Office of Transportation and Air Quality

EPA-420-F-11-042

December 2011

Greenhouse Gas Emissions Standards 

and Fuel Efficiency Standards for 

Medium- and Heavy-Duty Engines 

and Vehicles

Implementation Workshop

First Edition

The Environmental Protection Agency (EPA) along with the 

Department of Transportation’s National Highway Traffic 

Safety Administration (NHTSA) organized and sponsored an 

implementation workshop in Ann Arbor, MI on November 3, 2011. 

The objective of this workshop was to provide guidance to heavyduty (HD) engine and vehicle manufacturers who wish to exercise 

the option for early compliance under new greenhouse gas (GHG) 

and fuel consumption (FC) regulations (see 76 FR 57106) for model 

year 2013 products. By so doing, manufacturers are able to secure 

early credits which will enable a more efficient phase-in of compliant 

products and, by so doing, will provide cleaner and more fuel efficient 

technologies to the marketplace sooner. 

The HD GHG and FC Implementation Workshop included a number of presentations describing the processes manufacturers would need to follow to certify vehicles 

and technologies, test certified products, exercise available compliance flexibilities 

and report information to the agencies. During the course of the workshop, questions 

were submitted to the EPA/NHTSA panel on note cards from the audience. Agency 

representatives answered a number of technical questions during the workshop. 

This document contains a record of: 1) answers given to those technical questions 

Questions and Answers

during the workshop which are included in this document to provide a complete 
2

Questions and Answers

record of our positions with respect to implementation of this rule, and; 2) answers to several 

additional questions that went unanswered at the workshop due to time constraints. Answers 

to the remaining questions are not included in this first update since the workshop. The agencies intend to update this document on a regular basis as the answers to these additional questions are developed and as new questions that continue to come in over time are received and 

answered. Finally, wherever possible, when many questions are received that warrant the same 

answer, we have listed all these questions together under one question number in order to answer them once. 

This document was prepared by EPA’s Office of Transportation and Air Quality (OTAQ) with 

input from NHTSA. Regulated parties may use this document to aid in achieving compliance 

with the regulations for heavy-duty vehicles (40 CFR Part 86, 1037; and, 49 CFR Part 523,534 

and 535) and heavy-duty engines (40 CFR Part 1036; and, 49 CFR Part 523, 534 and 535). 

However, this document does not in any way alter the requirements in EPA’s or NHTSA’s regulations. Although the answers provided in this document interpret the regulations and indicate 

general plans for implementation of the regulations at this time, some of the responses may 

change as additional information becomes available, or as the agencies further consider certain 

issues. The questions and answers contained in this document do not establish or change the 

legal rights or obligations of manufacturers in complying with EPA and NHTSA regulations. 

Further, this document does not establish binding rules or requirements and is not fully determinative of the issues addressed. Moreover, Agency decisions in any particular case will be made 

applying the law and regulations on the basis of specific facts.

GENERAL: 

What is the anticipated timeline to get early certification? 

Manufacturers should begin now collecting data and information required to submit a complete 

application for certification, carry out pre-certification meetings with the agencies and begin the 

application process. If manufacturers have prepared complete applications, EPA and NHTSA 

will be ready to conduct application reviews and possibly issue certificates by the first quarter of 

calendar year 2012.

When will the Designated Compliance Officer (DCO) be named?

Per 1037.801, the DCO is defined as the manager of the Heavy-Duty and Nonroad Engine 

Group. Due to a recent reorganization of EPA’s Office of Transportation and Air Quality, the 

name of the Heavy-Duty and Nonroad Engine Group has been changed to the Diesel Engine 

Compliance Center. The manager of the Diesel Engine Compliance Center is the DCO. The 

current DCO, Justin Greuel, can be reached at 202-343-9626. Each engine/truck manufacturer 

is assigned an EPA certification representative in the Diesel Engine Compliance Center who 

should be your first line of contact with EPA.

For 2b/3 Pick Ups and Vans, the certification representative is the same assigned for your LDV/

LDT/MDPVs.
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Questions and Answers

For HD Engines, the certification representative is the same assigned for your criteria pollution 

engine certification.

For Combination Tractors and Vocational Vehicles, your assigned certification representative is 

as follows:

Greg Orehowsky – Team leader and Certification Representative

Orehowsky.gregory@epa.gov – (202) 343-9292

Navistar/International, Fiat Powertrain, Mitsubishi Fuso

Manufacturers new to certification should contact Greg for assignment of a certification representative

Jason Gumbs – Certification representative

Gumbs.jason@epa.gov – (202) 343-9271

Detroit Diesel/Daimler Trucks, Volvo (P/T & trucks)

Jay Smith – Certification representative

Smith.jay@epa.gov – (734) 214-4302

PACCAR, Ford, GM, Cummins, Isuzu 

Who will review and approve each portion of the certification data, both in the pre-certification meeting and in the application?

The review process for pre-certification and certification application review will be handled by 

various agency staff with your assigned certification representative as the focal point. Technical 

experts within EPA and NHTSA will be used for various aspects of the review process as needed 

(e.g., aerodynamics and tire consultation). 

When will EPA be ready to provide certification templates?

Templates have been reviewed at the Certification Workshop. These templates will be posted to 

epa.gov/otaq/certdat2.htm as soon as the HD GHG Information Collection Request is approved 

by the Office of Management and Budget.

When will EPA be ready to receive certification documents from OEMs?

Certification documents using the new templates can be submitted at any time after templates 

are posted. Posting will occur as soon as the HD GHG Regulation Information Collection 

Request is approved by the Office of Management and Budget.

Will there be fees? What will the GHG certification fees be for engines and vehicles and 

hybrids? 
4

Questions and Answers

The Heavy Duty Greenhouse Gas Rule does not establish new fees. Thus, OEMs of HD engines 

and pickup trucks/vans will continue to pay a fee for criteria pollutant certification, but at this 

time there are no new fees associated with certification to heavy duty greenhouse gas standards. 

A consequence is that OEMs of vehicles not subject to criteria pollutant certification requirements (i.e., vocational chassis, combination tractors, and Class 4 & 5 certifying as HD Pickups/

Vans) do not pay certification fees.

What system, if any, will be used for submission of early certification and future certification 

applications and supporting data?

The early credit certification will be done using FileMaker Pro for engines. Minor revisions to 

the engine FileMaker Pro templates will accommodate engine GHG certification data. New 

Excel-based templates for HD Pickups/Vans, Combination Tractors and Vocational Vehicles 

have been created. Certification information for all sectors will be submitted using the Central 

Data Exchange (CDX) system.

Will EPA provide templates for certification documentation and support data?

Yes. Certification application templates will be provided. However, be sure to discuss this with 

your Certification Representative as some support documentation may need to be provided to 

EPA through the CDX in .pdf or similar format.

What level of detail will EPA require for each aspect/topic that requires data?

The templates will define the information you need to provide to EPA and NHTSA to comply 

with regulations. To the extent that the templates are unclear to you, we encourage you to work 

with your Certification Representative. Manufacturers must also keep the necessary back-up 

data and information should EPA require additional information to confirm the submission.

FEL vs. FCL

The morning presentation stated that the FCL is used for certification and for credits, while 

the FEL is used for audit purposes and in use testing.

•	 1037.615 (e) calculate CO2

 credits using FEL for electric vehicles.

•	 1037.705 (b) calculate CO2

 credits using FEL

•	 1036.801: says FCL is used for CO2

 and FEL is used for other emissions, 

except CO2 and for CO2 FEL=FCL*1.03

Please clarify?

The Family Certification Level (FCL) only applies for CO2

 for Engines as described in 

40CFR1036.108 and 1036.801. Vehicle manufacturers should use the Family Emission Limit 

(FEL) as described in 1037.801.
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Questions and Answers

Product/Planning: What timing requirements does the agency anticipate HD GHG certification reviews will require for (1) Engines, (2) Vehicles? Since 1997, Engine certification has 

gone from 2-3 pages and a few days to, today, several hundreds of pages (both emissions and 

OBD) with multiple agency review (EPA/CARB) taking several months to get approvals. 

How many pages (or reams) does the EPA anticipate a vehicle certification application will 

be? And how long for EPA to review them?

The manufacturer will need to fill out certification templates and provide the requested supporting documentation. Length of the application package will be dependent upon complexity of 

emission control strategies (e.g., AECDs) or alternative test procedures used by the manufacturer. For a complete application (assuming that all preliminary approval items have already been 

resolved), a manufacturer can typically plan for at least 30-45 days after submitting the application. Incomplete applications can delay the processing time further.

Model Year End Date: When do OEMs need to tell EPA of the actual end date of a model 

year versus the projected end date that is put on the certification worksheet? 

For purposes of meeting reporting obligations, end of model year is considered December 31st. 

If a manufacturer ends their production period earlier then December 31st, they should include 

the information in their end of year production reports.

Does EPA have a guidance document site similar to the Applicability Determination Index 

for Stationary Source Regulations (NSR, PSD, MAIT, NSPS), but for Part 85, 86, 1036, 

1037 (mobile source ADI site). If not are there plans to establish one?

www.epa.gov/otaq/cert/dearmfr/dearmfr.htm

www.epa.gov/otaq/certdat2.htm

HEAVY DUTY PICKUPS & VANS:

No specific questions concerning HD Pickups and Van have been completed to date. See general 

questions.

HEAVY DUTY ENGINES:

No specific questions concerning HD Engines have been completed to date. See general questions.

COMBINATION TRACTORS & VOCATIONAL VEHICLES:

What level of detail must be reported to EPA with respect to the OEM definition of Vocational 

Tractor?
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Questions and Answers

In order for a vehicle to be reclassified as a vocational tractor, it must meet the definition 

in 40CFR1037.630(a) and 49CFR523.2, meet the requirements in 40CFR1037.630(b) and 

49CFR535.5(c)(5), and include the language required to be added to the vehicle’s emission control information label specified in 1037.630(c). In addition, there are production limits for vocational tractors. No manufacturers may produce more than 21,000 vehicles under 1037.630(c) in 

any three consecutive model years. No pre-approval is normally required for on-road vocational 

tractors. A manufacturer is only required under 1037.630(b) to include in its application for 

certification a brief description of its basis for reclassifying certain of its tractors as vocational, 

citing the applicable vehicle and application types enumerated in 1037.630(a)(1). As specified 

in 1037.630(c), the manufacturer must keep records for three years to document its basis for 

believing the vehicles will be used as described in 1037.630(a). In the future, if EPA determines 

that a manufacturer is not applying the allowance in good faith, it may require the manufacturer 

obtain preliminary approval before using the allowance.

What level of detail must be reported to EPA with respect to the OEM definition of Off 

Road Vehicle?

There is no requirement that OEMs obtain approval of off-road status (and consequent exemption from the vocational vehicle GHG standards). Criteria for meeting this exemption are 

found at 40 CFR 1037.631(a) and 49 CFR 523.2, but the manufacturer must report the basis of 

its determination by the end of year, as outlined in 40 CFR 1037.631(c) and 49 CFR 535.8(h)

(6). However, if the vehicles do not meet the criteria of the definition in the regulation, then 

the manufacturer may ask for an exemption according to 40 CFR 1037.150(h) and 49 CFR 

535.8(h)(6)(ii). EPA will coordinate approval decisions with NHTSA.

We are a corporation made up of several business units or divisions that all produce vocational vehicles. We have at least two divisions that are final stage manufacturers who produce 

their own chassis. Will we be asking for one manufacturer number for the corporation, or 

does each division get their own number?

It is normal practice among corporations to use one manufacturer code for all vehicle and engine 

products regulated by EPA. Therefore, you should use one manufacturer code to encompass all 

your products regulated by EPA. However, let your certification representative know if you think 

this approach would be problematic for you.

Likewise, will we average compliance across the corporation for all vocational vehicles, or 

does the averaging take place only within a division?

The averaging should take place across the corporate product lines. You may average within the 

following three averaging sets:

•	 Light heavy duty vehicle line

•	 Medium heavy duty vehicle line

•	 Heavy heavy duty vehicle line
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Questions and Answers

In the vocational Subcategory there are many small manufacturers for vehicles but only a 

few big tire manufacturers.

a) What is the tire manufacturer’s responsibility to provide tire data to the vehicle 

manufacturers?

b) What is the procedure if the tire data is not available in a timely manner from 

the tire manufacturer?

c) What is EPA’s plan to harmonize the data if the same tire shows different 

results?

a) The certificate holder (i.e., the vehicle manufacturer) is responsible for establishing agreements with tire manufacturers for the proper collection of tire data to 

provide to EPA. According to 1037.650, tire manufacturers providing such data to 

vehicle manufacturers are liable for the accuracy and representativeness of the test 

data. 

b) If the tire manufacturer does not submit tire data to the vehicle manufacturer, the 

vehicle manufacturer should make alternate arrangements to develop or obtain 

tire data on their own and in accordance with 1037.520(c).

c) EPA has no plan to harmonize tire data, but the agency can conduct confirmatory 

testing (e.g., if we observe outlier data from the same tire model). 1037.520(c)

(1) states that tire rolling resistance be measured, “... as specified in ISO 28580 

(incorporated by reference in 1037.810), except as specified in this paragraph (c).” 

Use good engineering judgment to ensure that your test results are not biased low. 

You may ask us to identify a reference test laboratory to which you may correlate 

your test results.” (See Question 19 for further agency guidance with respect to tire 

test laboratories)

Are there Recognized test labs for Tire RR? Has the reference facility for determining tire 

rolling resistance per ISO28580 been determined? 

At this time, EPA and NHTSA are unaware of any laboratories with a reference machine that 

has been certified specifically for use with the ISO 28580 test protocol. However, EPA and 

NHTSA have test results showing that two independent tire testing laboratories in the United 

States, Smithers-Rapra and Standards Testing Laboratory, have tire rolling resistance test machines that correlate well to each other. Both these independent laboratories have been used 

by the federal government and by industry to conduct tire testing for other federally-mandated 

programs. Therefore, until ISO certified tire machines are available, should a vehicle manufacturer request a test laboratory to which it may correlate its test results, EPA will accept tire data 

generated by or correlated to either of these two laboratories. In addition, should EPA decide to 

confirm or compliance test tires so certified, EPA will use one of these two laboratories for the 

testing.
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Questions and Answers

Will we get separate vehicle certificates and engine certificates?

For class 2b/3 complete vehicles you will receive a vehicle certificate based on complete vehicle 

testing. For 2b-8 incomplete vehicles you will receive a vehicle certificate based on chassis 

modeling. For class 7-8s tractors/vocational vehicles you will receive a vehicle certificate based 

on chassis modeling. For engines in vehicles not included in the 2b/3 complete vehicle program, which are subject to the engine provisions, you will receive an engine certificate based 

on engine testing. If you are the manufacturer of both the engine and the chassis, and intend to 

certify as a vocational vehicle, you will receive an engine certificate based on engine testing and 

a vehicle certificate based on chassis modeling.