy-duty pickup truck and 

van standards, equivalent test weight 

(ETW) is based on the ALVW of the 

vehicle as outlined in paragraph 40 CFR 

1037.104(d)(11). 

* * * * * 

■ 58. Amend § 535.5 by: 

■ a. Revising paragraph (a)(4)(i) and 

adding paragraphs (a)(4)(v) and (vi); 

■ b. Revising paragraph (a)(6); 

■ c. Revising paragraph (b)(2)(i) and 

adding paragraphs (b)(2)(iii) and (iv); 

and 

■ d. Revising paragraph (c)(2)(i) and 

adding paragraphs (c)(2)(iii), (c)(2)(iv), 

and (c)(5). 

The revisions and additions read as 

follows: 

§ 535.5 Standards. 

(a) * * * 

(4) * * *. (i) Manufacturers may 

choose voluntarily to comply early with 

fuel consumption standards for model 

years 2013 through 2015, as determined 

in paragraphs (a)(4)(iii) and (iv) of this 

section, for example, in order to begin 

accumulating credits through overcompliance 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 except 

as provided in paragraphs (a)(4)(v) and 

(vi) of this section. 

* * * * * 

(v) For model year 2013, a 

manufacturer can choose to comply 

with the standards in paragraph (a) of 

this section and generate early credits 

under § 535.7(b) by using the entire 

U.S.-directed production volume of 

vehicles other than electric vehicles as 

specified in 40 CFR 1037.150. The 

model year 2014 standards in paragraph 

(a) of this section apply for vehicles 

complying in model year 2013. If some 

test groups are certified by EPA after the 

start of the model year, the 

manufacturer may only generate credits 

under § 535.7(b) for the production that 

occurs after all test groups are certified 

in accordance with 40 CFR 1037.150 

(a)(2). 

(vi) For model year 2014, a 

manufacturer producing model year 

2014 vehicles before January 1, 2014, 

may optionally elect to comply with 

these standards for a partial model year 

that begins on January 1, 2014, and ends 

on the day the manufacturer’s model 

year would normally end if it meets the 

provisions in 40 CFR 1037.150(g). 

* * * * * 

(6) Optional certification under this 

section. A manufacturer may optionally 

certify any spark ignition (or gasoline) 

cab-complete or complete vehicle 

weighing over 14,000 pounds GVWR 

and below 26,001 pounds GVWR to the 

requirements under this paragraph (a) 

that applies to a comparable complete 

sister vehicle as determined in 

accordance with 40 CFR 1037.150(l). 

Calculate the target standard value 

under paragraph (a)(2) of this section 

based on the same work factor value 

that applies for the complete sister 

vehicle. 

* * * * * 

(b) * * * 

(2) * * * (i) For model years 2013 

through 2015, a manufacturer may 

choose voluntarily to comply early with 

the fuel consumption standards 

provided in paragraph (b)(3) of this 

section. For example, a manufacturer 

may choose to comply early in order to 

begin accumulating credits through 

over-compliance with the applicable 

standards. A manufacturer choosing 

early compliance must comply with all 

the vehicles and engines it 

manufacturers in each regulatory 

category for a given model year except 

as provided in paragraphs (b)(2)(iii) 

through (iv) of this section. 

* * * * * 

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(iii) For model year 2013, a 

manufacturer can choose to comply 

with the standards in paragraph (b) of 

this section and generate early credits 

under 535.7(c) by using the entire U.S.- 

directed production volume within any 

of its regulatory sub-categories of 

vehicles other than electric vehicles as 

specified in 40 CFR 1037.150. The 

model year 2014 standards in paragraph 

(b) of this section apply for vehicles 

complying in model year 2013. If some 

vehicle families within a regulatory 

subcategory are certified by EPA after 

the start of the model year, 

manufacturers may generate credits 

under § 535.7(c) only for production 

that occurs after all families are certified 

in accordance with 40 CFR 

1037.150(a)(1). 

(iv) For model year 2014, a 

manufacturer producing model year 

2014 vehicles before January 1, 2014, 

may optionally elect to comply with 

these standards for a partial model year 

that begins on January 1, 2014, and ends 

on the day the manufacturer’s model 

year would normally end if it meets the 

provisions in 40 CFR 1037.150(g). 

* * * * * 

(c) * * * 

(2) * * * (i) For model years 2013 

through 2015, a manufacturer may 

choose voluntarily to comply early with 

the fuel consumption standards 

provided in paragraph (c)(3) of this 

section. For example, a manufacturer 

may choose to comply early in order to 

begin accumulating credits through 

over-compliance with the applicable 

standards. A manufacturer choosing 

early compliance must comply with all 

the vehicles and engines it 

manufacturers in each regulatory 

category for a given model year except 

as provided in paragraphs (c)(2)(iii) 

through (iv) of this section. 

* * * * *. 

(iii) For model year 2013, a 

manufacturer can choose to comply 

with the standards in paragraph (c) of 

this section and generate early credits 

under § 535.7(c) by using the entire 

U.S.-directed production volume within 

any of its regulatory sub-categories of 

vehicles other than electric vehicles as 

specified in 40 CFR 1037.150. The 

model year 2014 standards in paragraph 

(c) of this section apply for vehicles 

complying in model year 2013. If some 

vehicle families within a regulatory 

subcategory are certified by EPA after 

the start of the model year, 

manufacturers may generate credits 

under § 535.7(c) only for production 

that occurs after all families are certified 

in accordance with 40 CFR 

1037.150(a)(1). 

(iv) For model year 2014, a 

manufacturer producing model year 

2014 vehicles before January 1, 2014, 

may optionally elect to comply with 

these standards for a partial model year 

that begins on January 1, 2014, and ends 

on the day the manufacturer’s model 

year would normally end if it meets the 

provisions in 40 CFR 1037.150(g). 

* * * * * 

(5) Vocational tractors. Tractors 

meeting the definition of vocational 

tractors in 49 CFR 523.2 for purposes of 

certifying vehicles to fuel consumption 

standards, are divided into families of 

vehicles as specified in 40 CFR 

1037.230(a)(1) and must comply with 

standards for heavy-duty vocational 

vehicles and engines of the same weight 

class specified in paragraphs (b) and (d) 

of this section. Class 7 and Class 8 

tractors certified or exempted as 

vocational tractors are limited in 

production to no more than 21,000 

vehicles in any three consecutive model 

years. If a manufacturer is determined as 

not applying this allowance in good 

faith by the EPA in its applications for 

certification in accordance with 40 CFR 

1037.205 and 1037.630, a manufacturer 

must comply with the tractor fuel 

consumption standards in paragraph 

(c)(3) of this section. Vocational tractors 

generating credits can trade and transfer 

credits in the same averaging sets as 

tractors and vocational vehicles in the 

same weight class. 

* * * * * 

■ 59. Revise § 535.6(b)(3) to read as 

follows: 

§ 535.6 Measurement and calculation 

procedures. 

* * * * * 

(b) * * * 

(3) From the GEM results, select the 

CO2 family emissions level (FEL) and 

equivalent fuel consumption values for 

vocational vehicle and tractor families 

in each regulatory subcategories for each 

model year. Equivalent fuel 

consumption FELs are derived in GEM 

from the CO2 FEL value rounded to the 

nearest whole number and are 

expressed to the nearest 0.1 gallons per 

1000 ton-mile. For families containing 

multiple subfamilies, identify the FELs 

for each subfamily. 

* * * * * 

■ 60. Amend § 535.7 by revising 

paragraphs (a), (b)(9), (c)(11)(i), 

(d)(11)(i), (e)(1)(i), (e)(1)(ii)(A) 

introductory text, (e)(1)(ii)(A)(1), 

(e)(1)(ii)(A)(2), and (e)(1)(ii)(B) to read as 

follows: 

§ 535.7 Averaging, banking, and trading 

(ABT) program. 

(a) Fuel consumption credits (FCC). At 

the end of each model year, primary and 

secondary manufacturers as specified in 

§ 535.3 may earn credits for heavy-duty 

vehicles and engines exceeding the fuel 

consumption standards in § 535.5 or by 

using one or more of the flexibilities in 

this paragraph (a) to gain credits. 

Manufacturers may average, bank, and 

trade fuel consumption credits for 

purposes of complying with fuel 

consumption standards. The following 

criteria and restrictions apply to 

averaging, banking and trading FCC. 

(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 exception of FCC 

earned for advance technologies as 

further clarified below, a manufacturer 

may average FCC only within the same 

averaging set. The principle averaging 

sets 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 trading. 

Banked FCC retain the designation from 

the averaging set and model year in 

which they were generated and expire 

after five model years. 

(3) Trading. Trading is a transaction 

that moves FCC between manufacturers 

for averaging, banking, or further trading 

transactions. Traded FCC, other than 

advanced technology credits, may be 

used by a manufacturer only within the 

averaging set in which they were 

generated. Entities other than 

manufacturers may only obtain traded 

FCC for the purpose of retiring them. 

(b) * * * 

(9) Calculate the value of credits 

generated in a model year for this 

regulatory subcategory or averaging set 

using the following equation: 

Total MY Fleet FCC (gallons) = (Std ¥ 

Act) × (Volume) × (UL) × (10¥2) 

Where: 

Std = Fleet average fuel consumption 

standard (gal/100 mile). 

Act = Fleet average actual fuel consumption 

value (gal/100 mile). 

Volume = the total U.S.-directed production 

of vehicles in the regulatory subcategory. 

UL = the useful life for the regulatory 

subcategory (120,000 miles). 

* * * * * 

(c) * * * 

(11) * * * 

(i) Calculate the value of credits 

generated in a model year for each 

vehicle family or subfamily within an 

averaging set using the following 

equation: 

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36404 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

Vehicle Family FCC (gallons) = (Std ¥ 

FEL) × (Payload) × (Volume) × (UL) 

× (10¥3) 

Where: 

Std = the standard for the respective vehicle 

family regulatory subcategory (gal/1000 

ton-mile). 

FEL = family emissions limit for the vehicle 

family or subfamily (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 Vehicles .... 2 .85 

MHD Vocational Vehicles ... 5 .60 

HHD Vocational 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 in the 

following table: 

Regulatory subcategory UL 

(miles) 

LHD Vocational Vehicles ...... 110,000 

MHD Vocational Vehicles ..... 185,000 

HHD Vocational Vehicles ..... 435,000 

Class 7 Tractor ..................... 185,000 

Class 8 Tractor ..................... 435,000 

* * * * * 

(d) * * * 

(11) * * * 

(i) The value of credits generated in a 

model year for each engine family 

within a regulatory subcategory equals: 

Engine Family FCC (gallons) = (Std ¥ 

FCL) × (CF) × (Volume) × (UL) × 

(10¥2) 

Where: 

Std = the standard for the respective engine 

regulatory subcategory (gal/100 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 the integrated total 

cycle brake horsepower-hour divided by 

the equivalent mileage of the applicable 

test cycle. For spark-ignition heavy-duty 

engines, the equivalent mileage is 6.3 

miles. For compression-ignition heavyduty engines, the equivalent mileage is 

6.5 miles. 

Volume = the number of engines in the 

corresponding engine family. 

UL = the useful life of the given engine 

family (miles) as shown in the following 

table: 

Regulatory subcategory UL 

(miles) 

Class 2b–5 Vocational Vehicles, Spark Ignited (SI), and Light Heavy-Duty Diesel Engines ............................................................. 110,000 

Class 6–7 Vocational Vehicles and Medium Heavy-Duty Diesel Engines ......................................................................................... 185,000 

Class 8 Vocational Vehicles and Heavy Heavy-Duty Diesel Engines ................................................................................................ 435,000 

Regulatory subcategory UL 

(miles) 

Class 7 Tractors and Medium Heavy-Duty Diesel Engines ................................................................................................................ 185,000 

Class 8 Tractors and Heavy Heavy-Duty Diesel Engines .................................................................................................................. 435,000 

* * * * * 

(e) * * * 

(1) * * * 

(i) Heavy-duty vehicles. (A) This 

paragraph (e)(1)(i) specifies how to 

generate advanced technology-specific 

fuel consumption credits for hybrid 

vehicles, vehicles equipped with 

Rankine-cycle engines and fuel cell 

vehicles (or other vehicle specific 

advanced technologies) for which the 

manufacturer is requesting a vehicle 

certificate from EPA. Calculate the 

advanced technology credits as follows: 

(1) Determine the equivalent fuel 

consumption for hybrid systems with 

power take-off devices either from 

chassis or powertrain testing emissions 

rates derived in accordance with 40 CFR 

1037.525. Determine the equivalent fuel 

consumption for hybrid systems with 

pre- or post-transmissions and for 

vehicles with other non-hybrid 

advanced technology systems from 

chassis testing emissions rates derived 

in accordance with 40 CFR 1037.550. 

Determine the equivalent fuel 

consumption in accordance with this 

paragraph unless EPA approves an 

alternative test procedure for the 

manufacturer. Measure the effectiveness 

of the advanced system by chassis 

testing a vehicle equipped with the 

advanced system and an equivalent 

conventional system in accordance with 

40 CFR 1037.525, 1037.550 and 

1037.615. 

(2) For purposes of this paragraph 

(e)(1)(i) a conventional vehicle is 

considered to be equivalent if it has the 

same footprint, intended vehicle service 

class, aerodynamic drag, and other 

relevant factors not directly related to 

the advanced system powertrain. If 

there is no equivalent vehicle, the 

manufacturer may create and test a 

prototype equivalent vehicle. The 

conventional vehicle is considered 

Vehicle A, and the advanced technology 

vehicle is considered Vehicle B. 

(3) The benefit associated with the 

advanced system for fuel consumption 

is determined from the weighted fuel 

consumption results from the chassis 

tests of each vehicle using the following 

equation: 

Benefit (gallon/1000 ton mile) = 

Improvement Factor × GEM Fuel 

Consumption Result_B 

Where: 

Improvement Factor = (Fuel Consumption_A 

¥ Fuel Consumption_B)/(Fuel 

Consumption_A) 

Fuel Consumption Rates A and B are the 

gallons per 1000 ton-mile of the 

conventional and advanced vehicles, 

respectively as measured under the test 

procedures specified by EPA. 

GEM Fuel Consumption Result B is the 

estimated gallons per 1000 ton-mile rate 

resulting from emission modeling of the 

advanced vehicle as specified in 40 CFR 

1037.520 and § 535.6(b). 

(4) The manufacturer may apply the 

improvement factor to multiple vehicle 

configurations, if it uses the vehicle 

configuration with the smallest 

potential reduction in fuel consumption 

performance as a result of the hybrid 

capability. 

(5) Calculate the benefit in credits 

using the equation in paragraph (c)(11) 

of this section and replacing the term 

(Std-FEL) with the benefit. 

(B) For electric vehicles calculate the 

fuel consumption credits using an FEL 

of 0 g/1000 ton-mile. 

(ii) Heavy-duty engines. (A) This 

paragraph (e)(1)(ii) specifies how to 

generate advanced technology-specific 

fuel consumption credits for hybrid 

engines and for engines that include 

Rankine-cycle (or other bottoming cycle) 

exhaust energy recovery systems for 

which the manufacturer is requesting an 

engine certificate from EPA. Calculate 

the advanced technology credits as 

follows: 

(1) Determine the equivalent fuel 

consumption for hybrid engine systems 

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Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 36405 

with features that recover and store 

energy during engine motoring 

operation from the emissions rates 

derived in accordance with 40 CFR 

1036.525. 

(2) Determine the equivalent fuel 

consumption for hybrid pretransmission powertrains that include 

energy storage systems and regenerative 

braking (including regenerative engine 

braking) and for engines that include 

Rankine-cycle exhaust energy recovery 

systems from the emissions rates 

derived in accordance with 40 CFR 

1036.615. Hybrid pre-transmission 

powertrains are engine systems that 

include features that recover and store 

energy during engine motoring 

operation but not from the vehicle 

wheels. Determine the equivalent fuel 

consumption of hybrid engines in 

accordance with this paragraph unless 

EPA approves an alternative test 

procedure for the manufacturer. 

* * * * * 

(B) Calculate credits as specified in 

paragraph (d) of this section. Credits 

generated from engines complying with 

this section may be used in other 

averaging sets as described in 40 CFR 

1036.740(d). 

* * * * * 

■ 61. Amend § 535.8 by: 

■ a. Adding paragraph (a)(4); and 

■ b. Revising paragraphs (d) 

introductory text, (d)(2), (e) introductory 

text, and (e)(2). 

The additions and revisions read as 

follows: 

§ 535.8 Reporting requirements. 

(a) * * * 

(4) Manufacturers submitting 

petitions for the off-road exemption in 

paragraph (h) of this section should 

consider the timing to submit petitions 

early enough in advance of the model 

year to ensure that a determination can 

be made by the agencies and should a 

vehicle fail to be excluded the 

manufacturer has sufficient time to 

submit and obtain approval from EPA 

for the certificate of conformity required 

in 40 CFR 1037.201 prior to first 

commercial sale of the vehicle. 

* * * * * 

(d) End-of-the-year-report. Heavy-duty 

vehicle and engine manufacturers 

participating and not-participating in 

the ABT program are required to submit 

an end-of-the-year (EOY) report 

containing information for NHTSA as 

specified in paragraph (d)(2) of this 

section and in accordance with 40 CFR 

1036.250, 1036.730, 1037.104, 1037.250 

and 1037.730. The EOY reports are used 

to review a manufacturer’s preliminary 

or final compliance information and to 

identify manufacturers that might have 

a credit deficit for the given model year. 

For model years 2013 and later, heavyduty vehicle and engine manufacturers 

complying with NHTSA’s voluntary and 

mandatory standards must submit EOY 

reports through the EPA database 

including both GHG emissions and fuel 

consumption information for each given 

model year. 

* * * * * 

(2) Contents. Each EOY report must be 

submitted including the following fuel 

consumption information for each 

model year. EOY reports for 

manufacturers participating in the ABT 

program must include preliminary final 

estimates. EOY reports for 

manufacturers not participating in the 

ABT program and for heavy-duty 

pickup truck and van manufacturers 

must include finalized data. 

(i) Engine and vehicle family 

designations and averaging sets. 

(ii) Engine and vehicle regulatory 

subcategory and fuel consumption 

standards including any alternative 

standards used. 

(iii) Engine and vehicle family FCLs 

and FELs in terms of fuel consumption. 

(iv) Production volumes for engines 

and vehicles. 

(v) A credit plan (for manufacturers 

participating in the ABT program) 

identifying the manufacturers actual 

fuel consumption credit balances, credit 

flexibilities, credit trades and a credit 

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 has 

occurred. 

(vi) A final summary as specified in 

paragraph (h)(6) of this section 

describing the vocational vehicles and 

vocational tractors that were exempted 

as heavy-duty off-road vehicles. This 

applies to manufacturers participating 

and not participating in the ABT 

program. 

(vii) A summary describing any 

advanced or innovative technology 

engines or vehicles including alternative 

fueled vehicles that were produced for 

the model year identifying the 

approaches used to determinate 

compliance and the production 

volumes. 

(viii) A list of each unique 

subconfiguration included in a 

manufacturer’s fleet of heavy-duty 

pickup trucks and vans identifying the 

attribute based-values (GVWR, GCWR, 

Curb Weight and drive configurations) 

and standards. This provision applies 

only to manufacturers producing heavyduty pickup trucks and vans. 

(ix) The fuel consumption fleet 

average standard derived from the 

unique vehicle configurations. This 

provision applies only to manufacturers 

producing heavy-duty pickup trucks 

and vans. 

(x) The subconfiguration and test 

group production volumes. This 

provision applies only to manufacturers 

producing heavy-duty pickup trucks 

and vans. 

(xi) The fuel consumption test group 

results and fleet average performance. 

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. 

* * * * * 

(e) Final reports. Manufacturers 

participating in the ABT program are 

required to submit year end final reports 

in accordance with 40 CFR 1036.730 

and 1037.730 to NHTSA and EPA. 

Manufacturers of heavy-duty pickup 

trucks and vans are excluded from this 

requirement and are required to submit 

only one EOY report as specified in 

paragraph (d) of this section. The final 

reports are used to review a 

manufacturer’s final data and to identify 

manufacturers that might have a credit 

deficit for the given model year. For 

model years 2013 and later, heavy-duty 

vehicle and engine manufacturers 

complying with NHTSA’s voluntary and 

mandatory standards must submit final 

reports through the EPA database 

including both GHG emissions and fuel 

consumption information for each given 

model year. 

* * * * * 

(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. 

(ii) Final engine and vehicle fuel 

consumption standards including any 

alternative standards used. 

(iii) Final engine and vehicle family 

FCLs and FELs in terms of fuel 

consumption. 

(iv) Final production volumes for 

engines and vehicles. 

(v) A final credit plan identifying the 

manufacturers actual fuel consumption 

credit demonstrating how it plans to 

resolve any credit deficits that might 

occur for a model year within a period 

of up to three model years after that 

deficit has occurred. 

(vi) A final plan describing any 

advanced or innovative technology 

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36406 Federal Register / Vol. 78, No. 116 / Monday, June 17, 2013 / Rules and Regulations 

engines or vehicles including alternative 

fueled vehicles that were produced for 

the model year identifying the 

approaches used to determinate 

compliance and the production 

volumes. 

(vii) 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 part. 

* * * * * 

Dated: May 9, 2013. 

Ray LaHood, 

Secretary, Department of Transportation. 

Dated: May 9, 2013. 

Bob Perciasepe, 

Acting Administrator, Environmental 

Protection Agency. 

[FR Doc. 2013–11980 Filed 6–14–13; 8:45 am] 

BILLING CODE P 

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